HomeMy WebLinkAboutState of California Department of Transportation (Caltrans) 2025-11-17City of Ukiah
Agreement Number 74A1765
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Sustainable Communities Grants
(State)
Restricted Grant Agreement
This Restricted Grant Agreement (RGA), between the State of California acting by and through its
Department of Transportation, referred to herein as CALTRANS, and the CITY OF UKIAH, hereinafter
referred to as AGENCY, will commence on NOVEMBER 17, 2025, or upon approval by CALTRANS,
whichever occurs later. This RGA is of no effect unless approved by CALTRANS. AGENCY shall not
receive payment for work performed prior to approval of the RGA and before receipt by AGENCY of
Notice to Proceed from CALTRANS Contract Manager. This RGA shall expire on JUNE 30, 2028.
Attachments:
The following attachments are incorporated into and are made a part of this RGA by this reference and
attachment.
I. AGENCY Resolution
ll. Scope of Work and Project Cost and Schedule
III.Grant Application Guide
Recitals
Under this RGA, CALTRANS intends to convey State restricted grant funds to AGENCY, pursuant to
Budget Act Line Item 2660-102-0042, who will conduct transportation studies and planning within the
regional area under the jurisdiction of AGENCY under the terms, covenants, and conditions of this
RGA.
Now, therefore, based upon the terms, covenants, and conditions, the parties agree as follows:
Section I
AGENCY Responsibility:
To timely and satisfactorily complete all Project work described in Attachment II within the project
budget and in accordance with the items of this RGA.
Section ll
CALTRANS Responsibility:
That when conducting an audit of the costs claimed by AGENCY under the provisions of this RGA,
to conduct the audit in accordance with applicable laws and regulations.
Section lll
Parties’ Mutual Responsibilities:
1.Under this RGA, CALTRANS will convey State grant restricted funds to AGENCY, pursuant to
Budget Act Line Item 2660-102-0042, and AGENCY will conduct transportation studies and
planning within the regional area described in Attachment II. The funds subject to this RGA must
be (a) identified as available for a restricted grant in CALTRANS’ budget and (b) for the purpose of
conducting transportation studies or planning and (c) to a public entity that is responsible for
conducting transportation studies or planning.
2.Details of the Grant Program, Funds, Project, and Program Guidelines and the governing State and
COU No. 2526-127g
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Agreement Number 74A1765
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respective addresses:
City of Ukiah
Attention: Andrea Trincado, Project & Grants Administrator
Phone Number: (707) 463-6778
Email: atrincado@cityofukiah.com
Address: 300 Seminary Avenue
Ukiah, CA 95482
California Department of Transportation
District 1, Transportation and Local Assistance
Attention: Michael Lydon, Contract Manager
Phone Number: (707) 502-7819
Email: michael.lydon@dot.ca.gov
Address: 1656 Union Street
Eureka, CA 95501
10. Period of Performance
a. Reimbursable work under this RGA shall begin no earlier than on , following the written approval
of CALTRANS and AGENCY’s receipt of the Notice to Proceed letter of this RGA by
NOVEMBER 17, 2025 the CALTRANS Contract Manager, and will expire on JUNE 30, 2028.
b. AGENCY will attend a kickoff meeting with CALTRANS to be scheduled within one (1) week
from receipt of Notice to Proceed letter by CALTRANS Contract Manager.
11. Changes in Terms/Amendments
This Agreement may only be amended or modified by mutual written agreement of the parties. Any
proposed modification to this agreement that requires a formal amendment must be submitted by
AGENCY to CALTRANS no less than ninety (90) days prior to the expiration of this RGA.
12. Cost Limitation
a. The maximum total amount granted and reimbursable to AGENCY pursuant to this RGA by
CALTRANS shall not exceed $286,395.00.
b. It is agreed and understood that this RGA fund limit is an estimate and that CALTRANS will
only reimburse the cost of services actually rendered in accordance with the provisions of this
RGA and as authorized by the CALTRANS Contract Manager at or below that fund limitation
established herein.
13. Termination
a. If the applicable law and the Grant Program guidelines provide for such termination,
CALTRANS reserves the right to terminate this RGA for any or no reason upon written notice to
AGENCY at least 30 days in advance of the effective date of such termination in the event
CALTRANS determines (at its sole discretion) that AGENCY failed to proceed with Project work
in accordance with the terms of this RGA. In the event of termination for convenience,
CALTRANS will reimburse AGENCY for all allowable, authorized, and non-cancelled costs up
to the date of termination.
b. This RGA may be terminated by either party for any or no reason by giving written notice to the
other party at least 30 days in advance of the effective date of such termination. In the event of
termination for convenience, CALTRANS will reimburse AGENCY for all allowable, authorized,
and non-cancelled costs up to the date of termination.
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c. AGENCY has 60 days after the Termination Date to submit accurate invoices to CALTRANS to
make final allowable payments for Project costs in accordance to the terms of this RGA. Failure
to submit accurate invoices within this period of time shall result in a waiver by AGENCY of its
right to reimbursement of expended costs.
14. Budget Contingency Clause
a. It is mutually agreed that if the US Congress or the State Legislature fail to appropriate or
allocate funds during the current year and/or any subsequent years covered under this RGA
and do not appropriate sufficient funds for the program, this RGA shall be of no further force and
effect. In this event, CALTRANS shall have no liability to pay any funds whatsoever to
AGENCY or to furnish any other considerations under this RGA and AGENCY shall not be
obligated to perform any provisions of this RGA.
b. If funding for any fiscal year is reduced or deleted by the US Congress or the State Legislature
for purposes of this program, CALTRANS shall have the option to either terminate this RGA
with no liability occurring to CALTRANS, or offer an RGA Amendment to AGENCY to reflect the
reduced amount.
15. Payment and Invoicing
a. AGENCY, its contractors, subcontractors and sub-recipients shall establish and maintain an
accounting system and records that properly accumulate and segregate incurred Project costs
and matching funds by line. The accounting system of AGENCY, its contractors, all
subcontractors, and sub-recipients shall conform to Generally Accepted Accounting Principles
(GAAP) and any standards specified by the source of funds, to enable the determination of
incurred costs at interim points of completion, and to provide support for reimbursement
payment vouchers or invoices.
b. The method of payment for this RGA will be based on the actual allowable costs that are
incurred in accordance with the provisions of this RGA and in the performance of the Project
Work. CALTRANS will reimburse AGENCY for expended actual allowable direct costs and
including, but not limited to, labor costs, travel, and contracted consultant services costs
incurred by AGENCY in performance of the Project work. Indirect costs are reimbursable only if
the AGENCY has identified the estimated indirect cost rate in Attachment II and an approved
Indirect Cost Allocation Plan or an Indirect Cost Rate Proposal as set forth in Section III–Cost
Principles, Paragraph 17d. The total cost shall not exceed the cost reimbursement limitation
set forth in Section III–Cost Limitation, Paragraph 12a. Actual costs shall not exceed the
estimated wage rates, labor costs, travel, and other estimated costs and fees set forth in
Attachment II without an amendment to this RGA, as agreed between CALTRANS and
AGENCY.
c. Reimbursement of AGENCY expenditures will be authorized only for those allowable costs
actually incurred by AGENCY in accordance with the provisions of this RGA and in the
performance of Project Work. AGENCY must not only have incurred the expenditures on or
after the start date and the issuance of Notice to Proceed letter for this RGA and before
Expiration Date but must have also paid for those costs to claim any reimbursement.
d. Travel expenses and per diem rates are not to exceed the rate specified by the State of
California Department of Human Resources for similar employees (i.e. non-represented
employees) unless written verification is supplied that government hotel rates were not then
commercially available to AGENCY, its sub-recipients, contractors, and/or subcontractors, at
the time and location required as specified in the California Department of Transportation's
Travel Guide Exception Process at the following link: https://travelpocketguide.dot.ca.gov/.
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Also see website for summary of travel reimbursement rules.
e. AGENCY shall submit invoices to CALTRANS at least quarterly, but no more frequently than
monthly, in arrears for completion of milestones in accordance with the PROJECT Cost and
Schedule in Attachment II to the satisfaction of CALTRANS Contract Manager. Invoices shall
reference this RGA Number and shall be signed and submitted to CALTRANS Contract
Manager at the following address, as stated in Section III–Notification of Parties, Item 9c.
One-time lump sum invoices for grant amount is not allowed.
f. Invoices shall include the following information:
1) Names of the AGENCY personnel performing work
2) Dates and times of Project Work
3) Locations of Project Work
4) Itemized costs as set forth in Attachment II, including identification of each employee,
contractor, or subcontractor staff who provided services during the period of the invoice, the
number of hours and hourly rates for each employee, contractor, sub-recipient, or
subcontractor staff member, authorized travel expenses with receipts, receipts for
authorized materials or supplies, and contractor, sub-recipient and subcontractor invoices.
g. Incomplete or inaccurate invoices shall be returned to the AGENCY, unapproved, for correction.
Failure to submit invoices on a timely basis may be grounds for termination of this RGA for
material breach per Section III–Termination, Paragraph 13.
h. CALTRANS will reimburse AGENCY for all allowable Project costs at least quarterly, but no
more frequently than monthly, in arrears as promptly as CALTRANS fiscal procedures permit
upon receipt of an itemized signed invoice.
i. The RGA Expiration Date refers to the last date for AGENCY to incur valid Project costs or
credits and is the date the RGA expires. AGENCY has 60 days after that Expiration Date to
make final allowable payments to Project contractors or vendors and submit the Project’s Final
Product(s) as defined in Attachment II and a final accurate invoice to CALTRANS for
reimbursement for allowable Project costs. Any unexpended Project funds not invoiced by the
60th day will be reverted and will no longer be accessible to reimburse late Project invoices.
16. Local Match Funds
a. AGENCY shall contribute not less than its specified local match amount toward the services
described herein by the grant expiration date identified in Paragraph 1 of this RGA. AGENCY
can provide less than their percentage local match contribution in each invoice submittal, but
AGENCY must fully satisfy the local cash and in-kind match amount and percentage identified
in Section III, Paragraph 7, with the final invoice.
b. If Agency fails to provide the contractual local match identified in Section III, Paragraph 7, it is
grounds for contract termination as identified in Section III, Paragraph 13.
17. Quarterly Progress Reporting
AGENCY shall submit written quarterly progress reports to CALTRANS Contract Manager to
determine if AGENCY is performing to expectations, is on schedule, is within funding cost
limitations, to communicate interim findings, and to afford occasions for airing difficulties respecting
special problems encountered so that remedies can be developed.
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18.Cost Principles
a.AGENCY agrees to comply with Title 2, Code of Federal Regulations (CFR), Part 200, Uniform
Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards.
b.AGENCY agrees, and will assure that its contractors, sub-recipients, and subcontractors will be
obligated to agree, that (a) Contract Cost Principles and Procedures, 48 CFR, Federal
Acquisition Regulations System, Chapter 1, Part 31, et seq., shall be used to determine the
allowability of individual Project costs and (b) all parties shall comply with Federal administrative
procedures in accordance with 2 CFR, Part 200, Uniform Administrative Requirements, Cost
Principles, and Audit Requirements for Federal Awards. Every sub-recipient receiving Project
funds as a sub-recipient, contractor, or subcontractor under this RGA shall comply with Federal
administrative procedures in accordance with 2 CFR, Part 200, Uniform Administrative
Requirements, Cost Principles and Audit Requirements for Federal Awards to the extent
applicable.
c.Prior to AGENCY seeking reimbursement of indirect costs, AGENCY must have identified the
estimated indirect cost rate in Attachment II, prepare and submit annually to CALTRANS for
review and approval an indirect cost rate proposal and a central service cost allocation plan (if
any) in accordance with 2 CFR, Part 200, Uniform Administrative Requirements, Cost
Principles, and Audit Requirements for Federal Awards and Chapter 5 of the Local Assistance
Procedures Manual which may be accessed at: https://dot.ca.gov/-/media/dot-
media/programs/local-assistance/documents/lapm/ch05.pdf.
d.AGENCY agrees and shall require that all its agreements with consultants and sub-recipients
contain provisions requiring adherence to this section in its entirety.
19.Repayment of Unallowable Costs
Any Project costs for which AGENCY has received payment or credit that are determined by
subsequent audit to be unallowable under 2 CFR, Part 200, and/or Part 48, Chapter 1, Part 31, are
subject to repayment by AGENCY to CALTRANS. Should AGENCY fail to reimburse moneys due
CALTRANS within 30 days of discovery or demand, or within such other period as may be agreed
in writing between the parties hereto, CALTRANS is authorized to intercept and withhold future
payments due AGENCY from CALTRANS or any third-party source, including, but not limited to,
the State Treasurer, the State Controller, or any other fund source.
20.Americans with Disabilities Act
By signing this Agreement, LOCAL AGENCY assures CALTRANS that in the course of performing
Project Work, it will fully comply with the applicable provisions of the Americans with Disabilities Act
(ADA) of 1990, as amended, which prohibits discrimination on the basis of disability, as well as all
applicable regulations and guidelines issued pursuant to the ADA (42 USC Section 12101 et seq.).
21. Indemnification
Neither CALTRANS nor any officer or employee thereof is responsible for any injury, damage, or
liability occurring by reason of anything done or omitted to be done by AGENCY, its officers,
employees, agents, contractors, sub-recipients, or subcontractors under or in connection with any
work, authority, or jurisdiction conferred upon AGENCY under this RGA. It is understood and
agreed that AGENCY shall fully defend, indemnify, and save harmless CALTRANS and all of
CALTRANS’ officers and employees from all claims, suits or actions of every name, kind, and
description brought forth under, including, but not limited to, tortuous, contractual, inverse
condemnation or other theories or assertions of liability occurring by reason of anything done or
omitted to be done by AGENCY, its officers, employees, agents, contractors, sub-recipients, or
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subcontractors under this RGA.
22. Nondiscrimination Clause (2 CCR 11105 Clause b)
a. During the performance of this RGA, the AGENCY contractors, sub-recipients, and
subcontractors shall not deny the contract's benefits to any person on the basis of race,
religious creed, color, national origin, ancestry, physical disability, mental disability, medical
condition, genetic information, marital status, sex, gender, gender identity, gender expression,
age, sexual orientation, or military and veteran status, nor shall they discriminate unlawfully
against any employee or applicant for employment because of race, religious creed, color,
national origin, ancestry, physical disability, mental disability, medical condition, genetic
information, marital status, sex, gender, gender identity, gender expression, age, sexual
orientation, or military and veteran status. AGENCY shall ensure that the evaluation and
treatment of employees and applicants for employment are free of such discrimination.
b. AGENCY shall comply with the provisions of the Fair Employment and Housing Act (Gov. Code
Sections 12900 et seq.), the regulations promulgated thereunder (Cal. Code Regs., Tit. 2,
Sections 11000 et seq.), the provisions of Article 9.5, Chapter 1, Part 1, Division 3, Title 2 of the
Government Code (Gov. Code Sections 11135-11139.5), and the regulations or standards
adopted by CALTRANS to implement such article.
c. AGENCY shall permit access by representatives of the Department of Fair Employment and
Housing and CALTRANS upon reasonable notice at any time during normal business hours, but
in no case less than 24 hours' notice, to such of its books, records, accounts, and all other
sources of information and its facilities as said Department or CALTRANS shall require to
ascertain compliance with this clause.
d. AGENCY and contractors, sub-recipients, and subcontractors shall give written notice of their
obligations under this clause to labor organizations with which they have a collective bargaining
or other agreement.
e. AGENCY shall include the nondiscrimination and compliance provisions of this clause in all
agreements with its sub-recipients, contractors, and subcontractors, and shall include a
requirement in all agreements with all of same that each of them in turn include the
nondiscrimination and compliance provisions of this clause in all contracts and subcontracts
they enter into to perform work under the RGA.
23. Retention of Records/Audits
a. AGENCY, its contractors, subcontractors and sub-recipients, agree to comply with Title 2, Code
of Federal Regulations (CFR), Part 200, Uniform Administrative Requirements, Cost Principles,
and Audit Requirements for Federal Awards.
b. All accounting records and other supporting papers of AGENCY, its contractors, subcontractors
and sub-recipients connected with Project performance under this RGA shall be maintained for
a minimum of three (3) years from the date of final payment to AGENCY and shall be held open
to inspection, copying, and audit by representatives of CALTRANS, the California State Auditor,
and auditors representing the federal government. Copies thereof will be furnished by
AGENCY, its contractors, its subcontractors and sub-recipients upon receipt of any request
made by CALTRANS or its agents. In conducting an audit of the costs and match credits
claimed under this RGA, CALTRANS will rely to the maximum extent possible on any prior audit
of AGENCY pursuant to the provisions of State and AGENCY law. In the absence of such an
audit, any acceptable audit work performed by AGENCY’s external and internal auditors may
be relied upon and used by CALTRANS when planning and conducting additional audits.
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c. For the purpose of determining compliance with applicable State and AGENCY law in
connection with the performance of AGENCY’s agreements with third parties pursuant to
Government Code Section 8546.7, AGENCY, AGENCY’s sub-recipients, contractors,
subcontractors, and CALTRANS, shall each maintain and make available for inspection all
books, documents, papers, accounting records, and other evidence pertaining to the
performance of such contracts, including, but not limited to, the costs of administering those
various contracts. All the above referenced parties shall make such materials available at their
respective offices at all reasonable times during the entire Project period and for three (3) years
from the date of final payment to AGENCY under this RGA. CALTRANS, the California State
Auditor, or any duly authorized representative of CALTRANS or the United States Department
of Transportation, shall each have access to any books, records, and documents that are
pertinent to a Project for audits, examinations, excerpts, and transactions, and AGENCY shall
furnish copies thereof if requested.
d. AGENCY, its sub-recipients, contractors, and subcontractors will permit access to all records of
employment, employment advertisements, employment application forms, and other pertinent
data and records by the State Fair Employment Practices and Housing Commission, or any
other AGENCY of the State of California designated by CALTRANS, for the purpose of any
investigation to ascertain compliance with this RGA.
e. Additionally, all grants may be subject to a pre-award audit prior to execution of the RGA to
ensure AGENCY has an adequate financial management system in place to accumulate and
segregate reasonable, allowable, and allocable costs.
f. Any contract with a contractor, subcontractor, or sub-recipient entered into as a result of this
RGA shall contain all the provisions of this article.
24. Adjudication of Facts in Disputes
a. Any dispute concerning a question of fact arising under this RGA that is not disposed of by
agreement shall be decided by the CALTRANS Contract Officer, who may consider any written
or verbal evidence submitted by AGENCY. The CALTRANS Contract Officer shall issue a
written decision within 30 days of receipt of the dispute. If AGENCY rejects the decision of the
CALTRANS Contract Officer, AGENCY can pursue any and all remedies authorized by law.
Neither party waives any rights to pursue remedies authorized by law.
b. Neither the pendency of a dispute nor its consideration by CALTRANS Contract Officer will
excuse AGENCY from full and timely performance in accordance with the terms of the RGA.
c. Voluntary Resolution: Reference to Other Means of Resolution. In recognition of the government-
to-government relationship of the AGENCY and CALTRANS, the parties shall make their best
efforts to resolve disputes that occur under this RGA by good faith negotiations whenever
possible. Therefore, without prejudice to the right of either party to seek injunctive relief against
the other when circumstances are deemed to require immediate relief, the parties hereby
establish a threshold requirement that disputes between the AGENCY and CALTRANS first be
subjected to a process of meeting and conferring in good faith in order to foster a spirit of
cooperation and efficiency in the administration and monitoring of performance and compliance
by each other with the terms, provisions, and conditions of this RGA, as follows:
1) Either party shall give the other, as soon as possible after the event giving rise to the
concern, a written notice setting forth, with specificity, the issues to be resolved.
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2)The parties shall meet and confer in a good faith attempt to resolve the dispute through
negotiation not later than 10 days after receipt of the notice, unless both parties agree in
writing to an extension of time.
3)If the dispute is not resolved to the satisfaction of the parties within 30 working days after the
first meeting, then either party may seek to have the dispute resolved by alternative dispute
resolution methods, including, but not limited to, non-binding arbitration, mediation, or the use
of a technical advisor.
4)Disagreements that are not otherwise resolved by mutually acceptable means as provided
herein may be resolved in the Superior Court of the State of California located within the
same county where a Project is located. The disputes to be submitted to the court include
claims of breach or violation of this RGA. This RGA shall be interpreted under the laws of the
State of California without regard to any conflict of laws’ provisions. In no event may
AGENCY be precluded from pursuing any arbitration or judicial award or remedy against
CALTRANS on the grounds that AGENCY has failed to exhaust its state administrative
remedies. The parties agree that, except in the case of imminent threat to public health or
safety, reasonable efforts will be made to explore alternative dispute resolution avenues prior
to initiating judicial proceedings.
25.Third-Party Contracts
a.All State-government funded procurements must be conducted using a fair and competitive
procurement process. AGENCY may use its own procurement procedures as long as the
procedures comply with the local AGENCY’s laws, rules, and ordinances governing
procurement and all applicable provisions of State law, including, without limitation, the
requirement that the AGENCY endeavor to obtain at least three (3) competitive bids for
solicitation of goods, services, and consulting services.
Resources for Third Party Contracts, which are not inconsistent with this Paragraph 25, Third
Party Contracts:
1) Part 2, Chapter 2, Articles 3 and 4 of the Public Contract Code
2) State Contracting Manual (SCM), Chapter 5
3)Caltrans Local Assistance Procedures Manual (LAPM) Chapter 10
b.Any contract entered into as a result of this RGA shall contain all the provisions stipulated in this
RGA to be applicable to AGENCY’s subrecipients, contractors, and subcontractors. Copies of
all agreements with subrecipients, contractors, and subcontractors must be submitted to the
CALTRANS Contract Manager.
c.CALTRANS does not have a contractual relationship with the AGENCY’s subrecipients,
contractors, or subcontractors and the AGENCY shall be fully responsible for all work performed
by its sub-recipients, contractors, or subcontractors.
d.Prior authorization in writing by CALTRANS Contract Manager shall be required before
AGENCY enters into any non-budgeted purchase order or sub-agreement for supplies, or
consultant services. AGENCY shall provide an evaluation of the necessity or desirability of
incurring such costs. AGENCY shall retain all receipts for such purchases or services and shall
submit them with invoices per Section III–Payment and Invoicing, Paragraph 15(e)(4),
above.
e.Any contract entered into by AGENCY as a result of this RGA shall mandate that travel and per
diem reimbursements and third-party contract reimbursements to sub-recipients, contractors,
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and subcontractors, will be allowable as Project costs only after those costs are incurred and
paid for by the subrecipients, contractors, and subcontractors. Travel expenses and per diem
rates for subcontractors shall be reimbursed pursuant to Section III–Payment and Invoicing,
Paragraph 15c, above.
26.Drug-Free Workplace Certification
By signing this RGA, AGENCY hereby certifies under penalty of perjury under the laws of California
that AGENCY will comply with the requirements of the Drug-Free Workplace Act of 1990 (Gov.
Code Sections 8350 et seq.) and will provide a Drug-Free workplace by doing all the following:
a.Publish a statement notifying employees that unlawful manufacture, distribution, dispensation,
possession, or use of a controlled substance is prohibited and specifying actions to be taken
against employees for violations, as required by Government Code Section 8355(a)(1).
b.Establish a Drug-Free Awareness Program as required by Government Code Section
8355(a)(2) to inform employees about all the following:
1)The dangers of drug abuse in the workplace;
2)The person's or organization's policy of maintaining a Drug-Free workplace;
3)Any available counseling, rehabilitation, and employee assistance programs; and
4)Penalties that may be imposed upon employees for drug abuse violations.
c.Provide, as required by Government Code Section 8355(a)(3), that every employee who works
on the proposed contract or grant:
1)Will receive a copy of the company's Drug-Free Policy Statement, and
2)Will agree to abide by the terms of the company's statement as a condition of employment
on the contract or grant.
d.Failure to comply with these requirements may result in suspension of payments under this
RGA or termination of this RGA or both, and AGENCY may be ineligible for the award of any
future State contracts if CALTRANS determines that any of the following has occurred: (1)
AGENCY has made a false certification or, (2) AGENCY violates the certification by failing to
carry out the requirements as noted above.
27.Relationship of Parties
It is expressly understood that this agreement is executed by and between two (2) independent
governmental entities and is not intended to, and shall not be construed to, create the relationship
of agent, servant, employee, partnership, joint venture or association, or any other relationship
whatsoever other than that of an independent party.
28.State-Owned Data
a.AGENCY agrees to comply with the following requirements to ensure the preservation, security,
and integrity of State-owned data on portable computing devices and portable electronic storage
media:
1)Encrypt all State-owned data stored on portable computing devices and portable electronic
storage media using government-certified Advanced Encryption Standard (AES) cipher
algorithm with a 256-bit or 128-bit encryption key to protect CALTRANS data stored on
every sector of a hard drive, including temp files, cached data, hibernation files, and even
unused disk space.
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2)Data encryption shall use cryptographic technology that has been tested and approved
against exacting standards, such as FIPS 140-2 Security Requirements for Cryptographic
Modules.
3)Encrypt, as described above, all State-owned data transmitted from one computing device
or storage medium to another.
4)Maintain confidentiality of all State-owned data by limiting data sharing to those individuals
contracted to provide services on behalf of the State, and limit use of State information
assets for State purposes only.
5)Install and maintain current anti-virus software, security patches, and upgrades on all
computing devices used during the course of the Agreement.
6)Notify CALTRANS Contract Manager immediately of any actual or attempted violations of
security of State-owned data, including lost or stolen computing devices, files, or portable
electronic storage media containing State-owned data.
7)Advise the owner of the State-owned data, the AGENCY Information Security Officer, and
the AGENCY Chief Information Officer of vulnerabilities that may present a threat to the
security of State-owned data and of specific means of protecting that State-owned data.
b.AGENCY agrees to use the State-owned data only for State purposes under this Agreement.
c.AGENCY agrees to not transfer State-owned data to any computing system, mobile device, or
desktop computer without first establishing the specifications for information integrity and
security as established for the original data file(s). (State Administrative Manual (SAM) Section
5335.1)
29.Assumption of Risk and Indemnification Regarding Exposure to Environmental Health
Hazards
In addition to, and not a limitation of, Contractor’s indemnification obligations contained elsewhere
in this RGA, Contractor hereby assumes all risks of the consequences of exposure of Contractor’s
employees, agents, subrecipients, contractors, and subcontractors, subcontractors’ employees, and
any other person, firm, or corporation furnishing or supplying work services, materials, or supplies in
connection with the performance of this Agreement, to any and all environmental health hazards,
local and otherwise, in connection with the performance of this Agreement. Such hazards include,
but are not limited to, bodily injury and/or death resulting in whole or in part from exposure to
infectious agents and/or pathogens of any type, kind or origin. Contractor also agrees to take all
appropriate safety precautions to prevent any such exposure to Contractor’s employees, agents,
subrecipients, contractors, and subcontractors, subcontractors’ employees, and any other person,
firm or corporation furnishing or supplying work services, materials, or supplies in connection with
the performance of this Agreement. Contractor also agrees to indemnify and hold harmless
Caltrans, the State of California, and each and all of their officers, agents and employees, from any
and all claims and/or losses accruing or resulting from such exposure. Except as provided by law,
Contractor also agrees that the provisions of this paragraph shall apply regardless of the existence
or degree of negligence or fault on the part of Caltrans, the State of California, and/or any of their
officers, agents and/or employees.
30.Mandatory Organic Waste Recycling
It is understood and agreed that pursuant to Public Resources Code Sections 42649.8 et seq., if
Contractor generates two (2) cubic yards or more of organic waste or commercial solid waste per
week, Contractor shall arrange for organic waste or commercial waste recycling services that
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separate/source organic waste for organic waste recycling. Contractor shall provide proof of
compliance, i.e. organic waste recycling services or commercial waste recycling services that
separate/source organic waste recycling, upon request from Caltrans Contract Manager.
31. ADA Compliance
All entities that provide electronic or information technology or related services that will be posted
online by Caltrans must be in compliance with Government Code Sections 7405 and 11135 and the
Web Content Accessibility Guidelines (WCAG) 2.0 or subsequent version, published by the Web
Accessibility Initiative of the World Wide Web Consortium at a minimum Level AA success. All
entities will respond to and resolve any complaints/deficiencies regarding accessibility brought to
their attention.
32. Project Close Out/Final Product
a. AGENCY will provide an electronic version, preferable ADA accessible of the Final Product(s) to
the CALTRANS Contract Manager.
b. CALTRANS reserves the right to withhold final payment to AGENCY pending receipt of Final
Product(s) to CALTRANS Contract Manager.
33. Avoidance of Infringement
In performing services under this RGA, AGENCY and its employees agree to avoid designing or
developing any items that infringe one (1) or more patients or other intellectual property rights of any
third party. If AGENCY or its employees becomes aware of any such possible infringement in the
course of performing any Work under this RGA, AGENCY or its employees shall immediately notify
CALTRANS in writing.
34. Electronic Signatures
Each party agrees that the electronic signatures, whether digital or encrypted, of the parties
included in this Agreement are intended to authenticate this writing and to have the same force and
effect as manual signatures for this Agreement. Documents that are referenced by this Agreement
may still require manual signatures.
35. Executive Order N-6-22 – Russia Sanctions
On March 4, 2022, Governor Gavin Newsom issued Executive Order N-6-22 (the EO) regarding
Economic Sanctions against Russia and Russian entities and individuals. “Economic Sanctions”
refers to sanctions imposed by the U.S. government in response to Russia’s actions in Ukraine, as
well as any sanctions imposed under state law unless the contract has been Federalized (i.e. there
is federal participation in any phase). The EO directs state agencies to terminate contracts with, and
to refrain from entering any new contracts with, individuals or entities that are determined to be a
target of Economic Sanctions. Accordingly, should the State determine Contractor is a target of
Economic Sanctions or is conducting prohibited transactions with sanctioned individuals or entities,
that shall be grounds for termination of this agreement. The State shall provide Contractor advance
written notice of such termination, allowing Contractor at least 30 calendar days to provide a written
response. Termination shall be at the sole discretion of the State.
City of Ukiah
Agreement Number 74A1765
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Section IV
In Witness Whereof, the parties hereto have executed this RGA on the day and year first herein
above written:
STATE OF CALIFORNIA CITY OF UKIAH
DEPARTMENT OF TRANSPORTATION
By: By:
Printed Name: Printed Name:
Title: Title:
Date: Date:
By:
Printed Name:
Title:
Date:
By:
Printed Name:
Title:
Date:
Sage Sangiacomo
City Manager
10/21/2025
East Perkins Street, including Adventist Health Ukiah Valley Hospital, the future Mendocino
County Superior Courthouse, the Ukiah Main Branch Library, and nearby low- and moderate-
income housing, the Rail Trail (Great Redwood Trail), as well as retail centers such as the Pear
Tree Shopping Center. Anticipated development projects, including the new courthouse,
hospital expansion, and a new road extending from Hospital Drive, underscore the urgent need
to prepare East Perkins Street for increased transportation demand.
As an underserved community with a median household income at 68.5% of the statewide
average, Ukiah stands to benefit significantly from these improvements. Census tracts along East
Perkins Street show even lower income levels, with tracts 115 and 116 at 65.3% and 45.8% of the
statewide median, respectively. Planning multimodal upgrades for this corridor will support low-
to moderate-income residents, enhance equitable access to regional resources, and contribute
to climate goals by encouraging active transportation.
With Caltrans as an active partner, this planning effort will coordinate closely on improvements
within and adjacent to Caltrans’ right of way. The final study will serve as a roadmap to pursue
funding for implementation, ensuring East Perkins Street evolves into a modern, multimodal
gateway corridor that enhances connectivity, sustainability, and quality of life for Ukiah
residents.
Project Stakeholders
City of Ukiah
The City of Ukiah is the lead applicant and will be the grant recipient. The project will be
overseen by a small team comprised of staff from the Public Works Streets and Community
Development Planning, Housing and Grants Management Divisions, with a key point of contact
assigned for grant administration and coordination. The City will execute the Restricted Grant
Agreement with Caltrans and execute an agreement with its sub-applicant, CivicWell, a 501(c)3
non-profit organization. The City will conduct a competitive bid process to select a qualified
consultant team with multimodal transportation planning, traffic engineering and urban design
expertise. The City will provide $37,105 in matching funds to meet the 11.47-percent local match.
Staff will coordinate with Caltrans District staff and other project partners and agencies, establish
a Project Advisory Group and Technical Working Group, participate in community engagement
activities, attend meetings, provide data and policy documents, review consultant products,
and direct revisions. City staff will prepare quarterly invoices and reports to Caltrans with
documentation support from CivicWell and the selected consultant. Staff will also coordinate
with partners to help publicize the project and ensure public participation in all aspects of the
community planning process.
CivicWell
CivicWell will assist the City with project coordination and documentation. Staff will help the City
assemble and facilitate a Project Advisory Group, organize the community engagement events,
develop publicity materials with local input, and document public input for inclusion in the
resulting plan document. CivicWell staff will work closely with the City and consultant team to
design and implement community engagement activities including in-person and virtual
workshops, walk audits, and stakeholder listening sessions and focus group meetings. CivicWell
has extensive experience in public engagement in planning processes, multi-modal
transportation planning and community design. Since 2001, CivicWell has worked on over 80
planning projects funded by Caltrans throughout the state. CivicWell has staff that is fluent in
Spanish and can produce outreach materials and conduct meetings and workshops in English
and Spanish.
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Consultant
The selected consultant (or team of consultants) will have expertise in active transportation,
multimodal transportation planning, traffic engineering and urban design. The consultant will do
the following:
• Analyze and document detailed baseline conditions for multimodal access,
connectivity, traffic safety and operations, and transit service and operations,
• Actively participate in facilitation of community engagement activities,
• Develop design concepts and visualizations, generate recommendations that respond
to input from residents, stakeholders and responsible agencies,
• Conduct technical analysis which will include:
o Review and documentation of existing right of way, land use and transit conditions,
and previous analysis for potential alignments and improvements on the corridor,
o Collect and evaluate traffic data for all modes at a detailed level.
o Develop conceptual plans and design detailing proposed infrastructure and
operational improvements (with the final recommended plan developed to 30%
completion).
o Prepare preliminary cost estimates, implementation phasing, actions, presentations,
and approvals required for proposed improvements.
• Prepare the City of Ukiah East Perkins Street Multimodal Transportation Plan document.
Community and Agency Stakeholders
As described in the scope of work tasks below, numerous stakeholders will be engaged
throughout the planning effort, including (but not limited to) representatives from Caltrans,
Mendocino Council of Governments, Mendocino Transit Authority, Mendocino County
Departments of Planning, Social Services, Public Health, and Transportation, City of Ukiah Fire
Authority, Ukiah Police Department, Ukiah diversity and Equity Committee, the local tribes of
Pinoleville, Guidiville, Coyote Valley Rancheria, and Redwood Rancheria, Vecinos en Accion,
Great Redwood Trail Authority, Adventist Health - Mendocino County, the Blue Zones Project,
Judicial Council of California/Mendocino County Court, Walk & Bike Mendocino, North Coast
Opportunities, Greater Ukiah Business and Tourism Alliance, and Climate Action Mendocino,
City of Ukiah Housing Division, East Perkins Street business owners and property owners, and
organizations that work with youth, seniors, and people with disabilities. Other stakeholders may
be included, according to availability, such as local schools, disability advocates, and other
non-profits.
Overall Project Objectives
The primary objectives of this project are to promote multimodal transportation by creating
safer, more accessible, and efficient travel networks for all users while enhancing aesthetics and
establishing inviting gateways into Ukiah from regional corridors.
Community support has highlighted interest in improvements such as roundabouts and a road
diet along the corridor. The planning effort will evaluate these options, among others, as
potential solutions to meet project objectives. This process will involve comprehensive data
collection, research, and analysis of current conditions along East Perkins Street, from the eastern
ramps of US-101 to Main Street, as well as the anticipated impacts of proposed changes.
Recommendations will identify the most effective strategies to achieve project goals. The City
will collaborate closely with Caltrans to assess any impacts on the highway system and, ensure
recommended improvements function in harmony with highway operations, and where
feasible, propose recommendations to enhance highway-street intersections.
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• County Courthouse Representatives
• Organizations that work with youth, seniors and people with disabilities
The database will continue to evolve throughout the project under the activities described
below and subsequent tasks.
Convene Advisory Group
The City will establish a community and stakeholder outreach advisory group of approximately
12 individuals for project guidance and meet periodically during the course of the project.
Participants will include representatives from local and regional agencies and other
organizations and groups from the stakeholder list described above. CivicWell will assist with
planning, organization, facilitation, and documentation of meetings. The group will identify
important sensitivities to consider and pertinent information regarding the conditions, history,
and needs of residents, workers, and visitors. It will help determine strategies for framing and
communication and for engaging all population segments and maximizing participation at
public events, as well as opportunities for coordination and synergy with other local events,
initiatives and planning activities impacting the community. Meetings will also provide a venue
for discussion of plan concepts and strategies for implementation.
The group is expected to meet on at least three occasions during the course of the project, with
ongoing communication, solicitation for input and support with outreach and promotion, and
additional check-in meetings as needed.
• Meeting #1 will take place during the existing conditions phase. Topics will include key
issues to address in the Plan, problem areas to study, locations with the greatest safety
challenges, scheduling and location for outreach events, key stakeholders to consult, and
strategies for engaging underserved residents.
• Meeting #2 is anticipated before the community workshops. The agenda will focus on a
review of existing conditions prepared by the consultant team and outreach and planning
for the events.
• Meeting #3 will occur following the initial round of community workshops and engagement
activities to debrief the input received to date and potential gaps to consider for further
outreach.
Convene Technical Working Group
The City will establish a technical working group that will meet periodically, virtually or in-person,
throughout the project on an as-needed basis. It will include key representatives from Caltrans
District 1, City of Ukiah Departments of: Public works, Planning, Fire and Police, Mendocino Transit
Authority, and Mendocino Council of Governments, and others as deemed necessary by the
group. The group will identify data sources, documents, and critical issues to address, discuss and
vet concepts developed by the consultant, and collect feedback and input on plan elements
prior to seeking community input on proposed improvements. CivicWell and the consultant will
assist the City with planning, organization, facilitation, and documentation of meetings.
Project Outreach Plan
CivicWell will prepare a detailed outreach plan and assist with implementation in close
coordination with the City and in consultation with the advisory group to inform and engage the
public. It will include an outreach schedule, stakeholder and target audience contact list, and
methods, channels, venues and activities to engage diverse segments of the community for input
and feedback. Forums will include an online public engagement platform, surveys, community
workshops, focus group meetings, and a project website. Opportunities for informational
presentations to tribal councils and other community groups, and tabling at community events will
also be included. Means will be identified for direct engagement with under-resourced and
City of Ukiah
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Community Workshops
Three rounds of community-wide public workshops are planned for this project – the first to solicit
community input early in the project, the second to review and confirm findings, input received
and proposed designs and recommendations for the corridor, and the last to be held after the
draft plan is available for public review. The City and CivicWell, with help from the advisory
group and local co-hosts, will arrange facilities and food (in accord with grant guidelines for
eligible snack and refreshment expenses), and other supporting promotional and celebratory
activities.
The conceptual scope of events includes:
• Round 1 - Needs and Possibilities.
The City will host a kick-off workshop in which CivicWell and the consultant will present tools
and strategies for active transportation, complete streets and placemaking, followed by
small group map activities or stations where participants will identify issues and mark up
opportunities for change. The team will also conduct a walking audit with community
members of key locations on the corridor in conjunction with the workshop. A second
workshop will follow to confirm the input received and present initial ideas for change that
the team will explore and bring back to the public for feedback.
• Round 2 – Concepts and Recommendations.
The City will host a workshop where the consultant will present proposed improvements
and a walking tour where participants can discuss proposed changes in the field.
Breakouts and weighing activities will be used to identify support and concerns,
preferences and priorities, and collect feedback to inform refinements.
• Round 3 – Draft Plan Review.
Following release of the draft plan for public review, the City, with support from CivicWell,
will organize and widely publicize an evening workshop where the consultant will present
the full draft plan to stakeholders and the community. This will provide an opportunity for
stakeholders and residents to provide feedback on the tools, designs and
recommendations and to make sure critical issues have been addressed.
Focus Meetings
The City, with input from the advisory group and support from CivicWell and selected consultant,
will conduct approximately 5 to 10 small group listening sessions to learn about mobility needs
across sectors and representative population segments. These will be scheduled in conjunction
with the existing conditions/needs assessment phase and the first round of workshops. Additional
meetings may be held as needed during the second round and plan development phase.
These sessions will be designed to capture candid feedback, insights, and ideas in a casual and
open format. Participants may include (but not be limited to) individuals from:
• Housing authorities, affordable housing providers, and apartment communities
• Corridor area property owners and developers
• Businesses, property owners and employers
• K-12 School students, schools, and district representatives
• Tribal governments
• Organizations that represent and work with Latino and Spanish-speaking populations
• Organizations that work with and represent people with disabilities
• Organizations that work with and represent youth, seniors and veterans
• Environmental justice and social equity advocacy groups
• Local art, music, food and entertainment associations and advocates
Website
A City of Ukiah East Perkins Street Multimodal Transportation Plan web page will be established to
will provide project updates and access to plan documents, publicize upcoming events, and
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ADA Notice: For individuals with sensory disabilities, this document is available in alternate formats. For
information call (916) 654-6410 or TDD (916) 654-3880 or write Records and Forms Management, 1120 N Street,
MS-89, Sacramento, CA 95814.
City of Ukiah
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i-ii
Updated October 2024
TABLE OF CONTENTS
TABLE OF CONTENTS ........................................................................................................... i-ii
1.GRANT PROGRAM OVERVIEW ....................................................................................... 1
Sustainable Transportation Planning Grant Summary Chart .................................................. 2
Grant Program Objectives and Considerations ...................................................................... 5
2.SUSTAINABLE COMMUNITIES COMPETITIVE AND TECHNICAL...................................... 9
Purpose and Specific Objectives .............................................................................................. 9
Example Project Types .............................................................................................................. 10
Eligible and Ineligible Activities and Expenses ....................................................................... 13
Tips for Successful Sustainable Communities Grant Applications ........................................ 14
3.SUSTAINABLE COMMUNITIES FORMULA ...................................................................... 19
Purpose and Specific Objectives ............................................................................................ 19
Guidance and Approval Process ........................................................................................... 20
Example Project Types .............................................................................................................. 20
Eligible and Ineligible Activities and Expenses ....................................................................... 21
Formula Grant Allocation Estimates ........................................................................................ 21
4.CLIMATE ADAPTATION PLANNING .............................................................................. 22
Purpose and Specific Objectives ............................................................................................ 22
Example Project Types .............................................................................................................. 24
Eligible and Ineligible Activities and Expenses ....................................................................... 27
Tips for a Successful Climate Adaptation Planning Grant Application .............................. 28
5.STRATEGIC PARTNERSHIPS ............................................................................................ 30
Purpose and Specific Objectives ............................................................................................ 30
Federal Planning Factors .......................................................................................................... 30
Complete Streets Local Match Waiver .................................................................................. 30
Example Project Types .............................................................................................................. 31
Eligible and Ineligible Activities and Expenses ....................................................................... 32
Tips for Successful Strategic Partnerships Grant Applications .............................................. 34
6.GRANT PROJECT ADMINISTRATIVE REQUIREMENTS .................................................... 35
Coordination with Caltrans ...................................................................................................... 35
Third Party Contracts ................................................................................................................ 35
Quarterly Reporting .................................................................................................................. 36
Integrated Climate Adaptation and Resiliency Program (ICARP) Case Studies ............... 36
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i-ii
Invoicing and Financial Requirements ..................................................................... .... .... 37
Non-Discrimination Requirements ........................................................................................... 42
Final Product .............................................................................................................................. 42
Project Close-Out Survey ......................................................................................................... 43
California Public Records Act .................................................................................................. 43
7.APPLICATION SUBMITTAL PROCESS ............................................................................. 44
Applicant Eligibility .................................................................................................................... 44
Early Coordination and Technical Assistance for Primary Applicants ................................. 44
7.3 Application Submittal Instructions ........................................................................................... 45
7.4 Application Supplemental Documentation .......................................................................... 46
8.APPLICATION REVIEW PROCESS .................................................................................. 47
Two-Tiered Application Review Process ................................................................................. 47
Application Evaluation/Scoring Process ................................................................................ 47
Past Performance Award Considerations .............................................................................. 47
9.APPLICATION AWARD PROCESS .................................................................................. 49
Award and Non-Award ............................................................................................................ 49
Contracting with Caltrans ........................................................................................................ 49
APPENDIX A. Guidance, Tools, and Resources for Preparing a Grant Application ..... 53
Grant Program Considerations ................................................................................................................ 53
Resources to Advance Grant Specific Objectives ................................................................................ 57
APPENDIX B. Sample Application Package .................................................................... 79
APPENDIX C. Caltrans/Regional Agency Boundaries Map ......................................... 108
APPENDIX D. Caltrans District Contact List .................................................................... 109
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Caltrans Sustainable Transportation Planning Grant Program
FY 2025-26 Grant Application Guide 1
1. GRANT PROGRAM OVERVIEW
The Sustainable Transportation Planning Grant Program was created to support the California
Department of Transportation’s (Caltrans) Mission: Provide a safe and reliable transportation
network that serves all people and respects the environment.
The California Legislature passed, and Governor Edmund G. Brown Jr. signed into law, Senate Bill 1
(SB 1, Beall, Chapter 5, Statutes of 2017) – The Road Repair and Accountability Act of 2017, a
transportation funding bill that provides a reliable fund source to maintain and integrate the State’s
multimodal transportation system. In addition to the $9.5 million in traditional State and federal
grants, approximately $25 million in SB 1 funds for Sustainable Communities Grants is available for
each grant cycle.
The State-funded Sustainable Communities grants ($29.5 million) are intended to support and
implement Regional Transportation Plan (RTP) Sustainable Communities Strategies/Alternative
Planning Strategies (SCS/APS) (where applicable) and to ultimately achieve the State’s
greenhouse gas (GHG) reduction target of 40 and 80 percent below 1990 levels by 2030 and 2050,
respectively.
The State-funded Climate Adaptation Planning grants ($3 million) enacted with Senate Bill 198
(Committee on Budget and Fiscal Review, Chapter 71, Statutes of 2022), will support local and
regional identification of transportation-related climate vulnerabilities through the development of
climate adaptation plans, as well as project-level adaptation planning to identify adaptation
projects and strategies for transportation infrastructure.
The federal-funded Strategic Partnerships and Strategic Partnership Transit grants ($4.5 million)
support Federal Planning Factors and address State highway/transit issues of regional, interregional,
and/or statewide significance, in partnership with Caltrans.
Eligible planning projects must have a transportation nexus per Article XIX Sections 2 and 3 of the
California Constitution. Therefore, successful planning projects are expected to directly benefit the
multimodal transportation system. These grants will also improve public health, social equity,
environmental justice, the environment, and provide other important community benefits. The
period of grant fund availability spans over three FYs and approximately 32 months for grant
project activities after the grant agreement is executed and Caltrans issues a Notice to Proceed.
Refer to Chapter 9.2 for details regarding the anticipated grant project start and expiration dates.
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Caltrans Sustainable Transportation Planning Grant Program
FY 2025-26 Grant Application Guide 6
Grant Program Considerations
The Grant Program supports related State and federal mandated initiatives. The Plans and
Programs listed below should be considered in grant application development. Definitions and
links to these resources can be found in Appendix A.
Caltrans Strategic Plan
The Strategic Plan is a declaration of the Caltrans vision and mission, core
values, strategic imperatives, and six goals to deliver a world-class
transportation system for one of the nation’s most populous, innovative, and
diverse states:
Ø Safety first
Ø Cultivate excellence
Ø Enhance and connect the multimodal transportation network
Ø Strengthen stewardship and drive efficiency
Ø Lead climate action
Ø Advance equity and livability in all communities
This plan guides and informs the development of the Sustainable Transportation Planning Grant
Program. Competitive applications will articulate how they will assist in achieving the Caltrans
vision and mission, the six strategic goals above.
California Transportation Plan 2050
The California Transportation Plan (CTP) 2050 is a long-range transportation plan, updated every
five years pursuant to State and federal law, and is statutorily required
to be fiscally unconstrained:
Ø Defines a vision for the future transportation system, establishes
new statewide priorities, and guides Caltrans and partner
agencies in implementing its recommendations
Ø Identifies strategies and policies that are required to make
transparent and transformational transportation decisions
Ø Recognizes the unique transportation needs and interests of
urban, suburban, rural, and tribal communities
Ø Guides transportation decision makers at all levels of
government, while emphasizing the importance of shared
responsibility in meeting our transportation needs
The CTP does not contain projects, but policies and strategies required to close the gap between
what the RTPs aim to achieve and how much more is required to meet 2050 goals. Competitive
applications will discuss how proposed projects will assist in achieving the CTP 2050 vision, goals,
recommendations, and the modal plans that support it.
Modal Plans that Support the California Transportation Plan
The CTP is the umbrella plan that informs and pulls together the State’s long-range modal plans
listed below, to envision the future system:
Ø Interregional Transportation Strategic Plan
Ø California Freight Mobility Plan
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Caltrans Sustainable Transportation Planning Grant Program
FY 2025-26 Grant Application Guide 7
Ø California State Rail Plan
Ø California State Bicycle and Pedestrian Plan
Ø Statewide Transit Strategic Plan
Ø California Aviation System Plan
Strategic Highway Safety Plan
The Strategic Highway Safety Plan (SHSP) is a statewide, coordinated traffic
safety plan that provides a comprehensive framework for reducing
roadway fatalities and serious injuries on California’s public roads. This
document represents the third update of California’s initial 2005 SHSP and
uses the latest crash data and insights from safety partners across the state
to inform the SHSP’s development. Working in conjunction with other
statewide safety plans such as the Highway Safety Improvement Program,
the Highway Safety Plan, and the Commercial Vehicle Safety Plan, this
SHSP provides guidance that will influence the development of goals,
strategies, and performance measures for stakeholders working to improve
traffic safety throughout California.
The latest California SHSP effort focuses on strategies with the greatest potential to reduce fatalities,
serious injuries, and overall crashes. To ensure that decision-making is consistent, the SHSP is
anchored by a clear Vision, Mission, and Goal. The vision represents what the SHSP aims to
accomplish, while the mission is the means of getting there. Fulfilling these statements affords the
state, under guidance of the SHSP, the best opportunity to reach its goal: Zero Fatalities and Serious
Injuries by 2050.
Title VI and Environmental Justice
Title VI of the U.S. Civil Rights Act prohibits discrimination on the basis of race, color, or national
origin in programs or activities receiving federal financial assistance. A similar prohibition applies to
recipients of state funds under California Government Code section 11135, which prohibits
discrimination on the basis of race, color or national origin, as well as ethnic group identification,
religion, age, sex, sexual orientation, genetic information, or disability.
Caltrans integrates Title VI as well as environmental justice in all activities. In the past, low-income
and minority communities disproportionately bore many of the negative impacts of transportation
projects, which they continue to feel the consequences from today. It is the goal of environmental
justice to ensure that when transportation decisions are made, low-income and minority
communities have a full opportunity to participate in the decision-making process, and they
receive an equitable distribution of benefits and not a disproportionate share of burdens, which
contribute to poor health outcomes.
More information about non-discrimination requirements can be found in Chapter 6.6.
Director’s Policy DP 28-R2 (Title VI Implementation Plan: Federal Fiscal Year 2024, Appendix B):
https://dot.ca.gov/-/media/dot-media/programs/civil-rights/documents/title-
vi/2024caltranstitleviimplementationplan9823a11y.pdf
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Caltrans Sustainable Transportation Planning Grant Program
FY 2025-26 Grant Application Guide 8
Climate Action Plan for Transportation Infrastructure
The Climate Action Plan for Transportation Infrastructure (CAPTI) details
how the State recommends shifting and investing billions of discretionary
transportation dollars annually to aggressively combat and adapt to
climate change while supporting public health, safety and equity. CAPTI
builds on executive orders signed by Governor Gavin Newsom in 2019 and
2020 targeted at reducing GHG emissions in transportation, which account
for more than 40 percent of all emissions, to reach the State's ambitious
climate goals. Competitive grant applications will discuss how proposed
projects will assist in implementing the CAPTI Investment Framework,
Guiding Principles, and align with the Implementation Strategies and Key
Actions. Through CAPTI Caltrans is committed to intentional engagement and partnership with
tribal governments and community-based organizations representing historically marginalized
voices.
California Climate Adaptation Strategy
The California Climate Adaptation Strategy, mandated by Assembly Bill 1482 (Gordon, 2015), links
the State’s existing and planned climate adaptation efforts, showing how they fit together to
achieve California’s six climate resilience priorities. The Strategy is organized around outcome-
based priorities, enabling a coordinated, integrated approach to building climate resilience. The
Strategy shows how the State’s efforts fit together to deliver on six priorities for climate resilience
action in California: Strengthen Protections for Climate Vulnerable Communities; Bolster Public
Health and Safety to Protect Against Increasing Climate Risks; Make Decisions Based on the Best
Available Climate Science; Build a Climate Resilient Economy; Accelerate Nature-Based Climate
Solutions and Strengthen Climate Resilience of Natural Systems; Partner and Collaborate to
Leverage Resources. The California Climate Adaptation Strategy also deepens the integration of
California Native American tribal priorities into California climate policies and programs and
support tribal partnership and collaboration through funding tribal climate projects. Competitive
grant applications will discuss how proposed projects consider climate resilience and align with the
California Climate Adaptation Strategy.
Master Plan for Aging
The Master Plan for Aging is a blueprint for aging across the lifespan, not
simply a plan for today’s older adults. California’s over-60 population is
projected to diversify and grown faster than any other age group. In
response, the Master Plan calls on all California communities to build a
California for All Ages: for older Californians currently living through the
many different stages of the second half of life; for younger generations
who can expect to live longer lives than their elders; for communities of all
ages – family, friends, neighbors, coworkers, and caregivers – surrounding
older adults. Competitive grant applications will discuss specific
connections and help achieve the Master Plan’s five goals and twenty-
three strategies to build a California for All Ages by 2030.
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Caltrans Sustainable Transportation Planning Grant Program
FY 2025-26 Grant Application Guide 9
2. SUSTAINABLE COMMUNITIES COMPETITIVE AND
TECHNICAL
Approximately $12 million in State Road Maintenance and Rehabilitation Account (RMRA) funds
and $5 million in State Highway Account (SHA) funds, or a combined total of $17 million will be
distributed through a competitive program to Metropolitan Planning Organizations (MPOs) with a
sub-applicant(s), Regional Transportation Planning Agencies (RTPAs), cities and counties, transit
agencies, and Native American Tribal Governments. MPOs must have a sub-applicant in order to
be eligible and apply to the Sustainable Communities Competitive and Technical grants.
Approximately $3 million will be set-aside for a technical project sub-category. In accordance with
the recent release of the guidance documents for the implementation of Senate Bill 743 (SB 743,
Chapter 386, Statutes of 2013), there is a current need for improved tools to measure VMT and
induced travel and to develop and implement VMT mitigation programs.
Up to $2 million will be set-aside for Native American Tribal Governments.
Funding distribution for the competitive program will depend on the quality and number of
applications.
Purpose and Specific Objectives
The purpose of the Sustainable Communities grants is to fund local and regional multimodal
transportation and land use planning projects that further the region’s RTP SCS/APS (where
applicable), contribute to the State’s GHG reduction targets, and assist in achieving the Caltrans
Mission and Grant Program Objectives, which must be considered when preparing the grant
application.
A minimum threshold of 50 percent of Sustainable Communities Competitive and Technical Grants
has been identified for projects that benefit under-resourced communities, which includes Native
American Tribal Governments and rural communities (for transportation planning purposes, rural is
defined as all areas of the state that are not included in urbanized areas of 50,000 in population or
greater; refer to Appendix C, Caltrans/Regional Agency Boundaries Map, which indicates rural
areas). For purposes of the grant program, acceptable under-resourced communities definitions
are described in Appendix A and include:
·Rural communities of 50,000 or less and outside of urbanized areas
· Native American Tribal Governments
· Regionally/locally defined under-resourced communities
· At or below 80% Assembly Bill 1550 (Gomez, Statutes of 2016)
· At or above 75% California Department of Education, Free or Reduced Priced Meals Data
· At or above 75% CalEnviroScreen Version 4.0
· At or below 25% California Healthy Places Index (HPI)
Sustainable Communities Competitive and Technical applicants must demonstrate how the
project fits every aspect of the following Specific Objectives, as appropriate for the applicant and
project type:
· Encourage local and regional multimodal transportation and land use planning that furthers
the region’s RTP SCS/APS (where applicable). For applicants not in an MPO region, address
how the project encourages local and regional multimodal transportation and land use
planning that advances sustainability
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·Contribute to the State’s GHG reduction targets and other State goals, including but not
limited to, the goals and best practices cited in the 2024 RTP Guidelines
· Address the needs of under-resourced communities through robust public engagement
· Assist in achieving the Caltrans Mission and Grant Program Objectives (See Chapter 1.2).
Sustainable Communities Technical project types do not require extensive public engagement due
to their technical nature, but they will explain and demonstrate:
·How the public will be involved at later stages of the planning process
· How they will collaborate with and involve appropriate stakeholders with technical expertise
to review and validate quantification assumptions and methods
· How stakeholders will be involved in the application and Scope of Work
Technical project applications are scored under the same criteria as all other project types, but
they are grouped with other technical projects, and they compete at the same level. Refer to
Chapter 2.2 for Example Technical Project Types. Applicants should contact their Caltrans District
listed in Appendix D to help decide which grant category is the best fit for their project.
Below is a list of Appendix A Guidance, Tools, and Resources to assist applicants in preparing a
competitive grant application that is consistent with the Grant Program Objectives, Grant Program
Considerations, and Specific Objectives.
·Advance Transportation Related GHG Reduction Project Types/Strategies
· Addressing the Needs of Under-Resourced Communities
· Public Health Resources
· Active Community Engagement
· Integrated Housing, Land Use and Transportation Planning
· Promote the Region’s RTP SCS/APS (where applicable) and State Planning Priorities, and
Climate Adaptation Goals
· Climate-Ready Transportation
Example Project Types
The examples below are organized in the following grant project types: Active Transportation;
Corridor and Freight; Social Equity; Integrated Housing, Land Use, and Transportation; Multimodal;
Safety; Technical; and Transit.
Active Transportation
·Active transportation plans, including bicycle, pedestrian, and trail master plans
· Plans for bike parking facilities
· Rural planning studies or plans that provide rural counties the ability to develop active
transportation plans with a rural context-sensitive focus and allow for rural regions to
contribute to the State’s GHG reduction targets
· Studies or plans that include a temporary built environment demonstration, e.g., tactical
urbanism
Corridor and Freight
·Comprehensive Multimodal Corridor Plans
· Corridor enhancement studies
· Studies or plans related to zero emissions vehicle goods movement
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·Freight/goods movement plans and studies
· Local or regional corridor plans
· Studies and plans that can help to quantify and highlight the value and importance of the
rural State transportation system which connects large urban centers to rural open space,
State and federal lands, and recreation and agriculture hubs.
· Studies and plans to mitigate for impacts to the rural transportation system due to increased
interregional tourism and visitor traffic
· Modeling improvements that address SB 743 implementation and induced travel (see
Sustainable Communities – Technical grant-specific objectives in Chapter 2.1)
· Complete Streets plans that consider last-mile freight
· Curbside freight management plans
· Sustainable freight plans
· Agriculture goods movement plans
· Freight/supply chain resiliency studies
Social Equity
·Community Needs Assessments
· Health and transportation studies, including health equity transportation studies and other
plans that incorporate health into transportation planning
· Studies to improve access to social services and other community destinations for under-
resourced communities such as grocery stores, schools, hospitals, transit stations, etc.
· Studies, plans or planning methods that address environmental justice issues in a
transportation related context
· Congestion pricing studies including plans that enhance social equity and avoid inequitable
cost burdens
· Planning to remove or reduce barriers created by transportation infrastructure such as
highways, overpasses and underpasses, that create disconnected communities
· Studies or plans to ensure that infill and transit-oriented development benefits existing
residents and businesses, low-income and under-resourced communities, and minimizes
displacement
· Outreach to educate under-resourced communities on mode shifts to electric forms of
transportation, as part of a plan or study as appropriate
· Student internships for rural agencies and/or under-resourced communities
· Native American Tribal Government transportation planning training and capacity building
Integrated Housing, Land Use, and Transportation
·Studies, plans or planning methods that assist transportation agencies in creating sustainable
communities and transit-oriented development
· SCS/APS development
· Studies that promote greater access between affordable housing and job centers
· Station area planning
· Integration of transportation and environmental planning
· First Mile/Last Mile project development planning
· An update to a general plan land use element, zoning code, or land use plan that increases
development opportunities around key transportation corridors or nodes
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·Creation of a Transit-Oriented Development overlay zone or other special zoning district
around key transportation corridors or nodes
· Studies, plans, and policies that address land use conflicts with major transportation corridors
such as major highways, ports, shipping and freight corridors, etc. that are near sensitive land
uses such as homes, schools, parks, etc. or potentially impacted by climate change
Multimodal
·Complete Streets plans or multimodal transportation plans
· Long range transportation plans for tribal governments
· Studies, plans or planning methods that advance a community’s effort to reduce single
occupancy vehicle trips and transportation related GHG through strategies including, but not
limited to, advancing mode shift, demand management, travel cost, operational efficiency,
accessibility, and coordination with future employment and residential land use
· Context-sensitive streetscapes or town center plans
· Studies that evaluate accessibility and connectivity of the multimodal transportation network
· Shared mobility services planning studies
· Community outreach plans for park-and-ride lots
Safety
·Bike and pedestrian plans with a safety enhancement focus, including Vision Zero plans
· Community to school studies or safe routes to school plans
· Traffic calming and corridor safety enhancement plans
Technical
·Transportation modeling studies or planning activities that address SB 743 implementation and
induced travel, active transportation, emerging technology, public health, VMT and other
impacts
· Planning for zero or near zero emission vehicles
· Electric vehicle charging infrastructure network planning
· Transit planning for zero emission bus fleets
· Planning for autonomous vehicles
· Road or parking pricing studies
· Transportation Demand Management studies
· Commute trip reduction studies and plans
· Data collection/data sharing initiatives
· Integration of transit, new emerging technologies, and shared mobility services
· Educational outreach as part of a plan or study as appropriate, e.g., for mode shifts to
electric forms of transportation
Transit
·Identification of policies, strategies, and programs to preserve transit facilities and optimize
transit infrastructure
· Transit planning studies related to accessible transit, paratransit, mobility management, etc.
· Studies, plans, or outreach for school public transit, school pool ridesharing
· Strategies to increase transit ridership
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·Studies or plans that evaluate commuter rail or multimodal connectivity
· Studies or plans that evaluate first and last mile transit connectivity
Eligible and Ineligible Activities and Expenses
Eligible Activities and Expenses
Eligible activities must have a transportation nexus per the California Constitution, Article XIX
Section 2 and 3. Applicants need to consult with Caltrans district staff for more information on
whether costs are eligible for funding.
Some examples of eligible costs include:
·Data gathering and analysis
· Report writing and the development of associated graphics
· Planning consultant procurement
· Advertising for consultant procurement
· Advertising for public workshops, e.g., flyers, paid media ads
· Travel expenses (See Chapter 6.5 for details)
· Up to 30 percent design or conceptual drawings
· Equipment (as defined in 2 CFR Part 200.33)1 purchases must remain under $5,000 or
depreciation will need to be taken in to account when the grant project is completed since
equipment could have future uses. 2 CFR Part 200.4362 provides the criteria for depreciation.
· Community surveys, meetings, public workshop room rental, charrettes, focus groups
· Virtual outreach activities and on-line meetings
· Bilingual services for interpreting and/or translation services for meetings
· Community/stakeholder advisory groups
· Light snacks and refreshments for public workshops (no full meals), subject to Caltrans
approval
o Requests to enhance public participation beyond the currently eligible costs for light
refreshments will need justification regarding the cost benefit of the anticipated increase
in public participation and must be submitted to Caltrans, and FHWA, when applicable,
for consideration and approval, on a case-by-case basis.
·Project administration (up to 5 percent of the grant is allowed, i.e., quarterly reports, invoicing,
and kick-off meeting with Caltrans)
Ineligible Activities and Expenses
Some activities, tasks, project components, etc. are not eligible under these grant programs. If an
application has any of the following elements, it will be disqualified.
Ineligible activities and expenses include:
1 Electronic Code of Federal Regulations, 2 Code of Federal Regulations, Part 200.33, 2020,
https://www.ecfr.gov/on/2017-01-03/title-2/subtitle-A/chapter-II/part-200/subpart-A/subject-group-
ECFR2a6a0087862fd2c/section-200.33
2 Govinfo, 2 Code of Federal Regulations, Part 200.436, 20,
https://www.govinfo.gov/app/details/CFR-2022-title2-vol1/CFR-2022-title2-vol1-sec200-436
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·Environmental studies, plans, or documents normally required for project development under
the National Environmental Policy Act or the California Environmental Quality Act
· Engineering plans and design specification work
· Project Initiation Documents
· Program or project implementation
· Repurposing unspent grant funds (not applicable to Sustainable Communities Formula)
· Application development to pursue construction funds/project implementation
· RTPs or updates to the RTP, excluding SCS/APS development
· Construction projects, capital costs, such as the building of a facility, or maintenance
· Office furniture purchases, or other capital expenditures
· Decorations, e.g., for public workshop events
· Acquisition of vehicles or shuttle programs
· Organizational membership fees
· Incentives for public participation
· Charges passed on to sub-recipient for oversight of awarded grant funds
· Other items unrelated to the project
Tips for Successful Sustainable Communities Grant Applications
Criteria for Successful Sustainable Communities Grant Applications
Some guidance is provided below however, it is not intended to be all inclusive.
·Integrate Grant Program Considerations (See Chapter 1.2)
· Advance transportation related GHG emission reduction project types/strategies (i.e.,
mode shift, demand management, travel cost, operational efficiency, accessibility, and
coordination with future employment and residential land use, etc.)
· Identify and address deficiencies in the multimodal transportation system, including the
needs of environmental justice and under-resourced communities, including Native
American Tribal Governments and rural communities
· Encourage stakeholder collaboration
· Involve active community engagement for under-resourced communities and Native
American Tribal Governments by utilizing advocacy groups, community-based
organizations, and tribal organizations
· Coordinate transportation, housing, and land use planning
· Result in funded and programmed multimodal transportation system improvements
General Tips
·Some sections of the grant application may seem redundant when discussing under-
resourced community engagement, overall public engagement, and stakeholder
involvement. Although the general public and under-resourced communities are
stakeholders for any project, for application purposes, the strategy, and methods for
engaging these groups will be different, as described below.
o Overall public engagement will describe the general strategy to engage the public
at large.
o Under-resourced communities’ engagement will explain how the project will go
above and beyond business as usual or what is statutorily required to address the
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specific needs of under-resourced communities and use unique methods to involve
these groups in the decision -making process. Refer to Appendix A, Active Community
Engagement, which includes case studies for examples of equitable community
engagement.
o Stakeholder engagement will explain how partner agencies, businesses, and/or non-
profit community -based organizations will be involved throughout the project.
·Consult with your district representative for technical assistance before the application
deadline.
· Use the Samples and Checklists provided for the Application, Scope of Work, and Cost
and Schedule.
· Include Caltrans as an active partner in the study.
· Provide tailored letters of support and project area photographs to enhance the
application. If applicants/supporters do not have the time/resources to provide tailored
letters of support, a petition signed by supporters in a simple table format that lists the
supporters and specifically how supporters will benefit the proposed project will suffice.
Project Description
Concisely describe the project. Explain “What parties are involved, the proposed major
milestones, and why the project is necessary.”
Project Justification
·Clearly define and explain the transportation problem or deficiency that the project will
attempt to address and how the project will address the problem. Why is it critical to
address the problem now? Make the case for a critical need that the project will
address and support it with verifiable data, if available.
· Explain how the project affects under-resourced communities. The tools in Appendix A
are intended to help applicants define an under-resourced community in the project
area. Please cite data sources, the tools used, and include a comparison to the
statewide thresholds that are established in each tool.
· If the applicant is a Native American Tribal Government or a rural area (outside of the
urbanized areas with 50,000 in population or greater) of the State, describe population
characteristics such as demographics, location, and size .
Grant Specific Objectives
Demonstrate how the project fits every aspect of the Grant Specific Objective, as appropriate
for the applicant and project type. Some guidance is provided below; however, it is not
intended to be all inclusive. Applications should reference Appendix A for Resources to
Advance Sustainable Communities Grant Specific Objectives.
Successful applications should include:
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Planning for Housing, Housing Element Compliance, and Prohousing Designation
o To avoid a deduction of 5 points, applicants must demonstrate how they integrate housing
planning into their policies, programs, and project, or commit to coordinate housing and
transportation in future policies and programs throughout the application (e.g., narrative and
scope of work). See Chapter 2.2 for a list of example projects that coordinate housing, land
use, and transportation.
o To be eligible for a grant award, city and county primary/sub-grant applicants are required to
submit:
1. A housing element adopted by the local
government to the Department of Housing and
Community Development (HCD), and HCD must
find the adopted housing element in substantial
compliance with state housing element law
pursuant to Government Code Section 65585.
2. Annual Progress Reports (APRs) to HCD for at
least the previous two years, 2022 and 2023.
o City or county primary/sub-applicants will receive a
high recommendation from HCD if they have a
Prohousing Designation, which can be earned by
adopting local policies that facilitate the planning,
approval, and construction of housing. The HCD
Prohousing Designation Program provides incentives
to cities and counties in the form of additional points
or other preference in the scoring of competitive
housing, community development, and infrastructure
programs. For HCD Prohousing Designation Program
information and how to develop a competitive
application, refer to Appendix A, Integrated Housing,
Land Use, and Transportation Planning.
Note: Charter cities are not exempt from this specific
program requirement and must submit an Annual Progress
Report for the calendar years mentioned above.
Community Engagement
· Refer to Appendix A, Active Community Engagement, for Community Engagement Best
Practices.
IMPORTANT TIPS:
ü City and county
primary/sub-grant applicants
are required to submit:
1. A housing element
adopted by the local
government to HCD.
2. Annual Progress Reports
to HCD for at least the
previous two years, 2022
and 2023.
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· Evidence of additional public outreach measures that promote access to decision-making
and program implementation for all segments of the community, including special needs
populations, under-resourced communities, and a variety of socio-economic groups (e.g.,
households across the income and employment
spectrum, ethnically and racially diverse
households).
·The application narrative should outline specific
outreach strategies including in-person and virtual
options.
· Tailored letters of support with electronic signatures
from community-based organizations or public
advocacy groups to demonstrate their support or
involvement in identifying the issues that the
proposed project is attempting to address.
· If applicants/supporters do not have the
time/resources to provide tailored letters of support,
a petition electronically signed by supporters in a
simple table format that indicates specifically how
supporters will benefit the proposed project will
suffice.
Integrated Housing, Land Use, and
Transportation Planning
·Application narrative and any relevant supporting
or illustrative data should describe how the
proposed project integrates and connects land use
and transportation, including how transportation
and land use agencies or jurisdictions are actively
collaborating on the project in all project phases.
· Competitive grant applications should demonstrate how the project furthers this coordinated
and integrated approach to planning. For example:
o Demonstrate how the project will support or align with the region’s Regional Early Action
Planning (REAP)3 grant investments or other regional planning or implementation efforts.
REAP 2.0 seeks to accelerate infill housing development, reduce Vehicle Miles Traveled
(VMT), increase housing supply at all affordability levels, affirmatively further fair housing,
and facilitate the implementation of adopted regional and local plans to achieve these
goals. Eligible uses include projects that invest in infrastructure to expand active
transportation and fund and implement parking and transportation demand
management programs or ordinances.
o Describe how the project aligns with State housing policies and goals by serving a
community within ½ mile of a transit station or stop that has received a positive
Prohousing Designation Program score, certified by HCD.
o Explain how the project is located in an area that has earned a Prohousing Designation
and positive scores for Prohousing Enhancement policies from HCD. Jurisdictions
supporting integrated housing,land use,and transportation planning may have policies
3 REAP Website:Programs: Active | California Department of Housing and Community
Development
HELPFUL TIPS:
Tailored letters of support from
local agencies that not only
provide support for the project,
but also confirms that the
proposed project:
ü Helps to implement the
RTP SCS/APS and/or State
priorities
ü Involves a coordinated
approach to integrating
land use and
transportation in all phases
of project planning and
implementation.
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that include Prohousing Enhancement Factors, which represent a multi-faceted
approach to planning objectives, are consistent with State priorities, go beyond state
law, etc. Competitive applications may also identify a jurisdiction’s policies that promote
housing development and reduce VMT. For information about the HCD Prohousing
Designation Program and how applicants can develop a competitive application with
Prohousing Enhancement Factors or VMT reducing policies, refer to Appendix A,
Integrated Housing, Land Use, and Transportation Planning. HCD will highly recommend
awards for City and county primary/sub-applicants that earn this designation.
Project Management
·Scope of Work: Refer to the Scope of Work Checklist in Appendix B.
· Cost and Schedule: Refer to the Cost and Schedule Checklist in Appendix B.
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Guidance and Approval Process
Minimum Eligibility Criteria
MPOs should meet the following minimum eligibility
criteria to apply for Sustainable Communities Formula
grants:
·Of the Consolidated Planning Grant, FHWA PL
carryover is at or below 100 percent of the
annual FHWA PL allocation
·Have an RTP SCS/APS that meets the SB 375 GHG
reduction targets
·Meet civil rights and environmental justice
obligations, as summarized in Section 4.2 of the
RTP Guidelines
If an MPO does not meet the minimum eligibility
criteria listed above by April 30, 2025, their allocation
will be redistributed to the remaining MPOs that are
eligible and apply for the Sustainable Communities
Formula Grants.
Annual Draft Overall Work Program (OWP) Development and Approval Process
Sustainable Communities Formula Grants are part of the annual draft OWP development and
approval process. The draft OWP process includes meaningful consultation with Caltrans district
staff and the Headquarters Office of Regional and Community Planning (ORCP). MPOs are
responsible for including a draft Work Element(s) for Sustainable Communities Formula Grant funds
in the draft FY 2025-26 OWP and sending a list of activities using the provided template to Caltrans,
no later than March 1, 2025. Draft OWPs are submitted to the district Regional Planning Liaison who
will coordinate with ORCP. The draft Work Element(s) should include an explanation of how the
project supports the Sustainable Communities Grant Specific Objectives and provide the same
level of detail included in the grant application Scope of Work and Cost and Schedule for the
Sustainable Communities Competitive Grants. The Work Element name and number must remain
unchanged until the project(s) is completed. If Work Elements do not provide enough detail, MPOs
will need to submit the competitive grant application Scope of Work and Cost and Schedule.
More information and detailed requirements are outlined in the SB 1 Guidance for OWPs and
Requests for Reimbursements, available upon request.
Example Project Types
MPOs have flexibility for how the Formula Grant allocation is administered. For example, MPOs may
use these funds for a regional competitive grant program, integrated land use and transportation
planning activities related to developing their SCS/APS, carrying out the best practices cited in the
RTP Guidelines, or a combination thereof. If an MPO uses Formula Grant funds to administer a
regional grant program, the MPO must submit their grant program criteria and list of eligible
applicants and sub-applicants to the Caltrans district and ORCP. This step is to ensure the MPO’s
grant program aligns with the Caltrans Sustainable Communities Competitive Grants, including city
and county housing element compliance. MPOs will also submit a list of awarded grants to the
Caltrans district and ORCP. MPOs should coordinate the submittal of this information with the
Caltrans district and ORCP to avoid delays for releasing the call-for-projects and grant awards. For
additional example project types, refer to Chapter 2.2.
IMPORTANT NOTE:
ü If an MPO does not meet
the minimum eligibility
criteria, their allocation will
be redistributed to the
remaining MPOs that are
eligible and apply for the
Sustainable Communities
Formula Grants.
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4. CLIMATE ADAPTATION PLANNING
Climate change adaptation aims to anticipate and prepare for climate change impacts to
reduce the damage from climate change and extreme weather events, including seas level rise.
Adaptation is distinct from, but complements, climate change mitigation, which aims to reduce
GHG emissions. This funding is intended to advance adaptation planning on California’s
transportation infrastructure, including but not limited to roads, railways, bikeways, trails, bridges,
ports, and airports.
The State-funded Climate Adaptation Planning grants ($3 million) will support tribal, local, and
regional identification of transportation-related climate vulnerabilities through the development of
climate adaptation plans, as well as project-level adaptation planning to identify adaptation
projects and strategies for transportation infrastructure. Applicants at all stages of adaptation
planning efforts including those who have not yet started adaptation work are encouraged to
apply.
Climate adaptation planning projects are defined by:
·Identification of transportation system vulnerabilities and climate-related risks to existing
transportation infrastructure, including resilience improvement plans
· Identification of adaptation planning projects that address climate risk impacts to existing
transportation infrastructure including sea level rise, storm surge, changes in temperature and
precipitation
· Planning for specific climate projects that can be programmed in existing local or regional
transportation plans
Purpose and Specific Objectives
California’s climate leadership has made the ambitious commitment to reduce GHG emissions and
facilitate a transition to a carbon neutral economy. However, as made clear by the impacts
already affecting California and the recent IPCC report, impacts of climate change are occurring
sooner than expected and they disproportionately affect the most vulnerable among us. Many
impacts, such as increased wildfires, droughts, landslides, rising sea levels, floods, severe storms,
heat waves, and impacts to wildlife, are already occurring already and are expected to become
more frequent and severe.
Climate change is increasingly impacting the State’s transportation system. Adaptation efforts will
enhance the resiliency of the transportation system to better withstand climate impacts. The
overarching goal of this grant program is to support planning actions at local and regional levels
that advance climate change adaptation efforts on the transportation system, especially efforts
that serve the communities most vulnerable to climate change impacts. Taking steps now to
adapt to climate change will protect public health and safety, infrastructure, and the California
economy into the future.
Caltrans awarded three cycles of local adaptation planning grants allocated through the passage
of SB 1. This program operated from FY 2017-18 through FY 2019-20 and was able to fund
innovative tribal, local, and regional adaptation planning grants across California. Examples of the
completed projects supported by the SB 1 Climate Adaptation Planning Grant Program can be
found on the California Adaptation Clearinghouse’s case study4 page. The current funding in this
4 Adaptation Clearinghouse’s case study website: https://resilientca.org/challenges/
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program aims to build upon the successful SB 1 program to further advance transportation
adaptation planning.
Equity, including regional representation, will be considered when awarding projects. A minimum
threshold of 50 percent of the funds has been identified for projects that benefit under-resourced
communities, which includes tribal, local, regional, and rural communities (for transportation
planning purposes, rural is defined as all areas of the state that are not included in urbanized areas
of 50,000 in population or greater; refer to Appendix C, Caltrans/Regional Agency Boundaries
Map, which indicates rural areas). For purposes of the grant program, acceptable under-
resourced communities’ definitions are described in Appendix A and include:
·Rural communities of 50,000 or less and outside of urbanized areas
· Native American Tribal Governments
· Regionally/locally defined under-resourced communities
· At or below 80% Assembly Bill 1550 (Gomez, Statutes of 2016)
· At or above 75% California Department of Education, Free or Reduced Priced Meals Data
· At or above 75% CalEnviroScreen Version 4.0
· At or below 25% California Healthy Places Index (HPI)
Furthermore, up to $1 million will be set-aside for Native American Tribal Governments.
Climate Adaptation Planning grant applicants must demonstrate how the project fits the Grant
Specific Objectives listed below, as appropriate for the applicant and project type. Additional
resources (guidance, data sources, etc.) to assist in achieving these objectives can be found in
Appendix A:
Applicants are required to demonstrate how the proposed effort will accomplish one or more of
the following:
·Identify specific transportation infrastructure vulnerabilities5 to climate change impacts.
· Identify adaptation strategies and specific actions to address identified climate-related
vulnerabilities, incorporating short-, medium-, and long-term strategies that mitigate overall
risk throughout the entire service life of the asset or capital project. Where appropriate, this
should include nature-based shoreline solutions as part of a comprehensive approach, using
the best available science and guidance.
· Include economic analysis and/or cost-benefit analysis of identified adaptation strategy or
strategies when applicable.
Applicants must also demonstrate how the proposed effort will accomplish one or more the
following:
· Identify benefit(s) to under-resourced communities, including transit-dependent populations.
Benefits may include improved access to safe and reliable transportation options, enhanced
public safety measures in flood-prone areas, increased opportunities for community
engagement in decision-making processes, protection of essential services and cultural
resources, and the creation of local economic opportunities through workforce development
and local hiring initiatives.
5 Transportation infrastructure includes, but is not limited to, roads, railways, bikeways, trails, bridges, ports, and
airports. Vulnerable transportation infrastructure is transportation infrastructure that is susceptible to the
impacts of climate change (e.g., a pedestrian-use trail that cuts through a forested area that is expected to
see increased fire risk due to climate change).
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·On-going collaboration and partnerships between sectors and jurisdictions, across levels of
government at a regional scale.
· Identify co-benefits of the adaptation work, such as benefits to public health, natural
ecosystems, air quality, social equity, the economy, reductions in GHG emissions, critical
emergency services, or reduction in contamination. Projects prioritizing nature-based solutions
through natural and green infrastructure planning and adaptation strategies will be
prioritized.
· Consistency with priorities and goals of the 2021 California State Adaptation Strategy, as well
as any applicable local/regional resilience planning, and that the effort will identify ways to
incorporate transportation-related climate adaptation needs into existing transportation
plans.
· Projects must include a multistakeholder process that provides an opportunity for meaningful
community engagement from communities potentially impacted by any projects identified
or developed as part of the planning grant.
Competitive applicants will demonstrate one or more of the following:
·Alignment with or augmentation of existing plans, including climate action plans/adaptation
plans, hazard mitigation plans, safety elements of general plans, resilience improvement
plans, and/or Certified Local Coastal Programs6, that will lead to the identification and
development of capital projects that can be programmed as part of local or regional
transportation plans. Projects should follow State Guidance on Adaptation Planning (see
Appendix A) or be aligned with local plans.
· Collaboration and partnerships with diverse external stakeholders such as businesses, non-
governmental agencies, community-based organizations, federal, state, or local agencies,
and community residents.
· Consideration of the adaptation needs of environmental resources in proximity to the
transportation system such as coastal resources including but not limited to tidal marsh or
beaches, wildlife connectivity, wetlands, or fish passage needs.
· Consideration of public access and Complete Streets’ needs.
Example Project Types
Caltrans aims to fund a variety of project types from a diverse pool of applicants to respond to
these climate impacts. Applicants who have adaptation planning efforts underway, as well as
those who have not yet started adaptation planning, are encouraged to apply.
The examples below are provided to illustrate the range of projects that may be appropriate for
the grant program, as well as to provide ideas to potential applicants. The project types range
from initial vulnerability assessment and broad planning efforts to project-level planning needs, for
instance through local studies on natural hazards to inform a future project. Proposed projects are
not constrained by the examples below.
· Climate Vulnerability and Risk Assessments (identification of climate vulnerabilities and risks to
transportation infrastructure) which include the following steps from Phase 2 of the 2020
California Adaptation Planning Guidelines developed by the Governor’s Office of Planning
and Research (OPR):
6 More information about Certified Local Coastal Programs and whether a project is located in this
area can be found on the Coastal Commission’s website and further verified by reaching out to
Coastal Commission staff at the applicable Coastal Commission District office.
https://coastal.ca.gov/lcps.html
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o Climate Change exposure analysis that will characterize the community’s exposure to
current and projected climate hazards. This will include listing all climate change effects
of concern, an overview of historical climate-related hazard events and their
consequences to the community, a description of how each identified effect is
expected to change over the analysis period, and a map of projected change in each
identified climate change effect.
o An assessment of impact sensitivity that includes a list of community populations and
assets that are sensitive to the community’s climate change effects, descriptions of
historical and potential future climate impacts to community elements and identifying
potential climate impacts of greatest concern.
o An analysis of adaptive capacity, or the community’s current ability to cope with climate
impacts to community populations or key community assets. This will include a matrix
describing the community’s existing capacity to adapt to each of the priority climate
impacts based on existing policies, plans, and/or programs, as well as a second,
enhanced version of that matrix which describes factors that enhance local agencies’
adaptive capacity.
o The development and application of a vulnerability scoring methodology including a
table summarizing vulnerabilities across the study area.
o Outreach and engagement to foster collaboration with community members to identify
community strengths, assets, and climate change impacts to allow opportunities to share
their expertise and provide valuable, on-the-ground understanding of climate
vulnerabilities.
·Planning for extreme weather events that may impact transportation in a community. Steps
taken to adapt to extreme weather may include:
o Evacuation,response,and recovery planning which may include the identification and
evaluation of primary evacuation, response, and recovery corridors as well as the
development of strategies, policies, or recommendations to improve evacuation,
response, and recovery during extreme weather.
o Identifying communities and individuals with inadequate access to transportation options
(e.g., survey to determine number and location of transit dependent residents) and the
development of potential strategies to improve the evacuation potential of such
communities.
o Planning for expanded access to multimodal transportation options (e.g., multimodal) in
evacuation corridors to assist underserved and transit dependent populations in efficient
evacuation during extreme events.
o Planning for Transportation Management System (TMS) and Intelligent Transportation
System (ITS) elements that will assist in the ongoing relay of information pertaining to
potential hazards which may include the strategic implementation of early warning
systems and changeable message signs for enhanced communication during extreme
weather events.
o Planning and evaluating for decentralized energy storage needs for electric vehicle
charging infrastructure to safeguard against loss of power and impacts to electric
vehicles due to climate-related grid disruptions from climate-related events such as
extreme heat or wildfire.
·Transportation Infrastructure Adaptation and Resilience Improvement Plans, and/or
integration of transportation adaptation planning into existing plans such as a climate
mitigation or adaptation plan, Certified Local Coastal Program, Hazard Mitigation Plan,
General Plan (including compliance with Senate Bill 379 requirements (Jackson, Chapter 608,
Statutes of 2015)),or other related planning efforts,including project-level planning for capital
projects.For instance, this can include:
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o Prioritization of adaptation needs and strategies in a given region/location.
o Project-level planning that can be programmed through an existing local or regional
transportation plan, such as evaluating infrastructure resilience to climate impacts,
especially projects that integrate natural infrastructure or provide multiple benefits.
Specific examples could include: adaptation strategies related to realigning/relocating
transportation infrastructure impacted by sea level rise; providing transit shelters with
shade, water, or other means of cooling in locations expected to see temperature
increases; preparing for increased landslide risk; etc.
· Natural and green infrastructure planning (e.g., wetlands restoration along transportation
corridors to protect transportation infrastructure from flooding and storm impacts, identifying
and removing barriers to habitat and wildlife connectivity). For instance, this can include:
o Incorporation of natural and nature-based features into adaptation projects, plans,
and/or strategies that will address current or projected climate change impacts to
transportation infrastructure and communities that use them while supporting wildlife
connectivity, habitat creation or restoration, and enhancing biodiversity.
o The development of adaptation strategies that also incorporate elements of climate
change mitigation through the incorporation of trees and other vegetation into planning-
and project-level recommendations.
· Technical feasibility studies required to advance project-level adaptation planning. Studies
may assist in resolving more technical aspects at a study location which may result in more
effective implementation of adaptation elements in project scope. They may also aid in
advancing adaptation work at priority locations identified in other previous plans or policies.
Studies might incorporate the following analyses:
o Coastal hazards and/or wave runup analysis at a known or identified coastal area in
need of adaptation projects or solutions to make transportation assets and surrounding
communities more resilient to coastal climate change hazards such as sea level rise,
storm surge, and cliff retreat/coastal erosion.
o Precipitation or hydrological studies that incorporate future climate risk into the analysis
to ensure that subsequent adaptation strategies implemented in the study area are
more resilient to projected changes in precipitation under climate change.
o Landslide or geotechnical studies that consider climate change stressors including
precipitation and/or wildfire and their potential impact on landslide risk.
· Technical assistance projects for under-resourced and climate vulnerable communities to
perform climate adaptation planning. This will bring subject matter expertise on climate
change and climate adaptation into a project at an identified location which will assist in
effective actions being taken to improve climate resilience of transportation facilities and the
communities that use them. This may include:
o Consultation with climate change subject-matter experts who may offer assistance on
relevant climate change data as well as demographic and/or spatial data
management.
o Development of engagement and outreach materials and the facilitation of public
meetings or events related to climate change adaptation efforts within the community.
· Development of educational resources, trainings and workshops for local jurisdictions and
transportation service providers on any of the above listed adaptation planning activities. This
may include:
o Educational resources that will inform members of the public or employees at
governmental or other organizations on adapting to climate change impacts to
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transportation facilities and how that may affect the community and steps that can be
taken to better prepare for such impacts.
o Trainings for staff to establish best practices and organizational policies that will assist in
preparation for future climate change impacts.
Eligible and Ineligible Activities and Expenses.
Eligible activities must have a transportation nexus per the California Constitution, Article XIX
Section 2 and 3. Applicants need to consult with Caltrans district staff for more information on
whether costs are eligible for funding.
Eligible Activities and Expenses
Please consult with Caltrans district staff for clarification regarding specific eligible activities or
expenses. Example eligible costs include:
· Staff time
· Consultant time
· Up to 30 percent design or conceptual drawings
· Data and geospatial analysis
· Report writing and the development of associated graphics
· Community surveys, meetings, charrettes, and focus groups
· Bilingual services for interpreting and/or translation services for meetings
· Community/stakeholder advisory groups
· Project-specific staffing
· Web application development and dashboard
· Light snacks and refreshments for public workshops (no full meals), subject to Caltrans
approval
o Requests to enhance public participation beyond the currently eligible costs for light
refreshments will need justification regarding the cost benefit of the anticipated increase
in public participation and must be submitted to Caltrans, and FHWA, when applicable,
for consideration and approval, on a case-by-case basis.
Ineligible Activities and Expenses
Some activities, tasks, project components, etc. are not eligible under this grant program. If an
application has any of the following elements, it will be disqualified. Ineligible activities and
expenses include:
·Projects without a transportation nexus
· Project Initiation Documents
· Environmental studies, plans, or documents normally required for project development under
the National Environmental Policy Act or the California Environmental Quality Act
· Engineering plans and design specification work
· RTP or updates to the RTP
· Construction projects or capital costs, such as the building of a facility, or maintenance
· Purchasing of office furniture or other capital expenditures
· Decorations (e.g., for public workshop events)
· Acquisition of vehicles or shuttle programs
· Organizational membership fees
· Incentives for public participation
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o Requests to enhance public participation beyond the currently eligible costs for light
refreshments will need justification regarding the cost benefit of the anticipated increase
in public participation and must be submitted to Caltrans, and FHWA, when applicable,
for consideration and approval, on a case-by-case basis.
·Charges passed on to sub-recipient for oversight of awarded grant funds
· Other items unrelated to the project
Tips for a Successful Climate Adaptation Planning Grant
Application
Strong applications will integrate all aspects of the grant program’s purpose and specific
objectives listed above. Additionally, strong applications will support statewide goals and
objectives currently being implemented by the State of California, including the Grant Program
Considerations (see Chapter 1.2).
Some guidance is provided below; however, it is not intended to be all inclusive.
Criteria for Successful Climate Adaptation Planning Grant Applications
·Clearly demonstrate how the project promotes climate change adaptation planning on
the California transportation system and how the project aligns with the grant specific
objectives.
· Partner with Caltrans to identify and address statewide, interregional, or regional
transportation adaptation needs in the State Highway System (or multimodal
transportation system for transit-focused and/or active transportation projects.
· Strengthen government-to-government relationships.
· Demonstrate that the proposed planning effort will lead to adaptation project funding
proposals and/or programmed system improvements. This can include advancing
planning to lead to project development through development of a cost estimate,
pursuing a technical feasibility study for adaptation options, and/or developing a
conceptual design.
· Identify and address deficiencies in the multim odal transportation system, including the
needs of environmental justice and under-resourced communities, including Native
American Tribal Governments and rural communities.
· Encourage stakeholder collaboration and include active community engagement.
· Promote the region’s RTP SCS (where applicable), State planning priorities (Government
Code Section 65041.1), and climate adaptation goals (State Adaptation Strategy).
· Demonstrate that the proposed planning effort will use the best available science for
climate change projections.
· For proposed planning efforts in the California Coastal Zone, demonstrate that all
analyses and final deliverables will be consistent with the applicable Certified Local
Coastal Program, California Coastal Act (for projects in the Coastal Commission’s
retained jurisdiction), and Coastal Commission guidance documents on sea level rise,
environmental justice, and tribal community engagement.
General Tips
·Refer to existing State guidance on climate adaptation planning to ensure alignment
with State direction, State data, and guidance, including the California Adaptation
Planning Guide, and resources that can be found on the State Adaptation
Clearinghouse.
· Consult with your district representative for technical assistance before the application
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deadline.
·Use the Samples and Checklists provided for the Application, Scope of Work, and Cost
and Schedule.
· Provide tailored letters of support and photos of project area as relevant to enhance the
application. Project supporters should describe why they support the project and how
they would benefit from the project. If applicants/supporters do not have the
time/resources to provide tailored letters of support, a petition signed by supporters in a
simple table format that lists the supporters and specifically how supporters will benefit
the proposed project will suffice.
· Include Caltrans as an active partner in the study, as applicable.
· Some sections of the grant application may seem redundant when discussing under-
resourced community engagement, overall public engagement, and stakeholder
involvement. Although the general public and under-resourced communities are
stakeholders for any project, for application purposes, the strategy and methods for
engaging these groups will be different, as described below.
o Overall public engagement will describe the general strategy to engage the public
at large;
o Under-resourced communities' engagement will explain how the project will go above
and beyond business as usual to address the specific needs of under-resourced
communities and use unique methods to involve these groups in the decision -making
process; and
o Stakeholder engagement will explain how partner agencies, businesses, and/or non -
profit community -based organizations will be involved throughout the project.
Project Management
·Scope of Work: Refer to the Scope of Work Checklist in Appendix B.
· Cost and Schedule: Refer to the Cost and Schedule Checklist in Appendix B.
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5. STRATEGIC PARTNERSHIPS
$1.5 million in FHWA State Planning and Research (SPR) Part 1 funds and $3 million in Federal Transit
Administration (FTA) Section 5304 funds, or a combined total of $4.5 million. FHWA SPR Part 1 funds
will be distributed through a competitive program to MPOs and RTPAs. FTA 5304 funds will be
distributed through a competitive program to MPOs, RTPAs, and transit agencies. Funding
distribution for the competitive program will depend on the quality and number of applications.
Purpose and Specific Objectives
Strategic Partnerships are intended to fund planning projects that partner with Caltrans to address
needs on or connecting to the State Highway System, while the transit sub-category will address
multimodal planning projects that focus on transit.
The objectives of the Strategic Partnerships and Strategic Partnerships - Transit grants are to:
·Strengthen government-to-government partnerships
·Accomplish the Federal Planning Factors
·Achieve the Caltrans Mission and the Grant Program Objectives
Federal Planning Factors
1. Support the economic vitality of the metropolitan area, especially by enabling global
competitiveness, productivity, and efficiency
2. Increase the safety of the transportation system for motorized and non-motorized users
3. Increase the security of the transportation system for motorized and non-motorized users
4. Increase accessibility and mobility of people and freight
5. Protect and enhance the environment, promote energy conservation, improve the quality of
life, and promote consistency between transportation improvements and State and local
planned growth and economic development patterns
6. Enhance the integration and connectivity of the transportation system, across and between
modes, for people and freight
7. Promote efficient system management and operation
8. Emphasize the preservation of the existing transportation system
9. Improve the resiliency and reliability of the transportation system and reduce or mitigate
stormwater impacts of surface transportation
10. Enhance travel and tourism
Complete Streets Local Match Waiver
FHWA and FTA have approved a local match waiver for Complete Streets related grant
applications. Applicants with a Complete Streets related grant application must submit a request
to receive the local match waiver. Complete Streets related activities include, but are not limited
to, the following activities:
·Adoption of Complete Streets standards or policies
· Development of a Complete Streets prioritization plan that identifies a specific list of
Complete Streets projects to improve the safety, mobility, or accessibility of a street
· Development of transportation plans that:
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o Create a network of active transportation facilities, including sidewalks, bikeways, or
pedestrian and bicycle trails, to connect neighborhoods with destinations such as
workplaces, schools, residences, businesses, recreation areas, healthcare and childcare
services, or other community activity centers
o Integrate active transportation facilities with public transportation service or improve
access to public transportation
o Create multiuse active transportation infrastructure facilities (including bikeways or
pedestrian and bicycle trails) that make connections within or between communities
o Increase public transportation ridership
o Improve the safety of bicyclists and pedestrians
·Regional and megaregional planning (i.e., multi-jurisdictional transportation planning that
extends beyond MPO and/or State boundaries) that address travel demand and capacity
constraints through alternatives to new highway capacity, including through intercity
passenger rail
· Development of transportation plans and policies that support transit-oriented development
Example Project Types
Example Project Types - Strategic Partnerships
·Studies that identify interregional, inter-county, and/or statewide mobility and access needs
· Comprehensive Multimodal Corridor Plans
· Corridor performance/preservation studies
· Corridor enhancement studies
· Studies that evaluate transportation issues involving ground access to international borders,
seaports, airports, intermodal facilities, freight hubs, and recreational sites
· Development of planning activities that result in sustainable transportation investments
· Enhanced tools to capture GHG benefits of Operations and System Management projects
· Integration of transportation and economic development
· Studies and plans that can help to quantify and highlight the value and importance of the
rural State transportation system which connects large urban centers to rural open space,
State and federal lands, and recreation and agriculture hubs
· Planning for sustainable freight
· Planning for transportation safety
· Transportation planning for special events
· Studies for relinquishment of state routes
· Statewide or interregional research or modeling tools
· Transportation demand management plans
· System investment prioritization plans
· Assessment and integration of new technology
· Complete street plans that consider last-mile freight
· Curbside freight management plans
· Agriculture goods movement plans
· Freight/supply chain resiliency studies
· Studies that evaluate accessibility and connectivity of the multimodal transportation network
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·Studies that evaluate accessibility and connectivity of the multimodal transportation network
· Integration of transportation and environmental planning
· Studies, plans, and policies that address land use conflicts with major transportation corridors
such as major highways, ports, shipping and freight corridors, etc. that are near sensitive land
uses such as homes, schools, parks, etc. or potentially impacted by climate change
· Studies, plans or planning methods that advance a community’s effort to reduce single
occupancy vehicle trips and transportation related GHG through strategies including, but not
limited to, advancing mode shift, demand management, travel cost, operational efficiency,
accessibility, and coordination with future employment and residential land use
Example Project Types - Strategic Partnerships Transit
·Identification of policies and procedures to integrate transit into the transportation system
and planning process
· Statewide and regional transit planning surveys and research
· Identification of policies, strategies, and programs to manage transit assets, preserve transit
facilities, and optimize transit infrastructure
· Projects that evaluate accessibility and connectivity of the multimodal transportation network
· Transit technical planning studies and operational analyses to optimize system performance
· Studies or plans that evaluate rail or multimodal connectivity
· Studies or plans that evaluate bike and pedestrian connections to transit
· Short- and long-range Transit plans
· Station area planning
· Complete Streets plans or multimodal transportation plans
· Studies that evaluate accessibility and connectivity of the multimodal transportation network
· Transit planning for zero emission bus fleets
· Integration of transit, new emerging technologies, and shared mobility services
· Strategies to increase transit ridership
· Studies, plans or planning methods that assist transportation agencies in creating sustainable
communities and transit-oriented development
Eligible and Ineligible Activities and Expenses
Eligible Activities and Expenses
Eligible activities must have a transportation nexus per the California Constitution, Article XIX
Section 2 and 3. Please consult with Caltrans district staff for more information on whether costs are
eligible for funding.
Some examples of eligible costs include:
·Data gathering and analysis
· Planning consultant procurement
· Advertising for consultant procurement
· Advertising for public workshops, e.g., flyers, paid media ads
· Virtual outreach activities and on-line meetings
· Travel expenses (See Chapter 6.5 for details)
· Up to 30 percent conceptual drawings and design
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·Equipment (as defined in 2 CFR Part 200.33)7 purchases must remain under $5,000 or
depreciation will need to be taken in to account when the grant project is completed since
equipment could have future uses. 2 CFR Part 200.4368 provides the criteria for depreciation,
at the GovInfo website.
· Community surveys, meetings, public workshop room rental, charrettes, focus groups
· Bilingual services for interpreting and/or translation services for meetings
· Community/stakeholder advisory groups
· Light snacks and refreshments for public workshops (no full meals), subject to Caltrans and
federal approval
o Requests to enhance public participation beyond the currently eligible costs for light
refreshments will need justification regarding the cost benefit of the anticipated increase
in public participation and must be submitted to Caltrans, and FHWA, when applicable,
for consideration and approval, on a case-by-case basis.
·Project administration (up to 5 percent of the grant is allowed,i.e.,quarterly reports,invoicing,
and kick-off meeting with Caltrans)
Ineligible Activities and Expenses
Some activities,tasks,project components,etc.are not eligible under these grant programs.If an
application has any of the following elements, it will be disqualified.Ineligible activities and
expenses include:
·Environmental studies,plans,or documents normally required for project development under
the National Environmental Policy Act or the California Environmental Quality Act
· Engineering plans and design specification work
· Project Initiation Documents
· Program or project implementation
· Repurposing unspent grant funds
· Consultant mark-ups
· Application development to pursue construction funds/project implementation
· RTPs or updates to the RTP
· Economic development plans or studies
· Land use plans or studies
· General Plans or updates to elements
· Construction projects, capital costs, such as the building of a facility, or maintenance
· Office furniture purchases, or other capital expenditures
· Decorations, e.g., for public workshop events
· Acquisition of vehicles or shuttle programs
· Organizational membership fees
· Incentives for public participation
7 Electronic Code of Federal Regulations, 2 Code of Federal Regulations, Part 200.33, 2020,
https://www.ecfr.gov/on/2017-01-03/title-2/subtitle-A/chapter-II/part-200/subpart-A/subject-group-
ECFR2a6a0087862fd2c/section-200.33
8 Govinfo, 2 Code of Federal Regulations, Part 200.436, 2022,
https://www.govinfo.gov/app/details/CFR-2022-title2-vol1/CFR-2022-title2-vol1-sec200-436
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·Charges passed on to sub-recipient for oversight of awarded grant funds
· Other items unrelated to the project
Tips for Successful Strategic Partnerships Grant Applications
Criteria for Successful Strategic Partnerships Grant Applications
·Partner with Caltrans to identify and address statewide, interregional, or regional
transportation deficiencies in the State Highway System (or multimodal transportation
system for transit-focused projects)
· Strengthen government-to-government relationships, and
· Result in programmed system improvements
General Tips
·Refer to Appendix A, Multimodal System Planning, for guidance documents in the
development of proposed corridor plans/studies, freight plans/studies, and other multimodal
system planning documents.
· Consult with your district representative for technical assistance before the application
deadline.
· Use the Samples and Checklists provided for the Application, Scope of Work, and Cost
and Schedule.
· Include Caltrans as an active partner in the study.
· Provide tailored letters of support and project area photographs to enhance the
application. Project supporters should describe why they support the project and how
they would benefit from the project.
· If applicants/supporters do not have the time/resources to provide tailored letters of
support, a petition signed by supporters in a simple table format that lists the supporters
and specifically how supporters will benefit the proposed project will suffice.
Project Summary
· Concisely describe the project in less than 150 words. Explain “What parties are involved,
the proposed major milestones, and why the project is necessary.”
Project Justification
· Clearly define and explain the transportation problem or deficiency that the project will
attempt to address. Why is it critical to address the problem now? Make the case for a
critical need that the project will address and support it with verifiable data, if available.
Grant Specific Objective
Demonstrate how the project fits every aspect of the Grant Specific Objective, as appropriate
for the applicant and project type.
Project Management
·Scope of Work: Refer to the Scope of Work Checklist in Appendix B.
· Cost and Schedule: Refer to the Cost and Schedule Checklist in Appendix B.
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6. GRANT PROJECT ADMINISTRATIVE
REQUIREMENTS
The content of this chapter should be notably considered in the development of grant applications
as it lays the foundation for what to expect when applying for these grant funds. Upon award,
grantees will receive more specific guidelines including administrative and reporting requirements.
Coordination with Caltrans
Caltrans is committed to be an active partner. If awarded a grant, the applicant should include
Caltrans district staff when planning both technical advisory and community meetings. In addition,
Caltrans district staff will help to ensure that the approved Scope of Work, Cost and Schedule, and
project funding will be maintained throughout the life of the contract. Applicants are also
recommended to engage Caltrans district staff throughout the entire grant life, when applicable.
Caltrans may contact grantees to participate in peer exchange forums to promote information
sharing and best practices.
If an agency does not demonstrate adequate performance and timely use of funds, Caltrans may
take appropriate actions, which can include termination of the grant.
Third Party Contracts
The agreements between a grantee and a sub-applicant/recipient, consultant, or sub-consultant
are often referred to as “third party contracts.” An eligible sub-applicant should be identified by
an eligible applicant at the onset of the application. Eligible sub-applicants/recipients may be
added to an application after award with prior Caltrans approval. If a grantee or a sub-recipient is
going to hire a consultant to perform work during the project, then proper procurement
procedures must always be used. An on-call shortlist may be used for consultant procurement if
the on-call shortlist was established through a competitive process. Additionally, the consultant
services solicited via the on-call shortlist must be consistent with the services sought in the initial
request for proposals used to establish the on-call shortlist. Agencies may not use another agency’s
on-call shortlist unless they are a grantee’s sub-applicant.
Grantees may use their agency’s procurement procedures if they comply with the State
Contracting Manual, Chapter 5, the Local Assistance Procedures Manual, Chapter 10, and the
terms of the agreement with Caltrans. In addition, work can only be contracted if it has been
stated in the applicant’s Scope of Work and Cost and Schedule. A grantee is fully responsible for
all work performed by its sub-recipient, consultant, or sub-consultant. Caltrans solely enters a
contract directly with the grantee; therefore, the grantee is responsible to ensure that all third
parties adhere to the same provisions included in the contractual agreement between Caltrans
and the grantee.
All government funded consultant procurement transactions must be conducted using a fair and
competitive procurement process that is consistent with the State Contracting Manual, Chapter 5,9
9 California State Contracting Manual Volume 1, Chapter 5, 2023,
https://www.dgs.ca.gov/OLS/Resources/Page-Content/Office-of-Legal-Services-Resources-List-
Folder/State-Contracting
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·Emphasize processes or results that can be adapted or replicated for use in multiple
jurisdictions or in various parts of the state
·Document the under-resourced community’s involvement throughout the entire process of
the proposed project and tools used to capture this information
Invoicing and Financial Requirements
Pre-Award Audit
The Sustainable Communities grants are available in amounts up to $700,000, Strategic Partnerships
grants are up to $500,000 and Climate Adaptation Planning grants are up to $3,000,000. However,
any awarded grant in excess of $250,000 may require a pre-award audit. The pre-award audit is to
ensure that recipients of State or federal funds maintain adequate financial management systems
prior to receiving the funds. Pre-award audits may be required of new grantees, agencies that
have not recently been audited, agencies that have undergone prior audits with significant
weaknesses or deficiencies in their financial management systems, or those determined to be a
higher risk to Caltrans. If a pre-award audit is needed, the local Caltrans district office will contact
the grantee to facilitate the appropriate action.
Accounting Requirements
Grantees and sub-applicants/recipients are required to maintain an accounting system that
properly records, and segregates incurred project costs and matching funds by line item. The
accounting system of the grantee, including its sub-applicants and subcontractors, must conform
to Generally Accepted Accounting Principles that enable the determination of incurred costs at
interim points of completion and provides support for reimbursement payment vouchers or invoices
sent to or paid by Caltrans. Allowable project costs must comply with 2 Code of Federal
Regulations (CFR), Part 200.
The accounting system must have the following attributes:
·Account numbers identifying allowable direct, indirect, and unallowable cost accounts
·Ability to accumulate and segregate allowable direct, indirect, and unallowable costs into
different cost accounts
·Ability to accumulate and segregate allowable direct costs by project, funding source, and
type of cost (e.g.: labor, consulting, pass-thru, or other)
·Internal controls to maintain integrity of financial management system
·Ability to account and record costs consistently and to ensure costs billed are in compliance
with 2 CFR Part 200
·Ability to ensure costs billed reconcile to general ledgers and job costing system; and
·Ability to ensure costs are in compliance with contract terms and State and federal
requirements
The types of records that are used to support the existence of these attributes include the following:
·Subsidiary general ledgers
·Chart of accounts
·Time keeping records
·General ledger and job costing ledgers
·Audited financial statements
·Accounting policy and procedure manuals specific to the agency
·Documents supporting actual costs (e.g. invoices, canceled checks)
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It is the grantee’s responsibility, in conjunction with Caltrans district staff, to monitor work and
expenses to ensure the project is completed according to the contracted Scope of Work and Cost
and Schedule. Grantees must monitor work and costs to ensure invoices are submitted on a
regular and timely basis (monthly or quarterly as milestones are completed). Grantees must
communicate with their local Caltrans district office to ensure any issues are addressed early during
the project period.
Local Match
All tasks require a grant amount and local match, except for the administrative tasks – Task 01 and
Task 02, where both a grant amount and local match are optional. The local match is a financial
requirement that demonstrates the grantee/local agency is vested in the project.
Because the local match is part of the total project cost, the local match can only fund eligible
grant activities. Therefore, grant recipients must fund ineligible activities with funds other than the
local match.
The local match can be all cash, all third-party in-kind contributions, or a combination of the two.
The minimum local match is a percentage of the total project cost (i.e., minimum local match
amount plus the grant amount) and is identified in the Cost and Schedule at the Task level.
Beginning with FY 2021-22, grantees can provide a tapered local match, which allows grantees to
vary the required local match ratio for each task and with every Request for Reimbursement.
Applicants must identify if they will utilize the tapered match on the Cost and Schedule. Grantees
agree to satisfy the total local match amount by the grant expiration date.
Local Match Sources
· Sustainable Communities Competitive and Technical
Federal toll credits, FHWA PL, and FTA Section 5303, and Sustainable Communities Formula
are ineligible match sources; otherwise, any source of funds may be used if the proposed
grant work is an eligible activity for the local match fund source.
Local match is not required for Native American Tribal Governments.
· Sustainable Communities Formula
Federal toll credits are an ineligible match source; otherwise, any source of funds may be
used if the proposed grant work is an eligible activity for the local match fund source. If
MPOs are matching with federal Consolidated Planning Grant (CPG) funds (i.e., FHWA PL or
FTA Section 5303), the work must all be eligible. However, federal approval is required as
CPG objectives may differ and must be aligned with Sustainable Communities Formula
specific objectives and 23 CFR Part 450 requirements.12
· Climate Adaptation Planning
Federal toll credits, FHWA PL, and FTA Section 5303, and Sustainable Communities Formula
are ineligible match sources; otherwise, any source of funds may be used if the proposed
grant work is an eligible activity for the local match fund source.
Local match is not required for Native American Tribal Governments.
· Strategic Partnerships and Strategic Partnerships – Transit
Any non-federal source of funds may be used if the proposed grant work is an eligible activity
for the local match fund source. If MPOs are matching with Sustainable Communities
12 Title 23, Code of Federal Regulations, Part 450,
https://www.govinfo.gov/content/pkg/CFR-2004-title23-vol1/pdf/CFR-2004-title23-vol1-part450.pdf
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Formula funds, the objectives for each grant must be in alignment. Caltrans approval is
required.
Cash Match
·Staff time from the primary applicant counts as cash match. Staff time charged to a specific
project that has been funded and or reimbursed, cannot be used to meet the match
requirement for another project.
·Sub-applicant staff time, if reimbursed, is considered cash match. If donating their time, it is
considered in-kind.
·Revenue sources for local cash match can include local sales tax, special bond measures,
private donations, private foundations, etc.
Third-Party In-Kind Match
Third party in-kind contributions are typically goods and services donated from outside the primary
grantee’s agency and can be counted towards the minimum local match requirement. Examples
of third-party in-kind contributions is the value of donated:
·Public outreach materials
·Interpreter Services
·Facilities
·Equipment
·Advertising
·Student volunteers and other stakeholder staff time
·Other goods and services
The Third-Party In-Kind Valuation Plan is required to itemize and place value on donated goods and
services. It must be submitted to Caltrans for approval only if the grant application is awarded.
The Third-Party In-Kind Valuation Plan Checklist and Template can be found in Appendix B.
In addition:
·The value of third-party in-kind contributions must be directly benefiting and specifically
identifiable to the project.
·Minimum wage standards for student workers or Caltrans pay rates for equal-level volunteers
are acceptable base values of volunteer time.
·Third-party in-kind contribution information must be identified on the Grant Application Cover
Sheet, the Cost and Schedule, and the project specific Work Element in the OWP (if
applicable).
Minimum Local Match Requirements
Applicants/grantees will be held responsible for any local commitments above the minimum
requirement included in the grant application and will be made part of the grant agreement with
Caltrans. Once the agreement is executed, any decrease to local match commitments above
the minimum required amount will require Caltrans approval through an amendment. The
example shown in the following table illustrates the minimum local match requirement based on a
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after the grantee has received ICAP/ICRP approval from CIAO. For guidance on the ICAP/ICRP
submission process, visit Caltrans Internal Audit Office14 and the Caltrans LAPM Chapter 5
Accounting/ Invoicing. 15
Most Common Types of Indirect Cost Rates
The following are the most common types of Indirect Cost Rates:
·Fixed Rate
·Final Rate
·De Minimis Rate
·Safe Harbor Rate
Changes to the De Minimis Rate are outlined in the revised 2 CFR Part 200.414(f)16 that became
effective November 12, 2020.
Applications must include the estimated indirect cost rate on the Cost and Schedule.
Travel Expenses
Grantees may be eligible to claim travel expenses if they have been approved in the Scope of
Work and Cost and Schedule. Travel expenses and per diem rates are not to exceed the rate
specified by the State of California Department of Personnel Administration for similar employees
(i.e., non-represented employees). Any request for reimbursement that exceeds the State rates will
be denied. The grantee is responsible for paying beyond the State rates and cannot use the local
match because it is an ineligible activity.
For more information on eligible travel expenses, visit the Caltrans Travel Guide Website. 17
Requests for Reimbursements
·Grant payments are made only as reimbursements.
·Grant reimbursements will be based on actual allowable incurred costs.
·Grant costs will be reimbursed if incurred on or after the start date and the issuance of the
Notice to Proceed and before the expiration date.
·Request for Reimbursements (RFRs) must be submitted at least quarterly, but no more
frequently than monthly.
·A one-time, lump sum invoice or RFR for the entire grant is not allowed.
·Grantees must pay sub-recipients and subcontractors prior to submitting an RFR to Caltrans.
·Incomplete or inaccurate RFRs will be returned for correction.
·An accounting management system generated report must accompany all RFRs.
·Refer to Chapter 9.2 to determine final RFR dates
14 Caltrans Internal Audits Office, ICAP/ICRP Submission Process, 2022,
https://dot.ca.gov/programs/audits/submission-review-main
15 Caltrans Local Assistance Procedures Manual Chapter 5, 2020,
https://dot.ca.gov/-/media/dot-media/programs/local-assistance/documents/lapm/ch05.pdf
16 Electronic Code of Federal Regulations, 2 Code of Federal Regulations, Part 200.414(f), 2020,
https://www.ecfr.gov/cgi-bin/text-idx?node=se2.1.200_1414&rgn=div8
17 Caltrans Travel Guide, 2020, https://dot.ca.gov/programs/accounting/travel-guide
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·When requesting reimbursement of indirect costs, the following items are required as part of
the submitted RFR package:
o An approved ICAP/ICRP rate must be on file for the FY in which the costs occurred.
o A financial management system report that segregates direct/indirect costs by fund
source.
o ICAP support document spreadsheet that identifies direct charges and rate applied to
those charges.
·Grantees must pay final consultant invoices by the final invoice due date to be eligible for
reimbursement when submitting a final RFR.
Non-Discrimination Requirements
Title VI Non-Discrimination Requirement
The FHWA and the FTA each have requirements that recipients of Metropolitan Planning federal
funds must demonstrate continued compliance with Title VI. Compliance with Title VI includes
conducting meetings in a fair and reasonable manner that are open to all members of a
community. Interpretation and translation services should also be provided when appropriate.
Compliance reflects not only the law but is also a good policy that builds the kind of trust and
information sharing upon which successful planning is done. Even where a city or county may not
be receiving federal funding for transportation, the Civil Rights Restoration Act of 1987 also
obligates that a city or county comply with Title VI, if it receives any other federal funding for any
program. Refer to the Caltrans Title VI website18 for more information.
Disadvantaged Business Enterprises
Successful grant applicants are expected to market contracting opportunities to all small
businesses, including DBEs and Disabled Veteran Business Enterprises.
Grant recipients of federal funds are required to report any contracting opportunities that may
involve DBE participation. DBE reporting is required twice a year: April 1 and October 1. For details
about DBE requirements, visit the Office of Civil Rights website.19
Final Product
All final reports funded through the Sustainable Transportation Planning Grant Program shall credit
the FHWA, FTA, or Caltrans’ financial participation on the cover or title page. An Americans with
Disabilities Act of 1994 (ADA)-accessible electronic copy of all final reports shall be forwarded to
the Caltrans district office responsible for the administration and oversight of the grant. There are
resources to assist with development of ADA compliant documents.20
18 Caltrans, Title IV of the Civil Rights Act of 1964, 2020,
https://dot.ca.gov/programs/civil-rights/title-vi
19 Caltrans, Office of Civil Rights, Disadvantaged Business Enterprise Website:
https://dot.ca.gov/programs/civil-rights/dbe
20 State of California Accessibility Website: https://www.ca.gov/accessibility/
California Department of Rehabilitation Accessibility Website:
https://www.dor.ca.gov/Home/Accessibility
MS Office Support Video: https://support.office.com/en-us/article/video-check-the-accessibility-of-
your-document-9d660cba-1fcd-45ad-a9d1-c4f4b5eb5b7d
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Any technologies or inventions that may result from the use of these grants are in the public
domain and may not be copyrighted, sold, or used exclusively by any business, organization, or
agency. Caltrans reserves a royalty-free, non-exclusive, and irrevocable license to reproduce,
publish, or otherwise use and to authorize others to use for public purposes.
Applicants should thoughtfully develop the project title. Once a Caltrans grant agreement is
executed, changes to the original grant project title are not allowed. Grantees may use an “Also
Known As” (AKA), but both the AKA and the original title must be included in the final product.
Grantees must submit their final product with the final RFR to Caltrans for approval and
reimbursement. Grantees will not be reimbursed for activities that are not completed, and the
activity budget must be left unexpended.
Project Close-Out Survey
Once awarded grant projects are completed, grantees will complete a close-out survey to
describe the successes and challenges of their project. The survey will give the opportunity to (1)
highlight successes and obstacles in project implementation of the concepts identified by the
planning process, (2) identify best practices in transportation planning, with an emphasis in public
engagement, and (3) identify studies/plans that have been or will be funded for continued project
development. Information from the survey will be compiled into a report to illustrate the value of
the grant program and inform planning practitioners in their planning efforts. Caltrans’ goal is to
provide transparency and accountability for the program, as well as to use the survey feedback to
better serve future grant applicants.
California Public Records Act
All applications are subject to the California Public Records Act of 196821. As such, applicants may
be contacted by anyone who requests their grant application. While Caltrans is obligated to share
applications at any time, awarded applicants should avoid a potential conflict of interest when
contacted by consultants who may inquire about the grant-funded project and not give the
consultant an unfair advantage for the consultant procurement process.
21 Leg info, California Government Code, Sections 6250 - 6270.7,
https://leginfo.legislature.ca.gov/faces/codes_displayText.xhtml?division=7.&chapter=3.5.&lawCod
e=GOV&title=1.&article=1.
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8. APPLICATION REVIEW PROCESS
Two-Tiered Application Review Process
This chapter provides a brief overview of the grant application review process. Grant application
evaluation is a two-tiered process that consists of:
·Caltrans District Review and Evaluation
·Caltrans Headquarters (HQ) Interagency Review Committees Evaluation
Caltrans district staff conducts the first-level review of all applications for content, submission of
proper documentation, overall relationship to regional and local planning efforts, and documents
their evaluations. Caltrans district staff scores, prioritizes, and recommends the most highly ranked
Sustainable Communities and all Strategic Partnerships applications for the next level of review with
the Interagency Review Committees. Grant applications from Native American Tribal
Governments, Transit Agencies, and proposed projects spanning multiple Caltrans districts or
projects having a statewide significance, may also move on directly from Caltrans districts to HQ
for review.
The HQ Interagency Review Committees conduct the second-level review and comprise staff from
Caltrans HQ, the Federal Highway Administration, the Federal Transit Administration, the California
Department of Housing and Community Development, the California Department of Public Health,
the Governor’s Office of Planning and Research, the Strategic Growth Council, and the California
Air Resources. Caltrans HQ also coordinates with internal specialists, depending on the grant
application subject matter, to provide high-level reviews of the proposed project to avoid funding
duplicative efforts or efforts that are not supportive of State planning efforts. The committees for
each grant category convene to develop funding recommendations that are approved by every
level of Caltrans management and the California State Transportation Agency.
Application Evaluation/Scoring Process
Grant applications that address every aspect of the grant specific objectives will score higher
overall. Caltrans has diverse applicants and project types, which makes it difficult to use a one-size
fits all scoring rubric that would not unintentionally put some applicant/project types at a
disadvantage. Therefore, applications will be scored based on how well they are able to describe
the project, justify need, incorporate the grant specific objectives, and develop a Scope of Work
and Cost and Schedule, all in accordance with this grant guide, samples and checklists provided,
as applicable and appropriate for the applicant and project type. Once the grant review
committees evaluate, rank, and select the best applications for grant funding, final
recommendations are presented to Caltrans management and California State Transportation
Agency for approval.
Past Performance Award Considerations
Previous Caltrans transportation planning grantee performance will be considered during the
evaluation process. Applicants with a history of inadequate performance and/or unresolved past
grant performance issues may be at a competitive disadvantage in the application review
process. Past performance issues could include the following:
·Poor grant project management
·Lack of communication/coordination with Caltrans
·Failure to achieve grant project milestones
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·Untimely invoice submittals
·Excessive balances and consistently relinquish transportation funds administered by Caltrans
Planning
·Unresolved audit issues or findings
·Overall poor quality of the final grant product
·Failure to satisfy the required State and federal planning requirements including submittal and
administration of OWPs, RTPs, and Transportation Improvement Programs
If an agency does not demonstrate adequate performance and timely use of funds, Caltrans may
take appropriate actions, which can include denial of extenuating circumstance time extension
requests and termination of the grant.
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9. APPLICATION AWARD PROCESS
Award and Non-Award
Successful grant applicants will receive an award letter via email. A list of awarded and non-
awarded grants will be posted to the Caltrans Sustainable Transportation Planning Grant Program
website.
Caltrans Sustainable Transportation Planning Grant Program Website:
https://dot.ca.gov/programs/transportation-planning/division-of-transportation-planning/regional-
and-community-planning/sustainable-transportation-planning-grants
Conditional Award Teleconferences
Each grantee will receive a Conditional Award Letter that outlines the grant project cost, important
expiration and final invoice dates.
Caltrans district staff will schedule individual teleconferences to provide the specific and general
conditions of grant acceptance that are necessary to accept grant funding, including any
revisions to the grant application, Scope of Work and Cost and Schedule. Conditions may include
revisions to the project Scope of Work to bolster public participation, consider land use and
housing, and to coordinate with local housing and community development departments and
health departments. Awardees are required to submit all supporting materials and a signed
agreement or risk forfeiting the grant award.
Non-Award Teleconferences
Unsuccessful grant applicants are encouraged to request a debriefing from Caltrans. Applicants
typically receive specific comments from the District/Interagency Review Committee on how to
improve applications to re-apply in a future grant cycle. If the application advanced to the
second-level review, HQ provides the Interagency Review Committee score, as well as how close
the application was relative to the cut-off score for available grant funding. Applicants sometimes
apply two or three times before they are successful due to the competitiveness of the grant
program.
Contracting with Caltrans
All awarded grant funds must be under an executed agreement with Caltrans during the State FY
2025-26. The project start date depends on the method of contracting with Caltrans.
MPOs and RTPAs
All MPOs/RTPAs with a current Master Fund Transfer Agreement (MFTA) must have the entire grant
award and local match programmed in the FY 2025-26 OWP within 90-days of receiving the signed
FY 2024-25 reconciliation letter. Due to the competitiveness of this grant program, failure to
program funds may result in forfeiture of grant funds. MPOs/RTPAs should include a place-holder
Work Element in the Draft FY 2025-26 OWP and satisfy specific grant conditions before the first FY
2025-26 OWP amendment. MPO/RTPAs can anticipate starting their projects in November 2025,
after the OWP amendment is processed and Caltrans issues a formal Notice to Proceed.
Non-MPOs/RTPAs
Grantees that do not have a current MFTA with ORCP (i.e., cities, counties, transit agencies, Native
American Tribal Governments), Caltrans will contract directly with the primary grantees through the
Restricted Grant Agreement (RGA) process. For grantees that undergo the RGA contracting
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(3) Transferring Funds Pursuant to 23 U.S.C. 202(a)(9) – Section 202(a)(9) of title 23, United States
Code encourages cooperation between States and Tribes by allowing any funds received from
a State, county, or local government to be credited to appropriations available for the Tribal
Transportation Program (TTP). One potential source of such funding is funds apportioned or
allocated to a State under title 23. Section 104(f)(3) allows the Secretary of Transportation to, at
the request of a State, transfer among States, or to the FHWA, funds that have been so
apportioned or allocated. This provision, used in conjunction with the authority under 23 U.S.C.
209(a)(9), allows State funds to be transferred to FHWA, which in turn would provide the funds
to the specified Tribe.
For more information visit the FHWA website.22
Caltrans has successfully used the federal Section 202(a)(9) process to transfer Sustainable
Communities grant funds to a Native American Tribal Government. In order to use this transfer
process, an agreement would need to be in place with the FHWA or the Bureau of Indian
Affairs, the Tribe, and the State that clearly identifies the project and the roles and
responsibilities of all parties. Each interagency fund transfer includes 1) a fund transfer template
and 2) an addendum lining out the specifics of the terms. This option requires involvement and
approval by Caltrans Legal and the funds must be used for the intended purpose of the
awarded Sustainable Communities grant.
22 Federal Highway Administration, Office of Tribal Transportation , 2020
https://flh.fhwa.dot.gov/programs/ttp/documents/Funds-Transfer-Procedures-Pursuant-to-23-
U.S.C.202%28a%29%289%29.pdf
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APPENDICES
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APPENDIX A. GUIDANCE, TOOLS, AND RESOURCES FOR
PREPARING A GRANT APPLICATION
Grant Program Considerations
The Grant Application Guide incorporates guidance from many sources. The following links are
provided to assist applicants in preparing a competitive grant application consistent with the grant
program, specific objectives, and the Grant Program Considerations:
·Caltrans Strategic Plan
·California Transportation Plan (CTP) 2050
·California Strategic Highway Safety Plan (SHSP) 2020-2024
·Modal Plans that Support the CTP
o Interregional Transportation Strategic Plan
o California Freight Mobility Plan
o California State Rail Plan
o California State Bicycle and Pedestrian Plan
o Statewide Transit Strategic Plan
o California Aviation System Plan
·Title VI and Environmental Justice
·Climate Action Plan for Transportation Infrastructure
·California Climate Adaptation Strategy
·Master Plan for Aging
Caltrans Strategic Plan
The purpose of the Strategic Plan is to be a roadmap of Caltrans’ role, expectations, and
operations as we meet the challenges of modernizing Caltrans into a world-class Department of
Transportation. The tools we use to implement this Plan are performance management,
transparency, accountability, sustainability, and innovation. The Plan serves a number of functions:
·Provides clear direction for meeting statewide objectives;
·Creates and deepens strategic partnerships; and
·Provides performance measures that monitor success
https://dot.ca.gov/-/media/dot-media/programs/risk-strategic-management/documents/sp-2020-
16p-web-a11y.pdf
California Transportation Plan 2050
The CTP 2050 is the State’s statutorily fiscally unconstrained long-range transportation roadmap for
positive change that:
·Provides a unifying and foundational policy framework for making effective, transparent, and
transformational transportation decisions in California
·Addresses the varied transportation needs of urban, suburban, rural, and tribal communities
·Emphasizes implementation and identifies a timeline, roles, and responsibilities for each plan
recommendation.
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The CTP does not contain projects, but policies and strategies required to close the gap between
what the RTPs aim to achieve and how much more is required to meet 2050 goals. Competitive
applications will discuss how proposed projects will assist in achieving the CTP 2050.
https://dot.ca.gov/-/media/dot-media/programs/transportation-planning/documents/ctp-2050-
v3-a11y.pdf
Strategic Highway Safety Plan
California's Strategic Highway Safety Plan (SHSP) is a statewide, comprehensive, data-driven effort
to reduce fatalities and serious injuries on public roads. Started in 2005, the SHSP is updated
regularly to ensure continued progress and meet changing safety needs. Currently, over 300 safety
stakeholders from 80 public and private agencies and organizations work together to implement
the plan under the direction of the SHSP Executive Leadership and a 13-member Steering
Committee. The SHSP includes behavioral, infrastructure, and technology strategies addressing the
"4Es" of safety: engineering, enforcement, education, and emergency services.
https://dot.ca.gov/programs/safety-programs/shsp
Modal Plans that Support the California Transportation Plan
The CTP is the umbrella plan that informs and pulls together the State’s long-range modal plans,
described below, to envision the future system:
Interregional Transportation Strategic Plan (ITSP)
A Caltrans document that provides guidance for the identification and prioritization of interregional
transportation improvements to be funded in the Interregional Transportation Improvement
Program (ITIP). The ITSP analyzes the entire interregional transportation system including highways
and rail. While the ITSP informs the ITIP, the purpose of the plan is to be a guiding document for all
investment in the interregional transportation system regardless of funding source.
https://dot.ca.gov/programs/transportation-planning/division-of-transportation-planning/corridor-
and-system-planning
California Freight Mobility Plan
A statewide, long-range plan for California's freight transportation system. Developed in
collaboration with our partners, the California Freight Mobility Plan (CFMP) was developed by the
California State Transportation Agency (CalSTA) and Caltrans in consultation with the California
Freight Advisory Committee.
https://dot.ca.gov/programs/transportation-planning/division-of-transportation-planning/strategic-
freight-planning
California State Rail Plan
A statewide plan that provides a framework for planning and implementing California’s rail
network for the next 20 years and beyond. The Rail Plan is a strategic plan with operating and
capital investment strategies that will lead to a coordinated, statewide travel system.
https://dot.ca.gov/programs/rail-and-mass-transportation/california-state-rail-plan
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California State Bicycle and Pedestrian Plan
“Toward an Active California,” California’s first statewide plan that lays out the policies and actions
that Caltrans and its partner agencies will take to achieve the Department’s ambitious statewide
goals to double walking and triple bicycling trips by 2020.
https://dot.ca.gov/-/media/dot-media/programs/transportation-planning/documents/f0020350-
activeca-final-plan-2017-05-18-a11y.pdf
Statewide Transit Strategic Plan
The plan allows the State to prepare for the expanding landscape of personal mobility choices and
the integration of urban and regional transit systems with the California High Speed Rail project.
The Statewide Transit Strategic Plan highlights a sustainable transportation system that supports the
outcomes of the CTP, the California State Rail Plan, and the California State Bicycle and Pedestrian
Plan.
https://dot.ca.gov/programs/rail-and-mass-transportation/statewide-transit-strategic-plan
California Aviation System Plan
A multi-element plan prepared by Caltrans with the goal of developing and preserving the system
of publicly owned, public-use airports and to promote the development of a safe, efficient, and
sustainable air transportation system that meets the integrated mobility needs of the State of
California.
https://dot.ca.gov/programs/aeronautics/california-aviation-system-plan
Title VI and Environmental Justice
Title VI of the U.S. Civil Rights Act prohibits discrimination on the basis of race, color, or national
origin in programs or activities receiving federal financial assistance. A similar prohibition applies to
recipients of State funds under California Government Code section 11135, which prohibits
discrimination on the basis of race, color or national origin, as well as ethnic group identification,
religion, age, sex, sexual orientation, genetic information, or disability. Title VI specifically provides
the following:
No person in the United States shall, on the ground of race, color, national origin, religion,
sex, age, or disability be excluded from participation in, be denied the benefits of, or be
subjected to discrimination under any program or activity receiving financial assistance
from the Federal government.
https://dot.ca.gov/programs/civil-rights/title-vi
The following tools are provided to assist grant applicants with integrating environmental justice in
their proposed activities:
EJSCREEN: Environmental Justice Screening and Mapping Tool
EJSCREEN, developed by the United States Environmental Protection Agency, geospatially displays
public health and environmental data and allows users to compare local data against state and
national averages.
https://www.epa.gov/ejscreen
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Environmental Justice Agency Assessment 2020
The California Environmental Justice Alliance completed the fifth Environmental Justice Agency
Assessment, the only one in the nation to formally examine how state agencies develop,
implement, and monitor environmentally related policies that particularly impact low-income
communities and communities of color. The assessments in this report are made in the spirit of
holding state agencies and elected officials accountable to the public, and to provide guidance
on how they can make their work more equitable.
https://caleja.org/wp-content/uploads/2021/07/CEJA-Agency-Assessment-062021-FINAL-WEB.pdf
Caltrans Transportation Equity Index (EQI)
The EQI is a spatial screening tool designed to identify transportation-based priority populations at
the Census block level. The EQI integrates transportation and socioeconomic indicators into three
screens. All screens reflect low-income status and tribal land status.
The EQI screens include:
·Transportation-Based Priority Populations: Communities that are most burdened by the
transportation system and receive the fewest benefits.
·Traffic Exposure: Communities that are the most burdened through high exposure to traffic
and crashes.
·Access to Destinations: Communities that have the greatest gaps in multimodal access to
destinations.
https://dot.ca.gov/programs/esta/race-equity/eqi
Climate Action Plan for Transportation Infrastructure
The Climate Action Plan for Transportation Infrastructure (CAPTI) details how the State recommends
investing billions of discretionary transportation dollars annually to aggressively combat and adapt
to climate change while supporting public health, safety and equity. CAPTI builds on executive
orders signed by Governor Gavin Newsom in 2019 and 2020 targeted at reducing GHG emissions in
transportation, which account for more than 40 percent of all emissions, to reach the State's
ambitious climate goals.
https://calsta.ca.gov/-/media/calsta-media/documents/capti-july-2021-a11y.pdf
California Climate Adaptation Strategy
The California Climate Adaptation Strategy, mandated by Assembly Bill 1482 (Gordon, 2015), links
the State’s existing and planned climate adaptation efforts, showing how they fit together to
achieve California’s six climate resilience priorities. The Strategy is organized around outcome-
based priorities, enabling a coordinated, integrated approach to building climate resilience. The
Strategy shows how the State’s efforts fit together to deliver on six priorities for climate resilience
action in California: Strengthen Protections for Climate Vulnerable Communities; Bolster Public
Health and Safety to Protect Against Increasing Climate Risks; Make Decisions Based on the Best
Available Climate Science; Build a Climate Resilient Economy; Accelerate Nature-Based Climate
Solutions and Strengthen Climate Resilience of Natural Systems; Partner and Collaborate to
Leverage Resources.
https://www.climateresilience.ca.gov/
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Master Plan for Aging
The Master Plan for Aging is a blueprint for aging across the lifespan and outlines five goals and
twenty-three strategies to build a California for All Ages by 2030. It also includes a Data Dashboard
for Aging to measure progress and a Local Playbook to drive partnerships that will assist in meeting
the goals of the Master Plan.
https://mpa.aging.ca.gov/
Resources to Advance Grant Specific Objectives
Applicants must demonstrate how the project fits every aspect of the Grant Specific Objective, as
appropriate for the applicant and project type. The following resources are provided in this
section:
·Multimodal System Planning
·Advance Transportation Related GHG Reduction Project Types/Strategies
·Addressing the Needs of Under-Resourced Communities
·Public Health Resources
·Active Community Engagement
·Integrated Housing, Land Use, and Transportation Planning
·Promote the Region’s RTP SCS/APS, State Planning Priorities, and Climate Adaptation Goals
·Climate Ready Transportation and Climate Adaptation Planning
Multimodal System Planning
The following guidance documents can be used in the development of proposed corridor
plans/studies, freight plans/studies, and other multimodal system planning documents.
Comprehensive Multimodal Corridor Plan Guidelines
The California Transportation Commission developed the Comprehensive Multimodal Corridor Plan
Guidelines (plan guidelines) to provide guidance to eligible Solutions for Congested Corridors
Program applicants regarding the statutory requirements for comprehensive corridor plans utilized
by agencies to apply for funding through the Congested Corridors Program. Applicants proposing
to develop a comprehensive corridor plan are encouraged to review the plan guidelines to ensure
their application and final product would align with and compete well for the Solutions for
Congested Corridors Program.
https://catc.ca.gov/programs/sb1/solutions-for-congested-corridors-program/comprehensive-
multimodal-corridor-plan-guidelines
Caltrans Corridor Planning Process Guide
The Caltrans Division of Transportation Planning prepared the Corridor Planning Process Guide
(Guide) for use in preparing corridor planning documents. This Guide establishes a comprehensive
planning approach through desired protocols and procedures to identify and implement
multimodal transportation needs. It is neither intended as nor does it establish, a legal standard for
these functions.
https://dot.ca.gov/-/media/dot-media/programs/transportation-planning/documents/system-
planning/systemplanning/corridor-planning-process-guide-april-2022-a11y.pdf
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Planning for Operations Strategic Work Plan
The Planning for Operations Strategic Work Plan is a statewide framework for multimodal system
management planning, aims to identify the specific steps needed to implement multimodal system
management planning at Caltrans and prioritize implementation actions.
https://dot.ca.gov/-/media/dot-media/programs/transportation-planning/documents/system-
planning/systemplanning/caltrans-p4ops-strategic-work-plan-2018-a11y.pdf
Caltrans Climate Change Emphasis Area Guide for Corridor Planning
Consideration of climate change adaptation and mitigation must be included in the corridor
planning process. This guidance was developed to describe how to address climate risk in the
context of the Caltrans Corridor Planning Process Guide’s 8 steps process.
https://dot.ca.gov/-/media/dot-media/programs/transportation-planning/documents/cc-ea-
guide-for-corridor-planning-march2022-a11y.pdf
Climate Adaptation Strategies for Transportation Infrastructure
This educational-only resource describes the types of hazards and/or threats represented by
different climate stressors and lists the types of adaptation actions or strategies that could be
considered to minimize climate change impacts.
https://dot.ca.gov/-/media/dot-media/programs/transportation-planning/documents/office-of-
smart-mobility-and-climate-change/fy23-24-adaptation-strategies-transportation-infrastructure-
05102024v2-a11y.pdf
Active Transportation Emphasis Area Guidance
Active Transportation is one of several distinct emphasis areas to be considered in corridor plan
analysis. Caltrans Active Transportation guidance has one goal – to provide corridor planners with
a framework to assess and analyze the variety of Active Transportation issues that can be
addressed in Corridor Plans. As the “Eight Step” process will be required to develop Corridor Plans,
this Active Transportation Emphasis Area (EA) Guidance is based upon those eight steps.
https://dot.ca.gov/-/media/dot-media/programs/transportation-planning/documents/active-
transportation-complete-streets/20220131active-transportation-emphasis-area-guidance-final-
version-v7a11y.pdf
Advance Transportation Related GHG Reduction Project Types/Strategies
CARB 2022 Scoping Plan, Appendix E
The California Air Resources Board (CARB) adopted the 2022 Scoping Plan for Achieving Carbon
Neutrality, to guide how the State develops communities, preserves and protects its landscapes,
and ensures that all Californians have equitable access to housing, health care, jobs, and
opportunity. Competitive Sustainable Communities grant applications will demonstrate a linkage
to this land use vision.
The 2022 Scoping Plan (Appendix E, Sustainable and Equitable Communities) also includes
information on the need for reducing VMT and outlines a list of potential additional strategies that
the State and other responsible parties could pursue to help achieve further VMT reduction,
support local and regional actions already underway, and advance multiple additional goals.
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While this document is intended to guide State-level actions, many of the strategies can also be
implemented at a regional and local level. Sustainable Communities grant applicants are
encouraged to explore these strategies and apply them, as appropriate, to proposed planning
projects.
CARB 2022 Scoping Plan (all updates and appendices):
https://ww2.arb.ca.gov/our-work/programs/ab-32-climate-change-scoping-plan/2022-scoping-
plan-documents
CARB 2022 Scoping Plan, Appendix E:
https://ww2.arb.ca.gov/sites/default/files/2022-11/2022-sp-appendix-e-sustainable-and-equitable-
communities.pdf
For current CARB activities and future updates on Scoping Plan efforts, visit:
https://ww2.arb.ca.gov/our-work/programs/ab-32-climate-change-scoping-plan
Senate Bill 375
The Sustainable Communities and Climate Protection Act (SB 375) was signed in 2008. It supports
the State's climate goals by helping reduce GHG emissions through coordinated transportation,
housing, and land use planning.
Under the Sustainable Communities Act, CARB sets regional targets for GHG emissions reductions
from passenger vehicle use. CARB set targets for 2020 and 2035 for each of the 18 MPO regions.
Each of the MPO regions must prepare an SCS/APS, as an integral part of its RTP, that contains land
use, housing, and transportation strategies that, if implemented, would allow the region to meet
CARB’s targets. Once the SCS/APS is adopted by the MPO, CARB must review the adopted
SCS/APS to accept or reject the MPO's determination that the SCS/APS, if implemented, would
meet the targets.
Sustainable Communities grant applicants, where applicable, should explore their regions SCS/APS,
and apply them, as appropriate, to proposed planning projects.
CARB SCS/APS Evaluations: https://ww2.arb.ca.gov/our-work/programs/sustainable-communities-
program/regional-plans-evaluations
SB 375: https://leginfo.legislature.ca.gov/faces/billNavClient.xhtml?bill_id=200720080SB375
Senate Bill 743
Senate Bill (SB) 743 was signed in 2013, with the intent to “more appropriately balance the needs of
congestion management with statewide goals related to infill development, promotion of public
health through active transportation, and reduction of GHG emissions.” As such, automobile delay
or traffic congestion, as measured in level of service, is not considered a significant environmental
effect under the California Environmental Quality Act (CEQA). Changes to the CEQA Guidelines
were certified in December 2018 and established Vehicle Miles Traveled (VMT) as the most
appropriate measure of transportation-related environmental impact. A key element of
transportation analysis under the new guidance is forecasting induced vehicular travel, or the
change in VMT attributable to a project. Since July 1, 2020, statewide implementation of VMT
analysis in CEQA documents is required.
Applicants who wish to pursue model improvements or develop VMT Mitigation Programs using
Sustainable Communities Competitive Technical or Formula grants are encouraged to review
available materials relating to forecasting induced travel or strategies to mitigate and reduce VMT,
including those found on the Caltrans SB 743 implementation website. Refer to the Caltrans
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Transportation Analysis Framework, the Caltrans Transportation Analysis Under CEQA, and other
resources linked on the website for more information.
Example project types include:
·Integration of land use modeling into travel demand models, improving long-term induced
travel modeling capability
·Incorporation of impacts to trip-making behaviors as a result of network improvements
·Improved congestion feed-back into existing models, or pre- and post-processing procedures
·Induced travel case studies
·VMT-reducing strategies and programs intended to mitigate for induced travel impacts
SB 743: http://leginfo.legislature.ca.gov/faces/billNavClient.xhtml?bill_id=201320140SB743
Caltrans SB 743 Implementation Resources: https://dot.ca.gov/programs/esta/sb-743/resources
Addressing the Needs of Under-Resourced Communities
Caltrans encourages eligible applicants to apply for Sustainable Communities Competitive Grants
to address transportation needs and deficiencies in under-resourced communities. Supporting
planning projects that benefit a under-resourced community is a priority; therefore, a minimum
threshold of 50 percent of Sustainable Communities Competitive Grants has been identified for
projects that benefit under-resourced communities, which includes Native American Tribal
Governments and rural communities (for transportation planning purposes, rural is defined as all
areas of the state that are not included in urbanized areas of 50,000 in population or greater; see
map in Appendix C which indicates rural areas). In sum, acceptable under-resourced
communities definitions include:
• Rural communities of 50,000 or less and outside of urbanized areas
• Native American Tribal Governments
• Regionally/locally defined under-resourced communities
• At or below 80% Assembly Bill 1550 (Gomez, Chapter 369, Statutes of 2016)
• At or above 75% California Department of Education,
Free or Reduced Priced Meals Data
• At or above 75% CalEnviroScreen Version 4.0
• At or below 25% California Healthy Places Index (HPI)
Grant applicants are required to provide a justification in
their grant application for how the project area meets the
definition of an under-resourced community and a
description of how the project will benefit these
communities, as well as how these communities will be
engaged throughout the project.
The following tools, related to income level, environmental
burden, and health inequities, are intended to help
applicants identify the most vulnerable places that are
facing disproportionate rates of economic, environmental,
and health burdens. These tools must be cited in the grant
application, as well as how the project area is compared
to the statewide thresholds that are established in each
tool.
IMPORTANT
INFORMATION:
Grant applicants are required
to provide a justification in their
grant application for how the
project area meets the
definition of under-resourced
communities and a description
of how the project will benefit
these communities, as well as
how these communities will be
engaged throughout the
project.
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Regionally and/or Locally Defined Under-Resourced Communities
Regionally and/or locally defined under-resourced communities may be acceptable as long as
statewide thresholds for the tools below are not circumvented. Applicants that use a regional or
local definition should also provide data for their project, using the statewide tools below. Caltrans
may not accept the regional/local definition if it is inadequately supported in the justification
section of the grant application.
Assembly Bill (AB) 1550 (Gomez, Chapter 369, Statutes of 2016)
AB 1550 further enhanced the Greenhouse Gas Reduction Fund statutory requirements to invest a
minimum of twenty-five percent in under-resourced communities and another ten percent in low-
income households or communities. AB 1550 provides definitions for low-income households and
low-income communities that may be considered in application development:
(1) “Low-income households” are those with household incomes at or below 80 percent of the
statewide median income or with household incomes at or below the threshold designated
as low income by the Department of Housing and Community Development’s list of state
income limits adopted pursuant to Section 50093.
(2) “Low-income communities” are census tracts with median household incomes at or below 80
percent of the statewide median income or with median household incomes at or below the
threshold designated as low income by the Department of Housing and Community
Development’s list of state income limits adopted pursuant to Section 50093.
AB 1550: https://leginfo.legislature.ca.gov/faces/billNavClient.xhtml?bill_id=201520160AB1550
California Department of Education, Free or Reduced Priced Meals (FRMP) Data
The California Department of Education maintains the complete data files pertaining to students
who are eligible for FRMP. FRPM data are collected annually and can also be used to assist
Sustainable Communities applicants to define their under-resourced community. Per SB 99
(Chapter 359, Statutes of 2013), the State’s Active Transportation Program disadvantaged
community’s definition includes low-income schools, where at least 75 percent of students are
eligible to receive free or reduced meals under the National School Lunch Program.
FRMP data files: https://www.cde.ca.gov/ds/sd/sd/filessp.asp
SB 99: https://leginfo.legislature.ca.gov/faces/billNavClient.xhtml?bill_id=201320140SB99
CalEnviroScreen Version 4.0
CalEnviroScreen is a screening methodology that can be used to help identify California
communities that are disproportionately burdened by multiple sources of pollution.
CalEnviroScreen uses environmental, health, and socioeconomic information to produce a
numerical score for each census tract in the state. For purposes of SB 535 (De León, Statutes of
2012), disadvantaged communities are defined as the top 25 percent scoring areas from
CalEnviroScreen along with other areas with high amounts of pollution and vulnerable populations.
https://oehha.ca.gov/calenviroscreen/report/calenviroscreen-40
California Healthy Places Index (HPI)
HPI is an interactive data and mapping tool that provides a detailed snapshot of the social
determinants of health across California, mapped down to the Census tract level. HPI provides
comparison rankings of Census tracts statewide and an accompanying policy action guide.
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Therefore, the HPI can be a useful tool in prioritizing
areas with high levels of social and economic
disadvantage for funding, policy, and planning
interventions. HPI was developed by the Public
Health Alliance of Southern California in
collaboration with health departments and data
experts across the state. Because HPI focuses on
the social and environmental conditions that
contribute to health, policy makers and local
agencies can use it to identify actionable policies
that would improve health in their community, such
as improving transportation access, housing
affordability and quality, or access to parks and
open space, HPI also incorporates “decision
support layers” that can be overlaid to show
additional indicators such as the California
Department of Public Health’s (CDPH) climate
change and health vulnerability indicators (see
Appendix A, Public Health Resources, CDPH Climate Change and Health Vulnerability Indicators for
more information.).
https://healthyplacesindex.org/
Understanding the HPI Score
HPI includes a composite score for each Census tract in the state. The higher the score, the
healthier the community conditions. Each Census tract’s score is converted to a percentile, which
allows it to be compared to other California Census tracts. For example, an HPI percentile of 79
indicates that a Census tract has healthier community conditions than 79 percent of the Census
tracts in California. HPI percentile rankings are further broken into quartiles, with percentiles below
25 typically used to indicate disadvantaged communities. Thus, lower scores can be used to
demonstrate a community, or project/service area, is under-resourced for purposes of qualifying for
the minimum threshold of 50 percent for under-resourced communities in this program.
In addition to the composite score and percentile ranking, applicants can review the individual
domain scores or indicators themselves and explain how their project will improve one or more of
these public health challenges. The numeric value and percentile ranking for these component
indicators can be found either by using the live map or by accessing the data directly. See the
following table for HPI examples.
These HPI tools can be accessed at:
Live Map: https://map.healthyplacesindex.org/
HPI Learning Center: https://www.healthyplacesindex.org/learning-center
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subdivision (h)(4)(A))23 as well as the nature of their environmental burdens, health risks, and needs.
It also provides guidance for community engagement when addressing Environmental Justice
disadvantaged communities; and goals, policies, and programs that address the unique and
compounded health risks in disadvantaged communities and prioritize improvements and
programs that meet the needs of disadvantaged communities.
https://opr.ca.gov/docs/20200706-GPG_Chapter_4_EJ.pdf
Displacement/Gentrification
Transportation improvements, especially new rail lines and stations to low-income communities,
can increase access to opportunities. But they can also result in much higher property values and
an increase in the cost of owning and renting property, inadvertently displacing existing residents
and businesses. Being forced to leave a home is a stressful, costly and traumatic life event,
especially when affordable housing is so limited. There is a growing recognition of tools and
strategies that can be implemented alongside community investments to reduce displacement.
Grant applicants are encouraged to reference the 2024 RTP Guidelines, Appendices E and G, for
best practices in addressing displacement of low income and under-resourced communities.
Transformative Climate Communities Program
The State’s Transformative Climate Communities Program provides a framework for applicants to
avoid displacement and may assist Sustainable Communities grant applicants in addressing
displacement.
https://sgc.ca.gov/meetings/council/2022/docs/20220428-
Item5a_TCC_Guidelines_Round%204_Technical%20Amendment_Clean.pdf
Implementing Senate Bill 350 (De Leon, Chapter 547, Statues of 2015) and
Community Needs Assessments
Caltrans supports implementation of SB 350, the Clean Energy and Pollution Reduction Act of 2015,
which establishes the State priority to reduce GHG emissions through the promotion of various
clean energy policies, including widespread transportation electrification, for the benefit of all
Californians. Transforming the State’s transportation sector to support widespread electrification
requires increasing access for all Californians, including low-income residents and those living in
under-resourced communities, across a broad spectrum of clean transportation and mobility
options to address community specific transportation needs. Caltrans is leading efforts to identify
low-income residents and under-resourced communities’ transportation and mobility needs
through ongoing and potential future statewide planning processes.
In support of this State goal, Sustainable Communities applicants are encouraged to conduct local
Community Needs Assessments of low-income resident and under-resourced communities’
transportation and mobility needs to ensure feedback is incorporated in transportation planning.
Community Needs Assessments include an evaluation of the following categories of transportation
barriers and opportunities at the community level: (1) Access and Reliability; (2) Convenience; (3)
Safety; (4) Demographic Characteristics and Community Setting; and, (5) Planning, Infrastructure
and Investments.
23
https://leginfo.legislature.ca.gov/faces/codes_displayText.xhtml?lawCode=GOV&division=1.&title=
7.&part=&chapter=3.&article=5.
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SB 350: https://leginfo.legislature.ca.gov/faces/billNavClient.xhtml?bill_id=201520160SB350
Final Guidance Document, Low-Income Barriers Study, Part B: Overcoming Barriers
to Clean Transportation Access for Low-Income Residents
In February 2018, the California Air Resources Board released the Final Guidance Document, Low-
Income Barriers Study, Part B: Overcoming Barriers to Clean Transportation Access for Low-Income
Residents. This Guidance Document provides background for SB 350 and may assist Sustainable
Communities applicants with developing Community Needs Assessments as a standalone project
or as part of a proposed project.
https://ww2.arb.ca.gov/resources/documents/carb-barriers-report-final-guidance-document
Public Health Resources
The following tools can be used to further describe the community’s climate change and health
vulnerability, and other needs, including helping to create qualitative descriptions of existing
community health risks and vulnerabilities and how the proposal will address them.
Community Health Needs Assessments
Community Health Needs Assessments (CHNA) and implementation strategies are regularly
conducted by county public health departments and are newly required of tax-exempt hospitals
as a result of the Patient Protection and Affordable Care Act. These assessments and strategies
create an important opportunity to improve the health of communities. They ensure that hospitals
have the information they need to provide community benefits that meet the needs of their
communities. They also provide an opportunity to improve coordination of hospital community
benefits with other efforts to improve community health. By federal statute, the CHNAs must take
into account input from “persons who represent the broad interests of the community served by
the hospital facility, including those with special knowledge of or expertise in public health.” To
avoid duplicative efforts, grant applicants are encouraged to contact and coordinate with local
health departments/non-profit hospitals to take advantage of information that may have been
collected as part of CHNA efforts, such as low-income resident and under-resourced communities’
transportation and mobility needs. It is important for grant applicants to connect with these public
health entities for both partnership building on transportation needs for under-resourced
communities, but also to not over-burden those communities with multiple assessments or efforts
asking similar questions.
CDPH Climate Change and Health Vulnerability Indicators (CCHVIs)
CDPH developed the Climate Change and Health Vulnerability indicators, narratives, and data to
provide local health departments and partners the tools to better understand the people and
places in their jurisdictions that are more susceptible to adverse health impacts associated with
climate change, specifically extreme heat, wildfire, sea level rise, drought, and poor air quality.
The assessment data can be used to screen and prioritize where to focus deeper analysis and plan
for public health actions to increase resilience.
The CCHVIs can be viewed on “CCHVIz”, CDPH’s interactive data visualization platform:
https://discovery.cdph.ca.gov/ohe/CCHVIz/. The CCHVIs have also been incorporated into the
HPI as decision support layers, to better integrate addressing health outcomes associated with
climate change and various social determinants of health. See above for more information on the
HPI.
https://www.cdph.ca.gov/Programs/OHE/Pages/CC-Health-Vulnerability-Indicators.aspx
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CDPH Climate Change and Health Profile Reports (CHPRs)
The CDPH CHPRs are designed to help counties in California prepare for the health impacts related
to climate change through adaptation planning. The reports present projections for county and
regional climate impacts, the climate-related health risks, and local populations that could be
vulnerable to climate effects. The information is based on available science compiled from
previously published, State-sponsored research and plans.
https://www.cdph.ca.gov/Programs/OHE/Pages/ClimateHealthProfileReports.aspx
CDPH Healthy Communities Data and Indicators Project (HCI)
The goal of the HCI is to enhance public health by providing a standardized set of statistical
measures, data, and tools that a broad array of sectors can use for planning healthy communities
and evaluating the impact of plans, projects, policy, and environmental changes on community
health. The Healthy Community Framework identifies 20 key attributes (i.e., “aspirational goals”,
such as “Safe, sustainable, and affordable transportation options” or “Access to affordable and
safe opportunities for physical activity”) of a healthy community through all stages of life, clustered
in five broad categories (i.e., “domains”, such as “Meets the Basic Needs of All” or “Quality and
Sustainability of Environment”). HCI data indicators, narratives, and visualizations are found here.
https://www.cdph.ca.gov/Programs/OHE/Pages/HCI-Search.aspx
Integrated Transport and Health Impact Model (ITHIM)
The California version of ITHIM is a planning tool that answers the question of "How much benefit or
harm to human health can we expect by changing the mix of active and motorized travel across
a county, region, or the entire State of California?" ITHIM contrasts one travel pattern that serves as
a reference with an alternative that has a different profile of fine particulate air pollution from
vehicle exhaust, physical activity from walking and cycling, and injuries from traffic collisions. ITHIM
calculates the change in deaths, years of life shortening and disability, and costs due to these
changes in air pollution, physical activity, and traffic injuries. Grant applicants are encouraged to
reference and utilize ITHIM to assess the health impacts their projects and programs.
https://skylab.cdph.ca.gov/HealthyMobilityOptionTool-ITHIM/
Health In All Policies (HiAP) Approach
The HiAP initiative is a collaborative approach designed to improve the health of Californians by
incorporating health, equity, and sustainability considerations into policymaking across sectors. The
approach recognizes that chronic illness, climate change, health inequities, and increasing health
care costs are interrelated and influenced by policies, programs, and investments across sectors.
The initiative provides access to tools, resources and journal articles highlighting Health in All Policies
approaches, techniques, and concepts from California and beyond.
https://www.cdph.ca.gov/Programs/OHE/Pages/HIAP.aspx
Active Community Engagement
Sustainable Communities Competitive Grant applications must include an explanation of how
local residents and community-based organizations will be meaningfully engaged in developing
the final product, especially those from under-resourced and low-income communities, and how
the final product will address community-identified needs. Applicants are encouraged to
implement, as applicable and appropriate the tips, best practices, and tools listed below:
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Community Engagement Best Practices
·Refer to the following case studies that meaningfully demonstrate the expectations of
equitable community engagement:
o The community driven Carsharing and Mobility Hubs in Affordable Housing Pilots24 offer a
strong example of equitable community engagement. The equity-based project
incorporated community input from start to finish through community partnership
building.
o The Mobility Equity Framework25 should be used to assess and compare multimodal
transportation options and centers community needs and shifts decision making power
to the public. For successful implementation examples, refer to: (1) California Air
Resources Board (CARB) Clean Mobility Options Program26, (2) City of Portland, Oregon,
Pricing Options for Equitable Mobility Project27, and North Carolina’s Transit Equity
Campaign28.
·Refer to Greenlining Institute’s Six Standards for Equitable Investment29 to implement
qualitative measures of equity. These standards feature a list of approaches, ranging from
the minimum to transformative approach, depending on how much time, resources, and
effort are generally required because equity approaches differ in each community context
and conditions.
·Refer to Greenlining Institute’s Making Equity Real in Mobility30, a toolkit of clear strategies and
best practices to put equity in action
·Clarify the type of engagement will be utilized, as seen in the Public Participation Spectrum31.
Agencies and communities need to understand where engagement level falls from the
“inform” to “empower” model.
·Utilize a Participatory Budgeting (PB) planning process, as appropriate. PB is a democratic
approach to public spending that meaningfully and deeply engages people in government
and the community. During PB, community members democratically decide how to spend
part of a public budget, enabling them to make the fiscal decisions that affect their lives and
the health of their communities.
·Seek existing community-based organizations or agencies that organize vulnerable
populations, to be able to reach out and form collaborative relationships.
24 Carsharing and Mobility Hubs in Affordable Housing Pilots:
https://greenlining.org/publications/reports/2021/clean-mobility-transportation-equity-report/
25 Mobility Equity Framework: https://greenlining.org/publications/2018/mobility-equity-framework/
26 CARB Clean Mobility Options Program: https://cleanmobilityoptions.org/about/
27 Portland, Oregon, Pricing Options for Equitable Mobility Project:
https://www.portland.gov/transportation/planning/pricing-options-equitable-mobility-poem
28 North Carolina Transit Equity Campaign: https://bikedurham.org/transit
29 Greenlining Institute’s Six Standards for Equitable Investment: https://greenlining.org/wp-
content/uploads/2021/03/Clean-Mobility-Equity-A-Playbook-Greenlining-Report-2021.pdf
30 Greenlining Institute’s Making Equity Real in Mobility: https://greenlining.org/wp-
content/uploads/2019/08/Toolkit_Making-Equity-Real-in-Mobility-Pilot-Projects_Final-1.pdf
31 Public Participation Spectrum:
https://sustainingcommunity.wordpress.com/2017/02/14/spectrum-of-public-participation/
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· Involve local health departments which can assist in reaching
community-based organizations and under-resourced and vulnerable community members.
·Collaborate with under-resourced, vulnerable, and tribal communities to design and
implement programs, plans and policies. Robust engagement of under-resourced and
vulnerable communities in significant agency decisions brings about better decisions through
increased input from different perspectives, increases buy-in and acceptance of decisions
and support for their implementation.
·Make opportunities for input accessible in terms of formats (pop-up workshops, temporary
built-environment demonstrations, online, in public meetings, one on one, by mail, etc.),
venues (at school and community events, community centers, libraries, transit hubs, etc.),
hours (evening or weekend), and language (accessible to lay people and translated into the
principal languages of the relevant communities, including accessible media such as caption
videos).
·Develop a written collaboration agreement or memorandum of understanding that defines
respective roles, expectations, desired outcomes, and agreements for how to work together.
·Establish an advisory group of representatives of vulnerable communities, including
community leaders and give them worthwhile roles to design the public engagement
process, so that community capacity is built during the collaboration process.
·Conduct targeted outreach to community groups representing special needs populations,
under-resourced communities, and a variety of socio-economic groups through various
methods.
·Use a variety of outreach methods to optimize participation, such as creating and marketing
user-friendly survey websites for public feedback, conducting surveys in multiple languages to
collect input on local citizens’ priorities, and carrying out meetings at accessible times and
meeting locations (e.g., using community group buildings, hosting pop-up workshops at
public venues, etc.).
·Have material available in multiple languages when requested. Have translator available
during workshops, public meetings, and events.
Note: The applicant should increase efforts beyond basic public noticing and public hearings.
Options for demonstrating additional public outreach could include, but not limited to all the
above.
Additional Public Engagement Best Practices and Strategies
Applicants will need to consider how to conduct public outreach and engagement that allows for
both in-person and virtual options. Below are some resources to help applicants evaluate and
develop the best strategy for public engagement.
· Caltrans Planning Horizons, “Digital Public Engagement and Transportation: Getting It Right –
Theory, Techniques and Best Practices.”: Digital engagement can greatly increase the reach
of public education and involvement; many public agencies have been surprised by the
positive results and substantial increase in participants.
https://youtu.be/85t9ibR2U7Q
· The Great Pivot - Public Engagement in the Wake of COVID-19: Celia McAdam and Natalie
Porter of AIM Consulting hosted a WTS seminar where they provided examples and strategies
for public outreach, including diverse and under-resourced communities, during the COVID-
19 pandemic.
https://youtu.be/k2dPVqhIwvc
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· Digital Environmental Engagement Resource Catalogue: The California Natural Resources
Agency and the California Environmental Protection Agency developed a resource
catalogue of online sessions on community engagement and equity. This resource catalogue
comes from the “Online Environmental Engagement: Building Our Skills Together” conference.
From June 2nd to 4th 2020, forty-nine panelists and approximately 1,500 registrants from
California and across the nation gathered together online to discuss their successes,
challenges and practical tips for online environmental engagement.
https://resources.ca.gov/Outreach/Digital-Environmental-Engagement-Resource-Catalogue
· Tips ad Tools to Engage Your Community in a Digital Environment: Ensuring inclusive public
participation is more challenging than ever because of physical distancing requirements, the
digital divide, language access challenges and technology learning curves. With those
challenges in mind, ILG offered a helpful webinar in July 2020, that featured innovative
strategies for using high-tech and low-tech virtual platforms to engage residents on a variety
of topics without meeting face-to face.
https://www.ca-ilg.org/digitalengagement
· Broadening Participation Using Online Engagement Tools: This document provides examples
and guidance to local governments interested in enhancing public participation outcomes
with online engagement tools.
https://www.ca-ilg.org/sites/main/files/file-
attachments/broadening_participation_via_online_tools_final_draft_1.pdf
· The Guide to Remote Community Engagement: A collection of resources designed to support
cities that wish to create and maintain strong, institutionalized practices of community
engagement during periods of remote working and in an increasingly digital world. Refer to
the article, 5 Methods for Non-Internet Based Remote Community Engagement, for ideas on
how to supplement traditional online public engagement efforts to be inclusive of residents
lacking high-speed broadband internet access.
https://medium.com/the-guide-to-remote-community-engagement
· Virtual Public Involvement: The U.S. Department of Transportation, Federal Highway
Administration, developed this innovation spotlight to provide an overview of virtual public
involvement tools that enhance and broaden the reach of public engagement efforts by
making participation more convenient, affordable, and enjoyable for greater numbers of
people.
https://www.fhwa.dot.gov/planning/public_involvement/vpi/
· Designing Parks Using Community-Based Planning: This document inspires meaningful
community engagement for future public projects. It shares methods learned through
California's Statewide Park Development and Community Revitalization Program. These
methods have been proven effective in urban, rural, and suburban settings.
https://www.parksforcalifornia.org/planning_guide
Integrated Housing, Land Use, and Transportation Planning
Development patterns directly impact GHG emissions, including those from transportation between
jobs, services, and housing. Improved coordination between housing and transportation can
reduce commute times, increase transit ridership, lower vehicle miles traveled, lower pollution and
GHG, provide greater economic opportunity, and other positive outcomes.
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Housing Element Compliance
To support planning for housing California’s growing population, the Department of Housing and
Community Development (HCD) reviews each local government’s housing element of its general
plan.
·The housing element must plan to meet the local government’s existing and regional housing
needs allocation and quantify and analyze the specific needs and resources available to
address the housing needs.
·A housing element can also provide a mechanism to adopt efficient land-use strategies,
including those that address climate change and reduce vehicle miles traveled. For
example, strategies could include the promotion of affordable higher density, infill
development, mixed-use development, or transit-oriented development near transit stations
or transit corridors.
·Local governments are required to annually submit progress reports on the implementation of
the housing element and provide a detail of production toward their projected housing
needs.
For more information on:
·Housing element requirements, see the HCD Building Blocks website at
https://www.hcd.ca.gov/planning-and-community-development/housing-elements/building-
blocks
·Adopted housing element requirements, see the “Housing Element Process” section at
https://www.hcd.ca.gov/planning-and-community-development/housing-elements
·A local government’s housing element compliance, see
https://www.hcd.ca.gov/planning-and-community-development/housing-open-data-
tools/housing-element-review-and-compliance-report
·Annual Progress Reports, see
https://www.hcd.ca.gov/planning-and-community-development/annual-progress-reports
Prohousing Designation Program
The State 2019-20 Budget Act, Assembly Bill 101 enacted the Prohousing Designation Program
(Program), which enables HCD to designate local jurisdictions as Prohousing when they
demonstrate policies and planning that accelerate the production of housing. To receive the
Prohousing Designation, local jurisdictions must meet basic threshold requirements related to
compliance with the Housing Element Law and other State housing laws and demonstrate actions
worth at least 30 points spread across each of four categories of Prohousing policies: favorable
zoning and land use, acceleration of housing production timeframes, reduction of construction
and development costs, and providing financial subsidies. The benefit to local jurisdictions
receiving the Prohousing Designation includes being given an advantage such as priority
processing or additional points when applying for several competitive funding programs, including:
·Affordable Housing and Sustainable Communities
·Infill Infrastructure Grant
·Transformative Climate Communities
·Transit and Intercity Rail Capital Program
VMT reducing policies and the Prohousing Enhancement Factors below help indicate that a
project is within a jurisdiction supporting integrated housing, land use, and transportation planning.
These policies show that a jurisdictions further supports State housing priorities in promoting
affordable housing, reducing development barriers, and reducing vehicle miles travelled.
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Prohousing Enhancement Factors include policies that:
·Represent one element of a unified, multi-faceted strategy to promote multiple planning
objectives, such as efficient land use, access to public transportation, affordable housing,
climate change solutions, and/or hazard mitigation.
·Promote development consistent with the State planning priorities pursuant to Government
Code section 65041.1.
·Go beyond State law requirements in reducing displacement of lower income households
and conserving existing housing stock that is affordable to lower income households.
·Rezoning and other policies that support high-density development in Location Efficient
Communities.
VMT reducing policies may include projects located in jurisdictions that are/have:
·Permitting missing middle housing uses (e.g., triplexes and fourplexes) by right in existing low-
density, single-family residential zones.
·With density bonus programs which exceed statutory requirements by 10 percent or more.
·Increasing allowable density in low-density, single-family residential areas beyond the
requirements of State Accessory Dwelling Unit law (e.g., permitting more than one ADU or
JADU per single-family lot). These policies shall be separate from any qualifying policies under
category (ii) above.
·Reducing or eliminating parking requirements for residential development as authorized by
Government Code sections 65852.2; adopting vehicular parking ratios that are less than the
relevant ratio thresholds at subparagraphs (A), (B), and (C) of Government Code section
65915, subdivision (p)(1); or adopting maximum parking requirements at or less than ratios
pursuant to Government Code section 65915, subdivision (p).
·Zoning to allow for residential or mixed uses in one or more non-residential zones (e.g.,
commercial, light industrial). Qualifying non-residential zones do not include open space or
substantially similar zones.
·Modifying development standards and other applicable zoning provisions to promote
greater development intensity. Potential areas of focus include floor area ratio; height limits;
minimum lot or unit sizes; setbacks; and allowable dwelling units per acre. These policies must
be separate from any qualifying policies under Category (ii) above.
·Adopted a Nondiscretionary Local Approval Process for residential and mixed-use
development in all zones permitting multifamily housing, established a Workforce Housing
Opportunity Zone, as defined in Government Code section 65620, or a housing sustainability
district, as defined in Government Code section 66200.
·Zoning more sites for residential development or zoning sites at higher densities than is
required to accommodate 150 percent of the minimum regional housing need allocation for
the Lower-Income allocation in the current housing element cycle.
·Priority permit processing or reduced plan check times for Accessory Dwelling Units
(ADUs)/Junior Accessory Dwelling Units (JADUs), multifamily housing, or homes affordable to
Lower- or Moderate-Income households.
·Adopted ordinances or implemented other mechanisms that result in less restrictive
requirements than Government Code sections 65852.2 and 65852.22 to reduce barriers for
property owners to create ADUs/JADUs. Examples of qualifying policies include, but are not
limited to, development standards improvements, permit processing improvements,
dedicated ADU/JADU staff, technical assistance programs, and pre-approved ADU/JADU
design packages.
·Measures that reduce costs for transportation-related infrastructure or programs that
encourage active modes of transportation or other alternatives to automobiles. Qualifying
policies include, but are not limited to, publicly funded programs to expand sidewalks or
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protect bike/micro-mobility lanes; creation of on-street parking for bikes; transit-related
improvements; or establishment of carshare programs.
·Established pre-approved or prototype plans for missing middle housing types (e.g., triplexes
and fourplexes) in low-density, single-family residential areas.
·Documented practice of streamlining housing development at the project level, such as by
enabling a by-right approval process or by utilizing statutory and categorical exemptions as
authorized by applicable law (Pub. Resources Code, sections 21155.1, 21155.4, 21159.24,
21159.25; Gov. Code, section 65457; Cal Code Regs., tit. 14, sections 15303, 15332; Pub.
Resources Code, sections 21094.5, 21099, 21155.2, 21159.28).
·Policies that represent one element of a unified, multi-faceted strategy to promote multiple
planning objectives, such as efficient land use, access to public transportation, affordable
housing, climate change solutions, and/or hazard mitigation.
·Policies that promote development consistent with the State planning priorities pursuant to
Government Code section 65041.1.
·Rezoning and other policies that support high-density development in Location Efficient
Communities.
For more information on the Prohousing Designation Program, email HCD at
ProhousingPolicies@hcd.ca.gov or visit the following HCD websites:
Program Website
https://www.hcd.ca.gov/planning-and-community-development/prohousing-designation-
program
Prohousing Designation Application Status List
https://www.hcd.ca.gov/sites/default/files/docs/planning-and-community/Prohousing-Public-
Application-Tracker.xlsx
Prohousing Designation Program FAQs
hcd.ca.gov/community-development/prohousing/docs/ProhousingFAQ.pdf
Promote the Region’s RTP SCS/APS, State Planning Priorities, and Climate
Adaptation Goals
SB 1 - The Road Repair and Accountability Act of 2017 (Beall, Chapter 5, Statutes
of 2017)
The intent of additional Sustainable Communities grant funding, pursuant to SB 1 - The Road Repair
and Accountability Act of 2017, is to encourage local and regional planning that furthers State
goals, including but not limited to, the goals and best practices cited in the RTP Guidelines.
Competitive applications will incorporate these cutting-edge planning practices into their
proposed planning projects.
SB 1: https://leginfo.legislature.ca.gov/faces/billNavClient.xhtml?bill_id=201720180SB1
2024 RTP Guidelines (Appendix E, Page 228; Appendix G, Page 260)
The California Transportation Commission adopted the 2024 RTP Guidelines for RTPAs and 2024 RTP
Guidelines for MPOs which includes Appendix E – Promoting Health and Health Equity in MPO RTPs
and Appendix G – Planning Practice Examples. These appendices highlight planning practices
that are undertaken by large, medium, and small MPOs in both rural and urban areas throughout
the state.
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https://catc.ca.gov/-/media/ctc-media/documents/programs/transportation-planning/adopted-
2024-rtp-guidelines-for-mpos.pdf
SB 375 (Steinberg, Chapter 728, Statutes of 2008)
Caltrans supports SB 375 RTP SCS/APS efforts. Successful applications must be compatible with an
existing adopted SCS/APS, where applicable, that meets the region’s GHG targets, and must
strongly support and aim to implement regional SCS/APS efforts. The SCS/APS planning process is
intended to help communities reduce transportation related GHG emissions, coordinate land use
and transportation planning, and assist local and regional governments in creating sustainable
communities for residents throughout the state.
Although most rural areas of the state are not subject to SB 375 SCS/APS requirements, Caltrans still
promotes the development of sustainable communities in these areas of the state and efforts to
match GHG reduction targets and other goals embodied in SCS/APSs under SB 375. Eligible rural
agencies are strongly encouraged to apply for Sustainable Communities Competitive Grants.
Information on SB 375-related planning efforts:
https://ww2.arb.ca.gov/our-work/topics/sustainable-communities
SB 375: https://leginfo.legislature.ca.gov/faces/billNavClient.xhtml?bill_id=200720080SB375
Complete Streets and Smart Mobility Framework
In recognition that walking, biking, transit, and passenger rail are integral to our vision of delivering
a brighter future for all through a world-class transportation network, Caltrans also supports
Complete Streets and the Smart Mobility Framework (SMF). In locations with current and/or future
pedestrian, bicycle, or transit needs, Caltrans encourages applicants to consider the tools and
techniques contained in the SMF as well as typical components of Complete Streets. Specifically,
this might include how the project addresses components of community design, regional
accessibility, place types, and priority activities to achieve smart mobility outcomes, community
transition, and associated multimodal performance measures for the appropriate context of the
problem. Information on these efforts can be found at:
Complete Streets
https://dot.ca.gov/programs/transportation-planning/division-of-transportation-
planning/complete-streets
Smart Mobility Framework
https://dot.ca.gov/programs/transportation-planning/division-of-transportation-planning/active-
transportation-and-complete-streets/smart-mobility-framework
Climate Ready Transportation and Climate Adaptation Planning
Through the Grant Program, Caltrans supports the State’s broader efforts to help ensure our
transportation infrastructure is climate-ready. In order to prioritize these investments, Governor
Gavin Newsom signed Executive Order (EO) N-19-19 on September 20, 2019, to redouble the
State’s “efforts to reduce GHG emissions and mitigate the impacts of climate change while
building a sustainable, inclusive economy.” The EO lists California’s ambitious and essential climate
goals to transition to a healthier, more sustainable, and more inclusive economy, including:
·Reducing GHG emissions 40 percent below 1990 levels by 2030
·Providing 100 percent of the State’s electricity from clean energy sources by 2045
·Reducing methane emissions and hydrofluorocarbon gases by 40 percent
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· Adding five million zero-emission vehicles to the State’s roads by 2030
To help achieve these goals, the EO directs the California State Transportation Agency to leverage
over $5 billion in annual state transportation spending toward transportation construction,
operations, and maintenance to lower fuel consumption and GHG emissions from transportation.
This includes strategies for lowering vehicle miles traveled, such as supporting housing development
near available jobs, and supporting active modes of transportation such as biking and walking that
also benefit public health. The EO specifically requires that the State Transportation Agency also
work to mitigate increased transportation costs for low-income communities.
https://www.gov.ca.gov/wp-content/uploads/2019/09/9.20.19-Climate-EO-N-19-19.pdf
Integrated Climate Adaptation and Resiliency Program
Senate Bill 246 (Wieckowski, Chapter 606, Statutes of 2015) established the Integrated Climate
Adaptation and Resiliency Program (ICARP) within the Governor’s Office of Planning and Research
to coordinate regional and local efforts with State climate adaptation strategies (Public Resources
Code Section 71354). Grant applicants may refer to the ICARP website to explore the State
Adaptation Clearinghouse, a centralized source of information and resources to assist decision
makers at the state, regional, and local levels when planning for and implementing climate
adaptation projects to promote resiliency across California. Caltrans is coordinating with ICARP
staff on the OPR Climate Adaptation Planning Grant Program.
ICARP Website: https://opr.ca.gov/climate/icarp/
SB 246: https://leginfo.legislature.ca.gov/faces/billNavClient.xhtml?bill_id=201520160SB246
Adaptation Planning Grants: https://www.opr.ca.gov/climate/icarp/grants/adaptation-planning-
grant.html
California Adaptation Clearinghouse
The Adaptation Clearinghouse serves as a centralized source of information that provides the
resources necessary to guide decision makers at the state, regional, and local levels when
planning for and implementing climate adaptation projects to promote resiliency to climate
change in California.
https://resilientca.org/
ResilientCA Adaptation Planning Map (RAP-Map)
ICARP – supported through the Governor’s Office of Planning & Research – contains a statewide
inventory of local government adaptation and resiliency planning efforts. It is an open data tool, to
inventory local government climate risk, adaptation, and resiliency planning efforts across the state
and track progress towards statewide adaptation planning goals.
https://resilientca.org/rap-map/
Community Climate Resiliency
Grant applicants are encouraged to consider if the surrounding community is experiencing any
specific climate vulnerabilities and how the proposed planning project aims to address specific
concerns. Grant applicants should also describe how potential climate impacts are taken into
consideration in the proposed planning project, such as the incorporation of natural infrastructure,
and, if applicable, how the project conforms with the local implementation of SB 379 (Jackson,
Statutes of 2015), Government Code Section 65302(g)(4), where cities and counties are required to
address climate adaptation and resiliency strategies in the safety element of their general plan.
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Defining Vulnerable Communities in an Adaptation Context, OPR Resource Guide
The Governor’s Office of Planning and Research, with input from the ICARP Technical Advisory
Council, developed a resource guide for practitioners to use when first considering how to define
vulnerable communities in an adaptation context. The document includes: (1) The ICARP
Technical Advisory Council’s definition of climate-vulnerable communities, (2) A summary of
existing statewide assessment tools that can be used to identify vulnerable communities in a
climate adaptation context, including a crosswalk with the indicators that are required elements of
an SB 1000 (Leyva, Statutes of 2016) analysis; (3) Additional indicators that could be used to assess
underlying vulnerability on a case-by-case basis; (4) A list of process guides that can serve to aid
agencies undertaking efforts to define vulnerable communities.
https://opr.ca.gov/climate/icarp/vulnerable-communities.html
State Guidance for Adaptation Planning
2017 General Plan Guidelines, Safety Element (Ch. 4)
The General Plan Guidelines set out each statutory requirement in detail, provides OPR
recommended policy language, and includes online links to city and county general plans that
have adopted similar policies. The guidelines include information on how to consider climate
change during general plan development/updates. In accordance with Senate Bill 379, general
plans must address climate adaptation and resilience within the Safety element. Local
governments are required to include a climate change vulnerability assessment, measures to
address vulnerabilities, and a comprehensive hazard mitigation and emergency response strategy.
https://opr.ca.gov/docs/OPR_COMPLETE_7.31.17.pdf
California Climate Adaptation Planning Guide – local/regional agency guidance
The Adaptation Planning Guide provides guidance to support regional and local communities in
proactively addressing the unavoidable consequences of climate change. It provides a step-by-
step process for local and regional climate vulnerability assessment and adaptation strategy
development.
https://resilientca.org/apg/
Planning and Investing for a Resilient California – State Agency guidance
Introduces a four-step process for building resilience and a set of resilient decision-making principles
for state agencies when considering climate-informed infrastructure investments. These steps
include identifying how climate change could affect a project or plan, conducting an analysis of
climate risks, making a climate-informed decision, and tracking and monitoring progress.
https://www.opr.ca.gov/docs/20180313-Building_a_Resilient_CA.pdf
Ocean Protection Council Sea-Level Rise Guidance
The State of California Sea-Level Rise Guidance reflects advances in sea-level rise science and
addresses the needs of state agencies and local governments as they incorporate sea-level rise
into their planning, permitting, and investment decisions.
http://www.opc.ca.gov/webmaster/ftp/pdf/agenda_items/20180314/Item3_Exhibit-
A_OPC_SLR_Guidance-rd3.pdf
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California Coastal Commission Sea Level Rise Policy Guidance
This guide provides an overview of the best available science on sea level rise for California and
recommended methodology for addressing sea level rise in Coastal Commission planning and
regulatory actions.
https://documents.coastal.ca.gov/assets/slr/guidance/2018/0_Full_2018AdoptedSLRGuidanceUpd
ate.pdf
Coastal Adaptation Planning Guidance for Critical Infrastructure
This guidance from the California Coastal Commission addresses two main types of infrastructure –
transportation and water – and presents six key considerations for successful adaptation planning.
These considerations are accompanied by recommendations for stakeholders on how to plan
effectively for the impacts of sea level rise on coastal infrastructure, a description of the regulatory
framework that applies to adaptation planning for infrastructure.
https://documents.coastal.ca.gov/assets/slr/SLR%20Guidance_Critical%20Infrastructure_12.6.2021.pdf
Coastal Adaptation Planning Guidance and Environmental Justice Considerations
The Environmental Justice Policy is the Coastal Commission’s framework for identifying and
analyzing project impacts on under-resourced and disadvantaged communities. The policy is
designed to achieve more meaningful engagement, equitable process, effective communication,
and stronger coastal protection benefits for all Californians.
https://documents.coastal.ca.gov/assets/env-justice/CCC_EJ_Policy_FINAL.pdf
Coastal Adaptation Planning Guidance and Tribal Consultation
The Coastal Commission adopted a Tribal Consultation Policy, which is intended to guide outreach
and collaboration. It also helps to inform permit applicants how the Commission will review coastal
development permit applications to ensure adequate tribal consultation occurs.
https://documents.coastal.ca.gov/assets/env-justice/tribal-
consultation/CCC%20Tribal%20Consultation%20Policy%20Adopted%208.8.2018.pdf
Climate Data Sources and Adaptation Plans
Cal-Adapt
Cal-Adapt is the repository for State-endorsed climate change projections, developed through the
State’s Climate Change Assessment efforts. Cal-Adapt offers free public access to peer-reviewed
data that show climate change impacts on state infrastructure, communities, and natural
resources. Find tools, data, and resources to conduct research, develop adaptation plans and
build applications.
https://cal-adapt.org/
Climate Action Plans
Many California cities and counties are developing Climate Action Plans to reduce their GHG
emissions. Agencies may have existing plans that include strategies or insight on potential
approaches to implementing climate change considerations on the transportation network. CARB
has created a webmap that can be used to identify plans created, GHG inventory information,
GHG reduction targets, local strategies planned to meet these targets, and more. The second
website provides a host of resources, including example Climate Action Plans and templates. This
information can also be found on the Adaptation Clearinghouse.
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https://webmaps.arb.ca.gov/capmap/
http://www.ca-ilg.org/climate-action-plans
Caltrans Vulnerability Assessments
To ensure the resiliency of the State Highway System, Caltrans conducted vulnerability assessments
statewide. These Summary Reports and associated Technical Reports describe climate change
effects in each of Caltrans’ 12 districts.
https://dot.ca.gov/programs/transportation-planning/division-of-transportation-planning/air-
quality-and-climate-change/2019-climate-change-vulnerability-assessments.
Local Vulnerability Assessments
If local vulnerability assessments have been developed along a corridor, their data may be
interwoven with Cal-Adapt data, Caltrans Climate Change Vulnerability Assessments, and/or other
vulnerability information for more granular analysis of specific local areas, particularly those in more
densely populated areas or with a high density of affected transportation assets. Many of these
assessments and case studies can be found on the ICARP Case Studies and Examples search page
(https://resilientca.org). Some transit and rail providers in California have also developed
vulnerability assessments for their 21 networks as well, which may contain detailed analysis that
could be useful.
Caltrans Climate Change Adaptation Strategy Report
Through this report, Caltrans is aiming to adopt a leadership role in the process of climate change
adaptation through developing a “how to” guide for integrating climate change adaptation into
agency activities and decision-making. This Adaptation Strategy Report initially outlines an overall
“pathway” for adopting recommendations on how Caltrans should mainstream adaptation
strategies throughout functional areas and develop an approach to coordinate with partner
agencies. Recognizing the important role of transit and active transportation facilities and routes,
this report will develop solutions for all modes of transportation. This report also has a section
focused on the incorporation of climate change considerations into System Planning documents.
https://transplanning.onramp.dot.ca.gov/downloads/transplanning/files/suscommplan/Climate%2
0Adaptation%20Report_May_2020.pdf
Other Relevant Datasets for Climate Planning
Protecting Californians from Extreme Heat: A State Action Plan to Build Community Resilience
A plan that outlines a strategic and comprehensive set of state actions to address extreme heat.
https://resources.ca.gov/-/media/CNRA-Website/Files/Initiatives/Climate-Resilience/2022-Final-
Extreme-Heat-Action-Plan.pdf
California Water Action Plan
A roadmap for the first five years of the State’s journey toward sustainable water management.
http://resources.ca.gov/docs/california_water_action_plan/Final_California_Water_Action_Plan.pdf
CALFIRE Fire Hazard Severity Zones
CALFIRE has mapped areas of significant fire hazards based on fuels, terrain, weather, and other
factors, forming wildfire severity zones. There are three levels of hazard in the State Responsibility
Areas: moderate, high, and very high. This analysis can provide further understanding of wildfire risk
at the potential project location.
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https://osfm.fire.ca.gov/what-we-do/community-wildfire-preparedness-and-mitigation/fire-hazard-
severity-zones
California Department of Conservation – Landslide Hazards
The California Landslide Inventory is an ongoing project to make the California Geological Survey
landslide information publicly accessible.
http://www.conservation.ca.gov/cgs/geologic_hazards/landslides
State Wildlife Action Plan
The State Wildlife Action Plan includes conservation actions that respond to current and future
challenges with objectives and goals that are specific, measurable, and time bound.
https://www.wildlife.ca.gov/SWAP/Final
CDFW Regional Conservation Investment Strategies
This program encourages a voluntary, non-regulatory regional planning process intended to result
in higher-quality conservation outcomes and includes an advance mitigation tool. The Program
uses a science-based approach to identify conservation and enhancement opportunities that, if
implemented, will help California's declining and vulnerable species by protecting, creating,
restoring, and reconnecting habitat and may contribute to species recovery and adaptation to
climate change and resiliency.
https://www.wildlife.ca.gov/conservation/planning/regional-conservation
CDFW Natural Communities Conservation Plans
A Natural Communities Conservation Plan identifies and provides for the regional protection of
plants, animals, and their habitats, while allowing compatible and appropriate economic activity.
https://www.wildlife.ca.gov/conservation/planning/nccp
California Sustainable Freight Action Plan
In July 2015, Governor Edmund G. Brown Jr. issued Executive Order B-32-15, which provides a vision
for California’s transition to a more efficient transport system. This transition of California’s freight
transport system is essential to supporting the State’s economic development in coming decades
while reducing harmful pollution affecting many California communities. As a key first step, the
Governor’s Executive Order directs the California State Transportation Agency, California
Environmental Protection Agency, Natural Resources Agency, California Air Resources Board,
California Department of Transportation, California Energy Commission, and Governor’s Office of
Business and Economic Development to develop a California Sustainable Freight Action Plan
(Action Plan), by July 2016. This Action Plan is an unprecedented effort, intended to integrate
investments, policies, and programs across several state agencies to help realize a singular vision
for California’s freight transport system. The Action Plan provides a recommendation on a high-
level vision and broad direction to the Governor to consider for state agencies to utilize when
developing specific investments, policies, and programs related to the freight transport system that
serves our state transportation, environmental, and economic interests. Competitive grant
applications will highlight how their planning effort will support this Action Plan.
https://dot.ca.gov/programs/transportation-planning/division-of-transportation-planning/strategic-
freight-planning
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APPENDIX B. SAMPLE APPLICATION PACKAGE
The Grant Application Guide and all fillable application documents can be found on the
Sustainable Transportation Planning Grant website.
·Application Checklist, Cover Sheet, and Signature Page
·Application Narratives for Sustainable Communities, Climate Adaptation Planning, and
Strategic Partnerships
·Scope of Work and Checklist
·Cost and Schedule and Checklist
·Third-Party In-Kind Valuation Plan and Checklist
·Local Resolution and Checklist
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APPENDIX C. CALTRANS/REGIONAL AGENCY
BOUNDARIES MAP
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APPENDIX D. CALTRANS DISTRICT CONTACT LIST
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