Agenda packet, regular meeting — San Mateo City Council, February 3, 2025 (part 1 of 2)

CITY OF SAN MATEO
City Council Regular Meeting
February 3, 2025
7:00 PM
City Hall Council Chamber
Entrance is on O’Farrell Street

COUNCIL MEMBERS
Robert Newsom Jr.

Adam Loraine
Nicole Fernandez
Danielle Cwirko-Godycki
Lisa Diaz Nash

AGENDA
THIS MEETING CAN BE ATTENDED IN PERSON OR REMOTE BY JOINING ZOOM – SEE CODES BELOW.

PUBLIC COMMENTS WILL BE ACCEPTED BOTH IN PERSON AND REMOTELY .

SEE END OF AGENDA FOR OPTIONS AND INSTRUCTIONS ON HOW TO PARTICIPATE IN THE MEETING.

To join via Zoom – click here:

February 3, 2025
To join via telephone: (408) 638-0968
Webinar ID: 882 2020 5790 Passcode: 203987
The City Council meeting will conclude by 11:00 p.m. unless otherwise extended by council vote.

Any unheard items will automatically move forward to the next regular meeting.

CALL TO ORDER
Pledge of Allegiance
Roll Call
AB 2449 Requests and Considerations for Meeting Participation by Teleconference due to Just Cause or Emergency Circumstances

CEREMONIAL

1. CSM Football Team – Recognition

2. Chris Eckert – Proclamation

CONSENT CALENDAR
All matters listed under the Consent Calendar are considered by the Council to be routine and will be enacted by one motion without discussion. If discussion is desired, that item may be removed and considered separately.

3. City Council Meeting Minutes - Approval
Approve the special and regular minutes of the City Council meeting of January 13, 2025.

CEQA: This minutes approval is not a project subject to CEQA, because it is an organizational or administrative activity that will not result in direct or indirect physical changes in the environment. (CEQA Guidelines Section 15378(b)(5).))

4. Caltrans Sustainable Transportation Planning Grant — Agreement Adopt a Resolution to accept grant funds in the amount of $360,500 from the California Department of Transportation (Caltrans) for the development of a Climate Adaptation Plan for Sea Level Rise and to appropriate

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the grant funds to the Climate Adaptation Plan Project; approve the Restricted Grant Agreement; and authorize the City Manager to execute the Restricted Grant Agreement in substantially the form presented.

CEQA: Adoption of a Resolution to accept grant funds, approval of grant agreement, and the appropriation of grant funds is not a project subject to CEQA, because it is a fiscal activity which does not involve any commitment to any specific project which may result in a potentially significant physical impact on the environment. (CEQA Guidelines Section 15378(b)(4).)

5. Sandbag Station — Agreement
Ratify an inter-agency agreement with the San Mateo Foster City School District allowing the City to deploy a sandbag station in the parking lot of the Turnbull Child Development Center in the North Central neighborhood.

CEQA: Approval of this interagency agreement is exempt from CEQA review under the “common sense” exemption; in that it can be seen with certainty that there is no possibility that the establishment of a temporary sandbag station at the Turnbull Child Development Center parking lot may have a significant effect on the environment. (CEQA Guidelines Section 15061(b)(3).)

6. PW Facilities On-Call General Contracting Services
Approve Contract Change Order No. 1 to the construction contract with Y3C, Inc. in the amount of $160,000 to provide on-call contracting services to Public Works Facilities through Fiscal Year 2024-25, increasing the total contract amount to $250,000; and authorize the Public Works Director to execute the change order in substantially the form presented.

CEQA: Approval of a change order with Y3C, Inc. for on-call general contracting services is categorically exempt from CEQA as an “existing facility,” because it consists of the operation, repair, maintenance, permitting, leasing, licensing, or minor alteration of existing public or private structures, facilities, mechanical equipment, or topographical features, involving negligible or no expansion of existing or former use. (CEQA Guidelines Section 15301.)

7. Poplar Creek Tenant Improvements – Budget Appropriation, Contract Change Order, and Rent Waiver Agreement Adopt a Resolution to authorize a total budget appropriation of $1,650,000 from the unassigned fund balance of the General Fund, with $1,530,000 appropriated to the Poplar Creek Tenant Improvements project in the Capital Project Fund and $120,000 appropriated to the Parks and Recreation operating budget within the Golf Fund; approve Change Order No. 1 to the agreement with Jon K Takata Corporation dba Restoration Management Company to provide contract services for the Project in the amount of $1,072,649.41 for a new contract total of $1,152,256.31; establish a construction contract contingency of $115,300; authorize the Public Works Director to issue change orders within the contingency and execute Change Order No. 1 in substantially the form presented; approve a Rent Waiver Agreement with PAR3SM, LLC; and authorize the City Manager to execute the Rent Waiver Agreement in substantially the form presented.

CEQA: This project is categorically exempt from CEQA as an “existing facility,” because it consists of the operation, repair, maintenance, permitting, leasing, licensing, or minor alteration of existing public or private structures, facilities, mechanical equipment, or topographical features, involving negligible or no expansion of existing or former use. (CEQA Guidelines Section 15301.)

8. Commitment to Explore Reach Codes for the 2025 Code Cycle — Adoption Adopt a Resolution affirming the City’s commitment to exploring local amendments to the Energy Code and Green Building Code for the 2025 Code Cycle to advance the City’s climate goals.

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CEQA: This Resolution is not a project subject to CEQA, because it is an organizational or administrative activity that will not result in direct or indirect physical changes in the environment. (CEQA Guidelines Section 15378(b) (5).)

9. SEIU Maintenance Unit Memorandum of Understanding Side Letter – Approval Adopt a Resolution approving a Side Letter to the Memorandum of Understanding with the SEIU Maintenance Unit to include a temporary increase in the compensatory time leave cap for Wastewater Treatment Operators.

CEQA: This side letter is not a project subject to CEQA, because it is a government fiscal activity which does not involve any commitment to any specific project which may result in a potentially significant physical impact on the environment. (CEQA Guidelines Section 15378(b)(4).)

PUBLIC COMMENT
Members of the public wishing to comment on any item not appearing on the agenda may address the City Council at this time. State law prevents Council from taking action on any matter not on the agenda; your comments may be referred to staff for follow up.

Public comment is limited to a total of 15 minutes; however, an opportunity for additional public comment may be provided later in the agenda.

NEW BUSINESS

10. North Central Bike Lanes Project — Direction
Provide direction on addressing community impacts of the North Central Bike Lanes project.

CEQA: This Council item in providing direction for the use of the street and bicycle facilities along Humboldt Street is exempt from CEQA review as an “existing facility,” because it consists of the operation, repair, maintenance, permitting, leasing, licensing, or minor alteration of existing public or private structures, facilities, mechanical equipment, or topographical features, involving negligible or no expansion of existing or former use. (CEQA Guidelines Section 15301.)

REPORTS AND ANNOUNCEMENTS
City Manager, City Attorney and Council Members report on their various assignments and liaison roles and Council requests for scheduling future items.

ADJOURNMENT
----------------------------------------------------------------------------------------------------------------------------- AGENDAS:

Agendas and material are posted on the City’s website on the Friday preceding each Council Meeting and can be viewed on the City's website at
www.cityofsanmateo.org
. Any supplemental material distributed to the Council after the posting of the agenda will be made part of the official record.

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PUBLIC COMMENTS/REQUEST TO SPEAK
Prior to the Meeting
Send comments to:
[email protected]
until 4 p.m. the day of the meeting.

During the meeting

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By Zoom:

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Call (408) 638-0968 and enter the conference ID found at the top of the meeting agenda. When the item of interest is open for consideration, select *9 to raise your hand. When called upon, press *6 to unmute, state your name and provide your comments.

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At the meeting complete a “Request to Speak” form, submit a request at the speaker kiosk or scan the QR code.

ACCESSIBILITY:

In compliance with the Americans with Disabilities Act, those with disabilities requiring special accommodations to participate in this meeting may contact the City Clerk’s Office at (650) 522-7040 or [email protected]
. Notification 48 hours prior to the meeting will
enable the City to make reasonable arrangements to ensure accessibility to this meeting.

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CITY OF SAN MATEO

CITY OF SAN MATEO
Agenda Report
City Hall
330 W. 20th Avenue
San Mateo CA 94403
www.cityofsanmateo.org
Agenda Number: 3 Section Name: CONSENT CALENDAR Account Number: 10-1511 File ID: 25-9594 TO: City Council
FROM: Alex Khojikian, City Manager
PREPARED BY: City Clerk's Office
MEETING DATE: February 03, 2025
SUBJECT:

City Council Meeting Minutes – Approval
RECOMMENDATION:

Approve the special and regular minutes of the City Council meeting of January 13, 2025.

BUDGET IMPACT:

There is no budgetary impact associated with this administrative action.

ENVIRONMENTAL DETERMINATION:

This minutes approval is not a project subject to CEQA, because it is an organizational or administrative activity that will not result in direct or indirect physical changes in the environment. (CEQA Guidelines Section 15378(b)(5).)

NOTICE PROVIDED
All meeting noticing requirements were met.

ATTACHMENTS
Att 1 - Minutes 2025-01-13 Special
Att 2 - Minutes 2025-01-13 Regular

STAFF CONTACT
Martin McTaggart, City Clerk
[email protected]
(650) 522-7044

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City Council Special Meeting Minutes – 1/13/2025 Page 1 6 1
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COUNCIL MEMBERS
Rob Newsom Jr., Mayor
Adam Loraine, Deputy Mayor
Nicole Fernandez
Danielle Cwirko-Godycki
Lisa Diaz Nash

CITY OF SAN MATEO
Special Meeting Minutes
City Council
City Hall
330 W. 20th Avenue
San Mateo CA 94403
www.cityofsanmateo.org

January 13, 2025
City Hall Council Chambers 5:30 PM
Special Meeting
CALL TO ORDER at 5:30 p.m.

Roll Call

Present: Mayor Newsom, Deputy Mayor Loraine, Council Members: Fernandez, Cwirko-Godycki, and Diaz Nash AB 2449 Requests and Considerations for Meeting Participation by Teleconference due to Just Cause or Emergency Circumstances – there were no requests.

CLOSED SESSION
Following the opportunity for public comment, there were no speakers, the City Council convened into Closed Session at 5:32 p.m. to consider:

1. Conference with Legal Counsel – Anticipated Litigation Significant exposure to litigation pursuant to paragraph (2) of subdivision (d) of Section 54956.9 One case (Claim of Alicia Petrakis)

2. Conference with Labor Negotiators (Government Code Section 5957.6) City designated representatives: Karen Huang, Abby Veeser, Aracelia Esparza, and Stacey Cue.

Employee Organizations: San Mateo City Employees Association, SEIU Maintenance, Police Sergeants’ Unit, San Mateo Management Employees’ Association (MEA)

3. Conference with Legal Counsel – Existing Litigation, Workers’ Compensation (Paragraph (1) of subdivision (d) of Government Code Section 54956.9) Name of case(s): Todd Mefford (Case Nos. 2093500046 and 1893500055)

4. Conference with Legal Counsel – Existing Litigation, Workers’ Compensation (Paragraph (1) of subdivision (d) of Government Code Section 54956.9) Name of Case(s): Greg Wilson (Case Nos. 1993500060 and 1293501035) Council reconvened at 6:38 p.m.

ADJOURNMENT –The meeting adjourned at 6:38 p.m.

APPROVED BY: SUBMITTED BY:

Rob Newsom, Jr., Mayor Martin McTaggart, City Clerk

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City Council Regular Meeting Minutes – 1/13/2025 Page 1 6 1
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COUNCIL MEMBERS
Rob Newsom Jr., Mayor
Adam Loraine, Deputy Mayor
Nicole Fernandez
Danielle Cwirko-Godycki
Lisa Diaz Nash

CITY OF SAN MATEO
Regular Meeting Minutes
City Council Meeting
City Hall
330 W. 20th Avenue
San Mateo CA 94403
www.cityofsanmateo.org
January 13, 2025
City Hall Council Chambers 7:00 PM
Regular Meeting
CALL TO ORDER at 7:00 p.m.

Pledge of Allegiance
Roll Call

CEREMONIAL

1. Holiday Decorating Award for Small Business – Presentation - Erica Wood – President and CEO (San Mateo Area Chamber of Commerce) and Mackenzie Jakoubek - Downtown San Mateo Association, Executive Director received the awards and will distribute to the winners: La Lanterna, Lion’s Den Shave Parlor and Espetus

2. Commendatory Resolutions – Mike Allen C-1 (2025), Angela Sakkos C-2 (2025), and Carolyn Shavel C-3 (2025)

CONSENT CALENDAR
The following items, 3 through 8, and 10, were considered to be routine by the City Council. Item 9 was removed by staff for future consideration. After the titles of the items were read by the City Clerk, the public was invited to comment and there were no speakers. Motion passed 5-0.

Moved: Diaz Nash, Seconded: Loraine
Ayes: Newsom, Loraine, Fernandez, Cwirko-Godycki, and Diaz Nash Noes: None

3. City Council Meeting Minutes — Approval
Approve the special and regular minutes of the City Council meetings of November 18, 2024, and the regular minutes of the City Council meeting on December 9, 2024.

4. City Council 2025 Regular Meeting Calendar — Adoption Approve an amendment to the City Council Regular Meeting schedule for the calendar year 2025.

5. Fund Reservation Agreement for Fleet Electric Vehicle Charging Infrastructure — Approval Approve three Fund Reservation Agreements with Peninsula Clean Energy for the City to receive up to $270,000 to offset the expense of the installation of electric vehicle chargers at three City facilities for fleet charging.

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City Council Regular Meeting Minutes – 1/13/2025 Page 2 6 1
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6. Construction Special Inspection Services for the Clean Water Program — Amendment Approve Amendment No. 5 to the professional services agreement with Signet Testing Laboratories, Inc. for as- needed construction special inspection services for various Clean Water Program projects to increase the agreement by $150,000, for a total revised agreement amount of $2,700,000; and authorize the Public Works Director to execute the amendment in substantially the form presented and issue project-specific task orders under the agreement.

7. Sale of Water-Filled Barriers — Authorization
Authorize the City Manager to execute a sales contract allowing for the sale of 310 used water-filled barriers by the City to Marina Landscape, Inc. for a total price of $38,750.

8. Basin C Sanitary Sewer Rehabilitation Project — Agreement Award an agreement to Westland Contractors, Inc. for the Basin C Sanitary Sewer Rehabilitation Project in an amount not to exceed $5,953,822; establish a contingency in the amount of $900,000; and authorize the Public Works Director to execute the agreement in substantially the form presented and issue change orders within the contingency amount.

9. Police Department and Parks and Recreation — Classification Updates - THIS ITEM HAS BEEN REMOVED FROM THE AGENDA FOR FUTURE CONSIDERATION.

Adopt a Resolution to approve the job specification revisions and a salary range increase for the Police Digital Forensic Specialist based on a classification analysis and to approve the revised job specifications for the Landscape Laborer and Landscape Maintenance Worker I/II to reflect a flexible staffed series pursuant to the recent MOU agreement.

10. San Mateo Adult and Career Education Recreation Instruction Services — Agreement Approve an agreement with San Mateo Union High School District for Recreation Services facilitated by San Mateo Adult and Career Education in an amount not to exceed $25,000, for a term from January 6, 2025, through June 30, 2026, and authorize the Parks and Recreation Director to execute the agreement in substantially the form presented.

PUBLIC COMMENT
Kevin Simpson requested to defer the January 21st Council meeting item regarding the Humboldt Street Bike Lanes for a later date – preferably at least one month out; Michael Reagan shared concerns about the absence of an updated traffic engineering study in San Mateo since 2015. Tom Lease recommended pushing the bike lane matter to a future meeting.

Claire Stephens spoke regarding the loss of 230 parking spaces and many more expected and requested to bring back parking spaces and convert the bike lane to shared. Trina Pierce requested to bring back parking in North Central for safety reasons. Joanne Bennett spoke regarding the limited parking matter. Dennis Bagus asked whether there is going to be a public meeting regarding train noise. Irena Rodriguez spoke regarding cell towers and fire related dangers. Mike Swire informed of the Humboldt bike lanes helping to make San Mateo safer for its residents and is concerned they may be removed and the lack of outreach. Rick Sakuda stated Council should listen to the citizens who spoke and are affected by the issues and to represent the people of San Mateo.

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OLD BUSINESS

11. Third Avenue and South Norfolk Street Intersection Modification Project — Appropriation, Budget Transfers, and Agreement
Bethany Lopez, Senior Engineer, gave the presentation.

Council recessed from 8:20 p.m. to 8:25 p.m.

Public Comment:

Kevin Simpson encouraged comprehensive understanding of transportation safety. Seema Patel spoke to encourage efforts to promote safe streets. Mike Swire recommended adoption of the staff’s proposal. Rick Sakuda spoke to improve public outreach to projects. Colin spoke in favor of the proposal. Maggie Trinh spoke in favor of the project. Allison MacQueen spoke on the importance of this intersection and the need for safe transportation.

Max Mautner spoke in favor of staff proposal.

The council asked questions and made comments.

Motion to Adopt a Resolution authorizing an appropriation of $200,000 from the City’s Measure A funds, and budget transfers of $65,000 from the Traffic Signal Video Detection Replacement Project and $40,000 from the Bike San Mateo Program Project to the Community Development Block Grant Projects project budget in the Capital Project Fund; approve an agreement with Liffey Electric, Inc. for construction of the 3rd Avenue and South Norfolk Street Intersection Modification Project in the amount of $1,298,745; establish a contingency reserve in the amount of $200,000; and authorize the Public Works Director to execute the agreement in substantially the form presented and issue change orders as allowed by the contract documents and within the contingency amount. Motion passed 5-0.

Moved: Loraine, Seconded: Cwirko-Godycki
Ayes: Newsom, Loraine, Fernandez, Cwirko-Godycki, and Diaz Nash Noes: None

Enactment: Resolution No. 1 (2025)

PUBLIC HEARING

12. Solid Waste 2025 Rate Setting and Proposition 218 Notification —Approval Jack Johnson, Waste Management Supervisor, gave the presentation. Gabe Sasser and Rick Simonson from HF and H Consultants were also present.

The Mayor opened public comment.

Public Comment – There were no speakers.

The Mayor closed public comment.

Council asked questions and made comments.

Staff provided direction on proposed increases to residential and commercial solid waste rates and commercial organics collection rates. Council authorized staff to mail a Proposition 218 Notification to all property taxpayers proposing a not-to-exceed increase in solid waste, recycling, and compost collection rates for 2025.

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13. New Construction Reach Codes for the 2022 Code Cycle — Ordinance Introduction Andrea Chow, Sustainability Analyst, gave the presentation.

The Mayor opened public comment.

Public Comment:

Robert Whitehair spoke on behalf of San Mateo Climate Action Team and 350 Silicon Valley and stated that decarbonization of buildings is critical to meeting climate goals.

Council asked questions and made comments.

Motion to Introduce an Ordinance to amend the San Mateo Municipal Code Chapter 23.24 "Energy Code" and Chapter 23.70 "Green Building Code" to require enhanced energy performance for new construction, repeal unenforceable measures of the City's current reach codes, and make a minor edit to the City's electric-readiness requirements. This motion also noted the adoption of a resolution associated with this action. Motion passed 5-0.

Moved: Loraine, Seconded: Cwirko-Godycki
Ayes: Newsom, Loraine, Fernandez, Cwirko-Godycki, and Diaz Nash Noes: None

Enactment: Resolution No. 2 (2025)

NEW BUSINESS

14. City Council Appointments to External Agencies and Liaison Roles — Approval Martin McTaggart, City Clerk, gave the presentation.

Public Comment – There were no speakers.

Council asked questions and made comments.

Council consensus was to approve the final appointments and liaisons list.

REPORTS AND ANNOUNCEMENTS
City Manager, City Attorney and Council Members reported on their various assignments and liaison roles and noted past and future events. Deputy Mayor Loraine requested Council consensus to bring forward a resolution at a future meeting noting the City’s intention to study Cal Green Reach Code in the next cycle. The council gave approval of this request.

Mayor Newsom requested the Council consider options for financial aid in relation to relief for recent wildfires experienced in Los Angeles. City Manager Khojikian informed the Council he would review this and provide the Council with an update at a later date. City Manager Khojikian requested Council direction on the scheduling of future agenda items. City Manager Khojikian informed the public that there will be a meeting with CalTrain on Thursday, January 30th.

ADJOURNMENT –The meeting adjourned in memory of President Jimmy Carter at 10:30 p.m.

APPROVED BY: SUBMITTED BY:

Rob Newsom, Jr., Mayor Martin McTaggart, City Clerk

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CITY OF SAN MATEO

CITY OF SAN MATEO
Agenda Report
City Hall
330 W. 20th Avenue
San Mateo CA 94403
www.cityofsanmateo.org
Agenda Number: 4 Section Name: CONSENT CALENDAR Account Number: 10-1311 File ID: 24-9257 TO: City Council
FROM: Alex Khojikian, City Manager
PREPARED BY: City Manager's Office
MEETING DATE: February 3, 2025
SUBJECT:

Caltrans Sustainable Transportation Planning Grant — Agreement RECOMMENDATION:

Adopt a Resolution to accept grant funds in the amount of $360,500 from the California Department of Transportation (Caltrans) for the development of a Climate Adaptation Plan for Sea Level Rise and to appropriate the grant funds to the Climate Adaptation Plan Project; approve the Restricted Grant Agreement; and authorize the City Manager to execute the Restricted Grant Agreement in substantially the form presented.

BACKGROUND:

In January 2024, the City applied for grant funding through the California Department of Transportation (Caltrans) Sustainable Transportation Planning Grant Program for the development of a Climate Adaptation Plan for Sea Level Rise.

The development of a Climate Adaptation Plan will build on regional efforts such as the County of San Mateo Sea Level Rise Vulnerability Assessment to produce a planning document specific to the City of San Mateo. The Climate Adaptation Plan will include an existing conditions assessment and technical analysis to develop criteria for evaluating vulnerable areas, hydrologic and hydraulic modeling to establish minimum elevations required to address projected sea level rise in 2050 and 2100 and more. The Climate Adaptation Plan will result in a prioritized list of facilities and infrastructure which may require site-specific adaptation strategies and will include funding and financing analysis that are intended to provide next steps toward implementation. The plan will also meet SB 272 requirements to enable the City to be more competitive for adaption project funding.

In July 2024, the City of San Mateo received a conditional award letter from Caltrans. In September 2024, City Council adopted a Resolution identifying approval authority for the agreements between the City of San Mateo and Caltrans, in compliance with the Caltrans Sustainable Transportation Planning Grant Program requirement. A Restricted Grant Agreement is needed to be executed with Caltrans before such funds can be reimbursed through the Caltrans Sustainable Transportation Planning Grant Program.

Staff recommends City Council adopt a Resolution to accept grant funds in the amount of $360,500 from the California Department of Transportation (Caltrans) for the development of a Climate Adaptation Plan for Sea Level Rise and to appropriate the grant funds to the Climate Adaptation Plan Project. Staff also recommends the City Council approve the Restricted Grant Agreement with Caltrans and authorize the City Manager to execute required documentation to receive the grant funds. As next steps, staff anticipates releasing a Request for Proposals (RFP) to select a technical consultant to develop the Climate Adaptation Plan.

BUDGET IMPACT:

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CITY OF SAN MATEO
Acceptance of the Caltrans funding requires a 11.47 percent local match. $50,000 was allocated to the Climate Adaptation Plan Project 46C005 from the Construction Services Fund 26 during the FY 2024-25 budget to meet this local match requirement. Caltrans Sustainable Transportation Planning Grant funds in the amount of $360,500 will be appropriated to the Climate Adaptation Plan Project 46C005.

ENVIRONMENTAL DETERMINATION:

Adoption of a Resolution to accept grant funds, approval of grant agreement, and the appropriation of grant funds is not a project subject to CEQA, because it is a fiscal activity which does not involve any commitment to any specific project which may result in a potentially significant physical impact on the environment. (CEQA Guidelines Section 15378(b)(4).)

NOTICE PROVIDED
All meeting noticing requirements were met.

ATTACHMENTS
Att 1 – Proposed Resolution
Att 2 – Restricted Grant Agreement

STAFF CONTACT
Andrea Chow, Sustainability Analyst
[email protected]
(650) 522-7007

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CITY OF SAN MATEO
RESOLUTION NO. ____ (2025)

ACCEPTING THE CALIFORNIA DEPARTMENT OF TRANSPORATION (CALTRANS) SUSTAINABLE TRANSPORATION PLANNING GRANT IN THE AMOUNT OF $360,500 FOR THE DEVELOPMENT OF A CLIMATE ADAPTATION PLAN FOR SEA LEVEL RISE AND APPROPRIATING $360,500 TO THE CLIMATE ADAPTATION PLAN PROJECT WHEREAS, State law requires local governments to develop subregional shoreline adaptation plans to be prioritized for State funding for adaptation projects; and WHEREAS, the City of San Mateo applied to the California Department of Transportation (Caltrans) Sustainable Transportation Planning Grant Program, specifically, the Climate Adaptation Planning Grant for the development of a Climate Adaptation Plan for Sea Level Rise; and WHEREAS, the City of San Mateo received a conditional award letter for the 2024-25 Sustainable Transportation Planning Grant; and
WHEREAS, the City of San Mateo is eligible to receive State funding for certain transportation planning related plans through Caltrans; and
WHEREAS, a Restricted Grant Agreement is needed to be executed with Caltrans before such funds can be reimbursed through the Caltrans Sustainable Transportation Planning Grant Program; and WHEREAS, the City of San Mateo wishes to approve acceptance of the grant subject to the Restricted Grant Agreement in the amount of $360,500.

NOW, THEREFORE, THE CITY COUNCIL OF THE CITY OF SAN MATEO, CALIFORNIA, HEREBY RESOLVES:

1. The City Council action adopting a resolution to accept grant funds is not a project subject to CEQA review because it is a fiscal activity which does not involve any commitment to any specific project which may result in a potentially significant impact on the environment. (CEQA Guidelines Section 157378(b)(4).)

2. Acceptance of the CalTrans Sustainable Transportation Planning Grant Program funding in the amount of $360,500 is approved.

3. An appropriation of $360,500 in grant funds to the Climate Adaptation Plan Project 46C005 is approved.

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City of San Mateo
Agreement Number 74A1675

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Adaptation 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 CITY OF SAN MATEO, the hereinafter referred to as AGENCY, will commence on NOVEMBER 4, 2024, 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 of Notice to Proceed by the CALTRANS Contract Manager. This RGA shall expire on JUNE 30, 2027.

Recitals

1. 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.

2. CALTRANS and AGENCY intend that only funds that are authorized as restricted grants will be subject to this RGA, and that no funds that should be the subject of a Joint Powers Agreement, Interagency Agreement, or other non-grant agreement shall be subject to this RGA.

Now, Therefore, based upon the terms, covenants, and conditions of this RGA, the parties agree as follows:

Section I
AGENCY Agrees:

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 Agrees:

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 lII
It Is Mutually Agreed:

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. Under this restricted grant, funds may be only used for the purpose set forth in RGA, Resolution (Attachment I), Scope of Work and Project timeline (Attachment II), and the applicable Grant Application Guide (Attachment III), and funds may only be used for costs and expenses that are directly related to such purpose.

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City of San Mateo
Agreement Number 74A1675

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3. AGENCY shall perform all the duties and obligations described in CLIMATE ADAPTATION PLANNING FOR SEA LEVEL RISE hereinafter “Project”, subject to the terms and conditions of this RGA and Approved Project Grant Application (Scope of Work and Project timeline), which are attached hereto as Attachment II.

4. The resolution authorizing AGENCY to execute this RGA pertaining to the above described Project is attached hereto as Attachment I.

5. All services performed by AGENCY pursuant to this RGA shall be performed in accordance with California Senate Bill No. 198 (SB-198) (Chapter 71, Statutes of 2022), including, but not limited to, Government Code Section 14460(a)(1), as well as all applicable Federal, State, and Local laws, regulations, and ordinances, all applicable CALTRANS policies and procedures, and all applicable CALTRANS published manuals, including, but not limited to, the applicable Grant Application Guide (Attachment III).

California Government Code Section 14460(a)(1) provides: “The department [CALTRANS], and external entities that receive state and federal transportation funds from the department, are spending those funds efficiently, effectively, economically, and in compliance with applicable state and Federal requirements. Those external entities include, but are not limited to, private for profit and nonprofit organizations, local transportation agencies, and other local agencies that receive transportation funds either through a contract with the department or through an agreement or grant administered by the department.”
In case of conflict between Federal, State, and Local laws, regulations, and ordinances, and/or any applicable policies, procedures, or published manuals of either CALTRANS or AGENCY, the order of precedence of the applicability of same to this RGA shall be established in this order: 1) Federal laws and regulations; 2) California laws and regulations; 3) CALTRANS policies, procedures, and published manuals; 4) Local ordinances; and 5) AGENCY policies, procedures, and published manuals. This RGA may not include any federal funds.

6. Project funding is as follows:

Fund Title Fund Source Dollar Amount
State Highway Account
(SHA)
State $360,500.00
Local Match Agency Provided $50,000.00
Total Project Costs $410,500.00
No in-kind contributions may be made unless the amount and type of the contribution is identified above.

7. This RGA is exempt from the legal review and approval by the Department of General Services, pursuant to Legal Opinions of the Attorney General: 58 Ops. Cal. Atty. Gen. 586 (1975), 63 Ops.

Cal. Atty. Gen. 290 (1980), 74 Ops. Cal. Atty. Gen. 10 (1991), and 88 Ops. Cal. Atty. Gen. 56.

8. Notification of Parties
a. AGENCY’s Project Manager for Project is Andrea Chow, (650) 522-7007. b. CALTRANS’ Contract Manager is Lucius Wu, (510) 529-5653. “Contract Manager” as used herein includes his/her designee.

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c. All notices herein provided to be given, or which may be given, by either party to the other, shall be deemed to have been fully given when made in writing and received by the parties at their respective addresses:

City of San Mateo
Attention: Andrea Chow, Project Manager
Phone Number: (650) 522-7007
Email: [email protected]
Address: 330 W. 20th Avenue
San Mateo, CA 94403

California Department of Transportation
District 4/Office of Regional Planning
Attention: Lucius Wu, Contract Manager
Phone Number: (510) 529-5653
Email: [email protected]
Address: 111 Grand Avenue, MS-10D
Oakland, CA 94612

9. Period of Performance
a. Reimbursable work under this RGA shall begin no earlier than on NOVEMBER 4, 2024, following the written approval of CALTRANS and AGENCY’s receipt of the Notice to Proceed letter of this RGA by the CALTRANS Contract Manager, and will expire on JUNE 30, 2027. b. AGENCY will attend a kickoff meeting with CALTRANS to be scheduled within one (1) week from receipt of Notice to Proceed letter by the CALTRANS Contract Manager.

10. Changes in Terms/Amendments
This Agreement may only be amended or modified during the period of performance by mutual written agreement of the parties.

11. Cost Limitation
a. The maximum total amount granted and reimbursable to AGENCY pursuant to this RGA by CALTRANS shall not exceed $360,500.00.
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.

12. Termination
a. CALTRANS reserves the right to terminate this RGA 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.

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b. This RGA may be terminated by either party for any 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.
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 invoices within this period of time shall result in a waiver by AGENCY of its right to reimbursement of expended costs.

13. 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 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 US Congress or 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 reduced amount.

14. Payment and Invoicing
a. 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, Item 16d. The total cost shall not exceed the cost reimbursement limitation set forth in Section III–Cost Limitations, Item 11a. 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. b. 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 the Notice to Proceed letter for this RGA and before the Expiration Date but must have also paid for those costs to claim any reimbursement. c. 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 subrecipients, 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/.

Also see website for summary of travel reimbursement rules.

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d. 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 Timeline 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 8c. e. 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, subrecipient and subcontractor invoices. 5) AGENCY shall submit written progress reports with each set of invoices to allow 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.
f. 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, Item 12.
g. CALTRANS will reimburse AGENCY for all allowable Project costs at least quarterly, but no more frequently than monthly, in arrears and in compliance with the California 45-day Prompt Payment Act (Cal. Gov. Code section 927), upon receipt of an itemized signed invoice. h. 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 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 contractor.

15. Local Match Funds
a. AGENCY shall contribute not less than a proportional cash amount toward the services described herein on a monthly or quarterly basis. The frequency of the payments shall be agreed upon by the parties in a document signed by both parties. Notwithstanding the foregoing, to the extent that in-kind contributions are permitted and identified under this RGA, Section III–Project Funding, Item 6, the contributions may be counted as cash when they are actually received by CALTRANS. Except where expressly allowed in writing herein, reimbursement of credits for local matching funds will be made or allowed only for work performed on and after the date of issuance of the Notice to Proceed and prior to the Expiration Date of this RGA.
b. AGENCY agrees to contribute the statutorily required local contribution of matching funds if any is specified within this RGA or in any Attachment hereto, toward the actual cost of the services described in Attachment II. AGENCY shall contribute not less than its required match amount

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toward the services described herein. Local cash and in-kind match requirements can be found in the applicable Grant Application Guide (Attachment III).

16. 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 cost items and (b) 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. 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. d. Prior to AGENCY seeking reimbursement of indirect costs, AGENCY must have identified 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. e. AGENCY agrees and shall require that all its agreements with consultants and subrecipients contain provisions requiring adherence to this section in its entirety except for section c, above.

17. 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.).

18. Iran Contracting Act
Proposed Contractor must complete and submit to Caltrans the Iran Contracting Act Certification certifying that it is not on the most current DGS list of Entities Prohibited from Contracting with Public Entities in California per the Iran Contracting Act, 2010 (
https://www.dgs.ca.gov/PD/Resources/Page-Content/Procurement-Division-Resources-List- Folder/List-of-Ineligible-Businesses), before the Agreement has been executed, unless Contractor

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is exempted from the certification requirement by Public Contract Code Section 2205(c) or (d). If claiming an exemption, the proposed Contractor shall provide written evidence that supports an exemption under Public Contract Code Section 2203(c) or (d) before execution of the Agreement.

19. 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, its contractors, its subrecipients, or its 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, subrecipients, or subcontractors under this RGA.

20. Nondiscrimination Clause (2 CCR 11105 Clause b)
a. During the performance of this RGA, the AGENCY, its contractors, its subrecipients, and its 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 (California Code of Regulations, Title 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 the 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 its contractors, its sub-recipients, and its 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.

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21. 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. 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), enable the determination of incurred costs at interim points of completion, and provide support for reimbursement payment vouchers or invoices. 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. c. For the purpose of determining compliance with applicable State and AGENCY law in connection with the performance of AGENCY’s contracts 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 of 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 subrecipients, 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.

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22. 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.

23. Third-Party Contracts
a. AGENCY shall perform the work contemplated with resources available within its own organization and no portion of the work shall be contracted to a third party without prior written authorization by the CALTRANS Contract Manager unless expressly included (subrecipient identified) in Attachment II as part of the identified Project work. b. 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 (see Part 2, Chapter 2, Articles 3 and 4 of the Public Contract Code); a qualifications-based solicitation process, for which statements of qualifications are obtained from at least three (3) qualified firms for architecture and engineering services (see Title 1, Division 5, Chapter 10 of the Government Code); and, the provisions of the State Contracting Manual (SCM), Chapter 5, which are not inconsistent with this Item 23, Third Party Contracts. The SCM can be found and the following link:https://www.dgs.ca.gov/OLS/Resources/Page-Content/Office- of-Legal-Services-Resources-List-Folder/State-Contracting. c. 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 sub-recipients, contractors, and subcontractors.

Copies of all agreements with sub-recipients, contractors, and subcontractors, must be submitted to the CALTRANS Contract Manager.
d. 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 subrecipients, contractors, or subcontractors. e. Prior authorization in writing by the 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, Item 14(e)(4), above.

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f. 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 subrecipients, contractors, 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, Item 14c, above.

24. 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 of 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. 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.

25. 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.

26. 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

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data stored on every sector of a hard drive, including temp files, cached data, hibernation files, and even unused disk space.
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 the 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).

27. 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 Agreement, Contractor hereby assumes all risks of the consequences of exposure of Contractor’s employees, agents, 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, 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.

28. 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

29. Project Close Out/Final Product
a. AGENCY will provide two (2) electronic versions 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 the CALTRANS Contract Manager.
c. AGENCY will provide one (1) Integrated Climate Adaptation and Resiliency Program (ICARP) final case study/write-up to the Governor’s Office of Planning and Research (OPR). The final case study is due at time of project end date and should highlight outcomes, lessons learned, and upcoming adaptation opportunity of the project.

30. Ownership of Proprietary Property
a. Definitions
1) Work: The work to be directly or indirectly produced by AGENCY under this RGA. 2) Work Product: All deliverables created or produced from Work under this RGA including but not limited to, all Work and Deliverables conceived or made, or made hereafter conceived or made, either solely or jointly with others during the term of this RGA and during a period of six (6) months after the termination thereof, which relates to the Work commissioned or performed under this RGA. “Work Product” includes all deliverables, inventions, innovations, improvements, or other works of authorship AGENCY, its subrecipients, a third-party contractor or subcontractor may conceive of or develop in the course of this RGA, whether or not they are eligible for patent, copyright, trademark, trade secret, or other legal protection.
3) Inventions: Any idea, methodologies, design, concept, technique, invention, discovery, improvement or development regardless of patentability made solely by AGENCY or jointly with the AGENCY’s contractor, subcontractor and/or subrecipient and/or the AGENCY’s contractor, subcontractor and/or subrecipient’s employees with one or more employees of CALTRANS, during the term of this RGA and in performance of any Work under this RGA, provided that either the conception or reduction to practice thereof occurs during the term of this RGA and in performance of Work issued under this RGA. b. Ownership of Work Product and Rights
1) Copyright Ownership of Work Product: Except in regard to Pre-existing Works, all Work Product derived by the Work performed by the AGENCY, its employees, or by any of the AGENCY’s contractor’s, subcontractor’s, and/or subrecipient’s employees under this RGA, shall be owned by CALTRANS and AGENCY and shall be considered to be works made for hire by the AGENCY and AGENCY’s contractor, subcontractor, and/or subrecipient for CALTRANS and AGENCY. CALTRANS and AGENCY shall own all United States and international copyrights in the Work Product.

As such, all Work Product shall contain, in a conspicuous place, a copyright designation consisting of a “c” in a circle followed by the four-digit year in which the Work Product was produced, followed by the words “California Department of Transportation and AGENCY.

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2) Vesting of Copyright Ownership: AGENCY, its employees, and all of AGENCY’s contractor’s, subcontractor’s, and subrecipient’s employees, agrees to perpetually assign, and upon creation of each Work Product automatically assigns, to CALTRANS and AGENCY, its successors, and assigns, ownership of all United States and international copyrights in each and every Work Product, insofar as any such Work Product, by operation of law, may not be considered work made for hire by the AGENCY’s contractor, subcontractor, and/or subrecipient from CALTRANS. From time to time, CALTRANS and the AGENCY shall require its contractors, subcontractors, and/or subrecipients and their respective employees to confirm such assignments by execution and delivery of such assignments, confirmations, or assignment, or other written instruments as CALTRANS and the AGENCY may request. CALTRANS and the AGENCY, its successors, and assigns, shall have the right to obtain and hold in its or their own name(s) all copyright registrations and other evidence of rights that may be available for Work Product. AGENCY shall require contractors, including subcontractors, to waive all moral rights relating to identification of authorship restriction or limitation on use, or subsequent modifications of the Work. c. Inventions
1) Vesting of Patent Ownership: AGENCY agrees to require subrecipients, contractors, subcontractors and their respective employees to assign to CALTRANS and AGENCY, its successors, and assigns, all Inventions, together with the right to seek protection by obtaining patent ownership rights and the right to claim all rights or priority there under, and the same shall become and remain CALTRANS’ property regardless of whether such protection is sought. The AGENCY, its employees, and AGENCY’s contractor, subcontractor, and subrecipient shall promptly make a complete written disclosure to CALTRANS of each Invention not otherwise clearly disclosed to CALTRANS in the pertinent Work Product, specifically pointing out features or concepts that the AGENCY, its employees, and/or AGENCY’s contractor, subcontractor, and/or subrecipient believes to be new or different. The AGENCY, its employees, and AGENCY’s contractor, subcontractor, and subrecipient shall, upon CALTRANS and AGENCY’s request and at CALTRANS and AGENCY’s expense, cause patent applications to be filed thereon, through solicitors designated by CALTRANS and AGENCY, and shall sign all such applications over to CALTRANS and AGENCY, its successors, and assigns. The AGENCY, its employees, and AGENCY’s contractor, subcontractor, and subrecipient shall give CALTRANS and AGENCY and its solicitors all reasonable assistance in connection with the preparation and prosecution of any such patent applications and shall cause to be executed all such assignments or other instruments or documents as CALTRANS and AGENCY may consider necessary or appropriate to carry out the intent on this RGA. 2) Agency: In the event that CALTRANS and AGENCY are unable for any reason whatsoever to secure the AGENCY’s, its employees’, and/or AGENCY’s contractor’s, subcontractor’s, and/or sub-recipient’s, signature to any lawful or necessary document required or desirable to apply for or prosecute any United States application (including renewals or divisions thereof), AGENCY, its employees, and AGENCY’s contractor, subcontractor, and subrecipient hereby irrevocably designates and appoints CALTRANS and AGENCY and its duly authorized officers and agents, as its agent and attorney-in-fact, to act for and on AGENCY, its employees, and AGENCY’s contractor’s, subcontractor’s, and subrecipient behalf and stead, to execute and file such applications and to do all other lawfully permitted acts to further the prosecution and issuance of any copyrights, trademarks, or patents thereon with the same legal force and effect as if executed by AGENCY, its employees, and AGENCY’s contractor, subcontractor, and subrecipient. CALTRANS and AGENCY shall have no obligations to file any copyright, trademark, or patent applications.

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City of San Mateo
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d. Additional Provisions
1) Avoidance of infringement: In performing services under this RGA, AGENCY and its employees agree to avoid designing or developing any items that infringe one or more patents 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. 2) Pre-existing Works and License: AGENCY agrees to require contractors, subcontractors, and subrecipients to acknowledge that all Work Product shall be the sole and exclusive property of CALTRANS and AGENCY, except that any Pre-existing Works created by AGENCY and third parties outside of the RGA but utilized in connection with the RGA (the “Pre-existing Works”) shall continue to be owned by AGENCY or such parties. AGENCY agrees to notify CALTRANS in writing of any Pre-existing Works used in connection with any Work Product produced under this RGA and hereby grants to CALTRANS a non- exclusive, irrevocable, worldwide, perpetual, royalty-free license to utilize the Pre-existing Works in connection with the Work Product.
3) Contractors, Subcontractors, and Subrecipients: Through contract with its subrecipients, contractors, and subcontractors, AGENCY shall affirmatively bind by contract all of its contractors, subcontractors, subrecipients, and service vendors (hereinafter “AGENCY’s Contractor/Subcontractor/Sub-recipient”) providing services under this RGA to conform to the provisions of this Exhibit. In performing services under this RGA, AGENCY’s Contractor/Subcontractor/Subrecipient shall agree to avoid designing or developing any items that infringe one or more patents or other intellectual property rights of any third party.

If AGENCY’s Contractor/Subcontractor/Subrecipient becomes aware of any such possible infringement in the course of performing any Work under this RGA, AGENCY’s Contractor/Subcontractor/Subrecipient shall immediately notify the AGENCY in writing, and AGENCY shall then immediately notify the CALTRANS in writing. e. Ownership of Data
1) Upon completion of all Work under this RGA, all intellectual property rights, ownership, and title to all reports, documents, plans, specifications, and estimates, produced as part of this RGA will automatically be vested in CALTRANS and AGENCY and no further agreement will be necessary to transfer ownership to CALTRANS and AGENCY. The AGENCY, its contractors, subcontractors, and subrecipients, shall furnish CALTRANS all necessary copies of data needed to complete the review and approval process. 2) It is understood and agreed that all calculations, drawings, and specifications, whether in hard copy of machine-readable form, are intended for one-time use in the Project for which this RGA has been entered into.
3) AGENCY, its contractors, subcontractors, and subrecipients, are not liable for claims, liabilities, or losses arising out of, or connected with, the modification or misuse by CALTRANS of the machine-readable information and data provided by AGENCY, its contractors, subcontractors, and subrecipients, under this RGA; further, AGENCY, its contractors, subcontractors, and subrecipients, are not liable for claims, liabilities or losses arising out of, or connected with, any use by CALTRANS of the Project documentation on other projects, for additions to this Project, or for the completion of this project by others, excepting only such use as may be authorized, in writing, by AGENCY, its contractors, subcontractors, and subrecipients.

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4) Any sub-agreement in excess of $25,000.00 entered into as a result of this RGA shall contain all of the provisions of this clause.

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. 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.

33. 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.

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Section IV
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 Timeline
III. Grant Application Guide
In Witness Whereof, the parties hereto have executed this RGA on the day and year first herein above written:

STATE OF CALIFORNIA CITY OF SAN MATEO

DEPARTMENT OF TRANSPORTATION
By: By:

Printed Name: Printed Name:

Title: Title:

Date: Date:

By:

Printed Name:

Title:

Date:

By:

Printed Name:

Title:

Date:

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CITY OF SAN MATEO
RESOLUTION NO. 86 (2024)

APPROVAL AUTHORITY FOR AGREEMENTS BETWEEN THE CITY OF SAN MATEO AND THE CALIFORNIA

DEPARTMENT OF TRANSPORATION (CALTRANS) FOR THE DEVELOPMENT OF A CLIMATE ADAPTATION PLAN

FOR SEA LEVEL RISE THROUGH THE SUSTAINABLE TRANSPORATION PLANNING GRANT PROGRAM WHEREAS, the City of San Mateo applied to the California Department of Transportation (Caltrans) Sustainable Transportation Planning Grant Program, specifically, the Climate Adaptation Planning Grant for the development of a Climate Adaptation Plan for Sea Level Rise; and WHEREAS, the City of San Mateo received a conditional award letter for the 2024-25 Sustainable Transportation Planning Grant; and
WHEREAS, the City of San Mateo is eligible to receive state funding for certain transportation planning related plans through Caltrans; and
WHEREAS, a Restricted Grant Agreement is needed to be executed with Caltrans before such funds can be reimbursed through the Caltrans Sustainable Transportation Planning Grant Program; and WHEREAS, the Caltrans Sustainable Transportation Planning Grant Program requires the adoption of a resolution identifying and authorizing the Restricted Grant Agreement signee prior to contract finalization; and WHEREAS, the City of San Mateo wishes to delegate authorization to the City Manager to execute these agreements and any amendments thereto.

NOW, THEREFORE, THE CITY COUNCIL OF THE CITY OF SAN MATEO, CALIFORNIA, HEREBY RESOLVES that:

1. This Council action is not a project subject to CEQA, because it is an organizational or administrative activity that will not result in direct or indirect physical changes in the environment. (CEQA Guidelines Section 15378(b)(5).)

2. The City Manager is authorized to execute all Restricted Grant Agreements and any amendments thereto with Caltrans in furtherance of the development of a Climate Adaption Plan for Sea Level Rise through the Sustainable Transportation Planning Grant Program.

RESOLUTION NO. 86 (2024) adopted by the City Council of the City of San Mateo, California, at a regular meeting held on September 16, 2024, by the following vote of the City Council:

AYES: Council Members Diaz Nash, Newsom, Loraine, Hedges and Lee NOES: None
ABSENT: None
ATTEST:

Martin McTaggart, City Clerk Lisa Diaz Nash, Mayor
City of San Mateo
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SCOPE OF WORK
Project Information
Grant Category Climate Adaptation Planning
Grant Fiscal Year FY 2024-25
Project Title Climate Adaptation Planning for Sea Level Rise Organization
(Legal name) City of San Mateo
Disclaimer
Agency commits to the Scope of Work below. Any changes will need to be approved by Caltrans prior to initiating any Scope of Work change or amendment.

Introduction
The City of San Mateo is located in the County of San Mateo, California, and is a transportation nexus with local roads, highways, bus routes, and rail passing through its boundaries. Climate change-related effects such as sea level rise near-term and long-term threats to the coastal City of San Mateo and its transportation infrastructure. The City of San Mateo seeks grant funding to support its climate adaptation planning efforts related to sea level rise to address increased threat of flooding due to climate change, with the ultimate aim of protecting its residents and infrastructure.

C
ontinued advancements in scientific understanding of climate change have resulted in iterative updates to sea level rise projections. These iterative updates have generally trended toward predicting increasing magnitudes of sea level rise. The higher magnitudes of sea level rise correspond with increased projected tide and storm surge heights. Current projections of a “mid-level” 2100 sea level rise scenario (estimated as 3.3 feet of sea level rise combined with a 1% annual chance storm) show inundation of 39% of the land within the City of San Mateo, which includes flooding of 24 of 49 highway/railway bridges, 20.8 miles of highway (including overtopping of Highway 101), the Hayward Park Caltrain Station, and 38% of the local roads.

Further, with passage of California Senate Bill 272 (SB272), a climate adaptation plan specific to sea level rise would serve as the basis of a document which would satisfy the future requirements set forth by the California Coastal Commission for sea level rise plans.

I
n summary, as demonstrated in the sea level rise projections, the transportation infrastructure within the City of San Mateo is highly vulnerable to current and future flooding due to sea level rise-induced flooding. The City therefore proposes the following primary technical project activities to be supported by climate adaptation grant funding: development of a climate adaptation plan specific to sea level rise.

Project Stakeholders
Preparation of deliverables will likely require collaboration with the following stakeholders:

Caltrans; San Francisco Bay Conservation and Development Commission (BCDC); County of San Mateo; City of Burlingame; City of Foster City; Peninsula Corridor Joint Powers Board (Caltrain); specialized transportation providers; commuters; residents; and visitors. The City of San Mateo will City of San Mateo
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also work with Caltrans to identify and address transportation deficiencies within the bounds of the project scope.

City staff will employ a competitive RFP process consistent with the State Contracting Manual, Chapter 5, the Local Assistance Procedures Manual, Chapter 10, and the terms of the agreement with Caltrans to procure a consulting firm or team of firms to provide design consulting services, including public outreach services.

Once the project begins, City staff and the consultant team will meet regularly throughout the project, ideally on a bi-weekly schedule, to provide review for ongoing activities and collaborate on project direction and actions. The bi-weekly meetings will include the City’s project manager, deputy project manager, team members as indicated to provide specific content, the consultant’s project manager, and other key project staff.

Overall Project Objectives
The goals of the project are as follows:
• Develop an adaptation plan for the City of San Mateo specific to sea level rise , including: review and summarization of available regional vulnerability and adaptation plans; development of a list of critical infrastructure assets (including transportation infrastructure) which would be impacted by sea level rise; summary of neighborhoods within the City of San Mateo which are projected to be affected by sea level rise; development of a list of prioritized capital improvement projects to protect assets located within the City of San Mateo; development of key coordination (including permitting) required with adjacent cities and agencies with assets located within the City of San Mateo; studying the implications of enacting a zoning ordinance specific to sea level rise

Summary of Project Tasks
Task 01: Project Administration
Kick-Off Meeting
At the start of the grant, the City of San Mateo will hold a kickoff meeting which includes Caltrans and other as-needed project stakeholders.

Invoicing and Progress Reports
The City of San Mateo will send Caltrans quarterly invoices with progress reports. The project will be managed and administered in accordance with the Grant Application Guidelines and the executed grant contract with Caltrans. This is an Administrative Task that will only be charged against the City of San Mateo for the Administration of this grant project.

Costs for this task will not exceed 5% of the grant award amount.Task Deliverables Kick-off meeting with Caltrans – Meeting Notes, quarterly invoices, and progress reports

Task 02: Consultant Procurement
Prepare Request for Proposals
City of San Mateo staff will prepare a Request for Proposals (RFP) for a consultant to assist with technical elements of the climate adaptation plan specific to sea level rise.

City of San Mateo
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Distribute RFPs
City of San Mateo staff will post the RFP on its website and distribute it to interested firms. City of San Mateo staff will provide answers to consultant questions on the RFP website in accordance with the schedule established in the RFP. As part of this task, the City of San Mateo will provide Caltrans a copy of its procurement procedures.

RFP Review Committees
The City of San Mateo will organize a review committee for reviewing and awarding the consultant contracts. The review committee will be comprised of the City of San Mateo staff.

Contract with Consultant
The City of San Mateo will contract with the selected qualified consultants, consistent with state and federal requirements, Local Assistance Procedures Manual for procuring non -Architectural and engineering consultants, the Grant Application Guide and the executed grant contr act between Caltrans and the grantee. As part of this scope, City of San Mateo staff expects to present the contract(s) to City Council for review and approval.

Task Deliverables
Request for Proposals (RFP): Climate adaptation study specific to sea level rise Copy of City of San Mateo’s procurement procedures
Consultant contract (and amendments if needed)
Council agenda and staff reports for contract acceptance

Task 1: Existing Conditions
The project team expects an assessment of existing conditions related to sea level rise climate adaptation planning.

For the sea level rise climate adaptation planning, the project team will prepare a draft report summarizing existing state, regional, and county-specific studies related to sea level rise. The purpose of this summary is to show the evolving projections related to sea level rise and the assets which could be impacted by the projections. The draft report will include a general overview of the City of San Mateo, a summary of current shoreline flood protection infrastructure and the level of protection currently provided, a summary of previous regional, state, and federal documents on sea level rise (including consideration of publications by Adapting to Rising Tides), a summary of assets which previous studies have shown will be impacted by future sea level rise if no further improvements are implemented, and current zoning of the areas which are projected to be impacted by future sea level rise. The City of San Mateo expects the consultant to organize a field visit to meet with project stakeholders and perform field reconnaissance at areas of particular interest, such as areas where interagency coordination may be required. The existing conditions report will be kept in draft format and is intended to be an introductory section in the final deliverable for the climate adaptation report which is proposed as part of this grant application.

Task Deliverables
Climate Adaptation Planning for Sea Level Rise: Existing Conditions Assessment City of San Mateo
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Task 2: Analysis
The following analysis is anticipated to support the proposed grant activities.

Sea Level Rise Adaptation Planning
The analysis proposed within this Task is intended to prepare a City-specific adaptation plan for the City of San Mateo. Ultimately, however, the threat posed by sea level rise cannot be addressed by a single local agency, and is likely to be either expanded upon, or incorporated into, a county-wide or regional adaptation plan. The analysis proposed below may be amended based on recommendations from the retained consultant.

The City will incorporate findings from the Existing Conditions Assessment to perform the following analysis:
1) Develop criteria for prioritizing vulnerable areas
2) Identify areas which could have updated zoning ordinances to account for future sea level rise
3) Develop criteria for selecting a prevailing sea level rise model in the absence of standardized sea level rise guidance, including consideration of published guidance documents such as BCDC’s Climate Change Policy Guidance 4) Perform an analysis of progressive infrastructure and service failures which would be occur at varying intervals of unmitigated sea level rise, including consideration of spatial resources included in published resources such as BCDC’s Adapting to Rising Tides 5) Identify areas which are at risk for environmental contamination due to rising groundwater levels (associated with sea level rise)
6) Hydrologic and hydraulic modeling to establish minimum elevations, including additional freeboard, required to address projected sea level rise for 2050 and 2100 7) Evaluate the boundaries where a zoning ordinance specific to sea level rise could be implemented
8) Planning-level analysis of proposed capital improvement projects which would achieve the minimum elevations required to address projected sea level rise for 2050 and 2100 , including identification of where coordination would be required to provide connected sea level rise defense infrastructure (for example at City boundaries and analysis of required permitting to initiate/implement the proposed projects 9) Collaborate with neighboring jurisdictions to inform regional improvements and planning-level analysis
10) Consider San Francisco Estuary Institute’s San Francisco Bay Shoreline Adaptation Atlas to identify candidate projects (if any) which could employ nature-based adaptation measures
11) Prepare a prioritized list of facilities and infrastructure which may require site -specific adaptation plans
12) Study funding and financing for implementing capital improvement projects specific to sea level rise
Following completion of these analyses, the findings and conclusions of the analysis will be summarized in a draft technical memorandum for review by the City of San Mateo and other relevant stakeholders. The technical memorandum is intended to remain in draft format, and its contents will be included as sections in the final deliverable for the climate adaptation report which is proposed as part of this grant application.

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Task Deliverables
Climate Adaptation Planning for Sea Level Rise: Technical Memorandum of Analyses

Task 3: Public Outreach
The proposed grant activities are technical in nature. Opportunities to incorporate public feedback will therefore be primarily limited to ascertaining public appetite for certain types of projects to address sea level rise and receiving feedback on areas where the public perceives sea level rise to pose the greatest threat.

Flyers and Press Releases
Flyers will be mailed to residents of the City of San Mateo, and posted at several locations around the planning area, including City Hall, Central Park, and other areas which are regularly accessed by the community. The flyers will be mailed concurrent with the Existing Conditions work, so that residents are notified of the project. The flyers will also advertise the dates of public workshops, so that community feedback is received and, where possible, incorporated into the project planning elements. An estimated 40,000 flyers will be mailed per mailing event, with one mailing event during the Existing Conditions work, and another mailing event following review and inclusion of community feedback prior to finalization of the adaptation planning report.

Press releases will also be sent to local newspaper media outlets, including the San Mateo Daily Journal and The Mercury News.

Community Meetings
Community meetings will include a presentation, and a Q&A session will be held with members of the team, including City of San Mateo. Staff anticipates community meeting presentations to introduce the project and anticipated project milestones, to present the Existing Conditions task deliverables, and review preliminary findings and possible solutions. Staff will confer with consultant to determine the number of community meetings and timing.

The field visit will be performed after the first community meeting, and will include the Project Team, members of the Steering Committee, and a select number of interested public members will also be invited.

As a reminder, these projects are technical in nature, and therefore, opportunities to incorporate public feedback are limited. The City will still include the public by keeping them informed of the progress of the project and providing informational material as the analysis progresses. The demographic of the City’s lower-lying areas are historically disadvantaged, and therefore, adaptation planning related to sea level rise addresses social equity by planning for the defense of these lower-lying areas against sea level rise.

Task Deliverables
Flyers and Press Releases
Community Meeting Materials

Task 4: Technical Advisory Committee Meetings
Staff from local jurisdictions and agencies, state agencies (including San Francisco Bay Conservation and Development Commission), conservation groups, and other relevant technical experts beyond the immediate Project Team will be invited to join a Technical City of San Mateo
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Advisory Committee (Committee). The Committee will meet three times. The Committee will provide technical guidance and feedback on development and evaluation of the proposed technical deliverables, as well as provide input on tasks which should be prioritized following the planning-level activities within this grant.

The timing of the Committee meetings is anticipated to occur 1) during development of the Request for Proposals; 2) after draft technical memoranda from Task 2 are complete; and 3) and following preparation of a draft plan (described in Task 5).

Task Deliverables
Agendas and Meeting Minutes

Task 5: Draft and Final Plan
Draft Plan
The consultants selected during the RFP process will develop a draft plan based on existing conditions and analysis. The draft plan will describe potential solutions and strategies, with incorporation of input from the public and the Advisory Committee.

Comment Period
The draft plan will be posted for comment for at least four weeks. Following the comment period, City of San Mateo staff and the consultants will review the comments, and, if appropriate, revise the draft plan to address relevant comments.

Final Plan
Following addition of any revisions performed as part of the comment period, City of San Mateo staff and its consultants will publish a final plan for climate adaptation specific to sea level rise.

As discussed in Task 2, the Final Plan will include the funding and financing analysis for implementation, and will include credit to FHWA, FTA, and/or Caltrans’ financial participation on the cover or title page. An ADA-accessible electronic copy of the final reports will also be provided to the Caltrans district office responsible for the administration and oversight of the grant.

Task Deliverables
Draft Plan
Final Plan

Task 6: Board Review/Approval
City of San Mateo staff and the respective consultants will present the completed final Climate Adaptation Planning for Sea Level Rise report to the San Mateo City Council for acceptance and/or approval. City staff and consultants will prepare materials to present to San Mateo’s City Council.

Task Deliverables
City Council agenda and staff report
Powerpoint presentations for City Council meetings

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If yes, what is the estimated indirect cost rate? ______

J A S O N D J F M A M J J A S O N D J F M A M J J A S O N D J F M A M J 01 $0 $10,000 $0 $10,000
02 $0 $10,000 $0 $10,000
1 $78,000 $10,000 $0 $88,000
2 $195,000 $13,000 $0 $208,000
3 $29,500 $3,000 $0 $32,500
4 $8,000 $1,500 $0 $9,500
5 $45,500 $2,000 $0 $47,500
6 $4,500 $500 $0 $5,000
$360,500 $50,000 $0 $410,500
California Department of Transportation
Sustainable Transportation Planning Grant Program

COST AND SCHEDULE
Grant Category Climate Adaptation Planning
Climate Adaptation Planning for Sea Level Rise
Estimated
Local
In-Kind Match*
Estimated Total
Project Cost*Task Title
FY 2024/25
FY 2024-25
Local Match Calculator (posted on-line)Use the Local Match Calculator to ensure that grant and local match amounts are correct:

Reimbursements/
Invoicing
Disclaimers
Agency commits to the Cost and Schedule below. Any changes will need to be approved by Caltrans prior to initiating any Cost and Schedule change or amendment.

Use only whole dollars in the financial information fields. No rounding up or down and no cents.

Grant Fiscal Year
City of San Mateo
Project Title
Organization
(Legal name)
Does your agency plan to use the Tapered Match approach for invoicing purposes? Draft and Final Plan
Board Review/Approval
Totals
Does your agency plan to request reimburesement for indirect costs? Technical Advisory Committee Meetings
Project Administration
(no more than 5% of total grant funds)
Consultant Procurement
Existing Conditions
Analysis
Public Outreach
FY 2025/26 FY 2026/27
Task
# Grant Amount*
Estimated
Local Cash
Match*
Yes
No
Yes
No
City of San Mateo
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Fiscal Year 2024-25

GRANT APPLICATION GUIDE
Sustainable Communities, Climate Adaptation,
and Strategic Partnerships

California Department of Transportation
Division of Transportation Planning
Sustainable Transportation Planning
Grant Program
Grant Application Deadline
January 18, 2024
Submit Applications via Smartsheet Form
City of San Mateo
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ADA Notice: For individuals wit
h 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.

Updated September 2023
City of San Mateo
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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. ..................................................................... 25 Tips for a Successful Climate Adaptation Planning Grant Application ............................. 26

5. STRATEGIC PARTNERSHIPS............................................................................................ 29 Purpose and Specific Objectives ........................................................................................... 29 Federal Planning Factors ......................................................................................................... 29 Example Project Types ............................................................................................................. 30 Eligible and Ineligible Activities and Expenses ...................................................................... 31 Tips for Successful Strategic Partnerships Grant Applications ............................................. 32

6. GRANT PROJECT ADMINISTRATIVE REQUIREMENTS .................................................... 34 Coordination with Caltrans ..................................................................................................... 34 Third Party Contracts ................................................................................................................ 34 Quarterly Reporting .................................................................................................................. 35 Integrated Climate Adaptation and Resiliency Program (ICARP) Case Studies ............. 35 Invoicing and Financial Requirements................................................................................... 36 Non-Discrimination Requirements .......................................................................................... 40 Final Product ............................................................................................................................. 41 Project Close-Out Survey ......................................................................................................... 41 City of San Mateo
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California Public Records Act ................................................................................................. 42

7. APPLICATION SUBMITTAL PROCESS ............................................................................. 43 Applicant Eligibility ................................................................................................................... 43 Early Coordination and Technical Assistance for Primary Applicants ............................... 43

7.3 Application Submittal Instructions .......................................................................................... 44

7.4 Application Supplemental Documentation ......................................................................... 45

8. APPLICATION REVIEW PROCESS .................................................................................. 46 Two-Tiered Application Review Process ................................................................................ 46 Application Evaluation/Scoring Process ................................................................................ 46 Past Performance Award Considerations ............................................................................. 46

9. APPLICATION AWARD PROCESS ................................................................................. 48 Award and Non-Award ........................................................................................................... 48 Contracting with Caltrans ....................................................................................................... 48 APPENDIX A. Guidance, Tools, and Resources for Preparing a Grant Application .... 52 Grant Program Considerations ............................................................................................................... 52 Resources to Advance Grant Specific Objectives ............................................................................... 55 APPENDIX B. Sample Application Package ................................................................... 78 APPENDIX C. Caltrans/Regional Agency Boundaries Map ........................................ 107 APPENDIX D. Caltrans District Contact List .................................................................... 108 City of San Mateo
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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 multi-modal 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 ($31.9 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 multi-modal 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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Sustainable Transportation Planning Grant Summary Chart Grant Fund Source Purpose Who May Apply Local Match
Sustainable Communities Competitive
Budget
RMRA and SHA
State funds
Approx. $17 million
Approx. $3 million set-aside
for technical projects
Approx. $500,000 set-aside
for Native American Tribal
Governments
Goal: 50% of grants should
benefit Underserved
Communities***
Grant Minimum
$50,000 for Underserved
Communities, including
Native American Tribal
Governments and rural
communities;
$100,000 for all others
Grant Maximum
$700,000
Funds 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,
address the needs of
underserved
communities, and
assist in achieving the
Caltrans Mission and
Grant Program
Objectives (See
Chapter 1.2).

The following are eligible to apply as a
primary applicant:
• MPOs with sub-applicants
• RTPAs
• Transit Agencies;
• Cities and Counties with compliant
Housing Elements and completed
Annual Progress Reports;
• Native American Tribal Governments
• Other Public Transportation Planning
Entities
The following are eligible to apply as a
sub-applicant:
• MPOs/RTPAs
• Transit Agencies
• Universities and Community Colleges
• Native American Tribal Governments
• Cities and Counties with compliant
Housing Elements and completed
Annual Progress Reports
• Community-Based Organizations
• Non-Profit Organizations (501.C.3)
• Other Public Entities**

11.47%
minimum* (in
cash or an in-
kind
contribution).

Sustainable Communities Formula
Budget
RMRA
State funds
$12.5 million
Funds 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 (See
Chapter 1.2).

The following are eligible to apply as a
primary applicant:
• MPOs

11.47%
minimum* (in
cash or an in-
kind
contribution).

* For local match requirements, refer to Chapter 6.5 of this Guide. ** Public entities include state agencies, the Regents of the University of California, district, public authority, public agency, and any other political subdivision or public corporation in the State (Government Code Section 811.2). *** For purposes of this grant program, underserved communities are the most vulnerable places that are facing disproportionate rates of economic, environmental, and health burdens, and are defined according to the tools in Appendix A.

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Grant Fund Source Purpose Who May Apply Local Match
Climate Adaptation Planning
Budget
State funds
Cycle 2: $31.9 million
total
Up to $3.9 million set-
aside for Native
American Tribal
Governments
Goal: 50% of grants
should benefit
Underserved
Communities***
Grant minimum
$100,000
Grant maximum
$1.5 million (single
organization); above
$1.5-$3 million to be
considered for
partnership applications
Funds local and
regional
identification of
transportation-
related climate
vulnerabilities
through the
development of
climate adaptation
plans, as well as
project-level climate
adaptation planning
to identify
adaptation projects
and strategies for
transportation
infrastructure.

The following are eligible to apply as a
primary applicant:
• MPOs
• RTPAs
• Transit Agencies;
• Cities and Counties
• Native American Tribal Governments
• A joint exercise of powers authority
established pursuant to Chapter 5 of
Division 7 of Title 1, with the consent of
a transportation planning agency or a
county transportation commission for
the jurisdiction in which the
transportation project will be
developed.
• A local transportation authority
created or designated pursuant to
Division 12.5 or Division 19 of the Public
Utilities Code.

The following are eligible to apply as a
sub-applicant:
• MPOs/RTPAs
• Transit Agencies
• Universities and Community Colleges
• Native American Tribal Governments
• Cities and Counties
• Community-Based Organizations
• Non-Profit Organizations (501.C.3)
• Other Public Entities**

11.47%
minimum* (in
cash or an in-
kind
contribution);
not required for
Native
American Tribal
Governments
* For local match requirements, refer to Chapter 6.5 of this Guide. ** Public entities include state agencies, the Regents of the University of California, district, public authority, public agency, and any other political subdivision or public corporation in the State (Government Code Section 811.2). *** For purposes of this grant program, underserved communities are the most vulnerable places that are facing disproportionate rates of economic, environmental, and health burdens, and are defined according to the tools in Appendix A.

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Strategic Partnerships
Budget
FHWA
SPR, Part I
Federal funds
$1.5 million
Grant Minimum
$100,000
Grant Maximum
$500,000
Funds transportation
planning studies in
partnership with
Caltrans that
address the regional,
interregional, and
statewide needs of
the State highway
system, and also
assist in achieving
the Caltrans Mission
and Grant Program
Objectives (See
Chapter 1.2).

The following are eligible to apply as a
primary applicant:
• MPOs
• RTPAs
The following are eligible to apply as a
sub-applicant:
• MPOs/RTPAs
• Transit Agencies
• Universities and Community Colleges
• Native American Tribal Governments
• Cities and Counties
• Community-Based Organizations
• Non-Profit Organizations (501.C.3)
• Other Public Entities**
20% minimum*
(in non-federal
funds or an in-
kind
contribution).

Strategic Partnerships – Transit
Budget
FTA Section 5304
Federal funds
$3 million
Grant Minimum
$75,000 for rural RTPAs;
$100,000 for MPOs
Grant Maximum
$500,000
Funds multi-modal
planning studies,
with a focus on
transit, in partnership
with Caltrans, of
regional,
interregional and
statewide
significance, and
also assist in
achieving the
Caltrans Mission and
Grant Program
Objectives (See
Chapter 1.2)
The following are eligible to apply as a
primary applicant:
• MPOs
• RTPAs
The following are eligible to apply as a
sub-applicant:
• MPOs/RTPAs
• Transit Agencies
• Universities and Community Colleges
• Native American Tribal Governments
• Cities and Counties
• Community-Based Organizations
• Non-Profit Organizations (501.C.3)
• Other Public Entities**

11.47%
minimum* (in
non-federal
funds or an in-
kind
contribution).
* For local match requirements, refer to Chapter 6.5 of this Guide. ** Public entities include state agencies, the Regents of the University of California, district, public authority, public agency, and any other political subdivision or public corporation in the State (Government Code Section 811.2).

Grant Fund Source Purpose Who May Apply Local Match
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Grant Program Objectives and Considerations
Successful grant applications address and articulate how the project relates to the Caltrans Mission, Grant Program Objectives, and Grant Program Considerations. The Grant Specific Objectives identified in Chapters 2.1, 3.1, 4.1 and 5.1 indicate the specific purpose of the Sustainable Communities, Climate Adaptation, and Strategic Partnership transportation planning grants, respectively, and must also be considered when preparing an application.

Grant Program Objectives
The following Grant Program Objectives are focused on achieving the Caltrans Mission and are intended to inform application development, including:

Objective Description
Sustainability
Promote reliable and efficient mobility for people, goods, and services, while meeting the State’s GHG em
ission reduction goals, preserving the State’s natural
and working lands, and preserving the unique character and livability of California’s communities.

Preservation
Preserve the transportation system through protecting and/or enhancing the environment, promotin
g energy conservation, improving the quality of life, and/or promoting consistency between transportation improvements and State and local planning growth and economic development patterns.

Accessibility Increase the accessibility of the system and mobility of people, inclusive of older adu
lts, those with disabilities, and freight.

Safety
Prioritize the elimination of fatal and serious injury crashes and enhance safe use of our roadways through t
he Safe System approach to realize a vision of zero road fatalities and serious injuries by 2050.

Innovation
Promote the use of technology and innovative designs to improve the performance and social equity of o
ur transportation system and provide sustainable transportation options.

Economy
Support the economic vitality of the area (i.e., enables global compet itiveness, enables increased productivity, improves efficiency, increases economic equity by enabling robust economic opportunities for individuals with barriers to employment and for Disadvantaged Business Enterprise (DBE), etc.).

Health
Decrease exposure to local pollution sources, reduce serious injuries and fatalities on the transportation
system, and promote physical activity across the lifespan, inclusive of those with disabilities, especially through transportation means.

Social Equity
Promote transportation solutions that focus on and prioritize the needs of underserved communities
most affected by poverty, air pollution and climate
change, and promote solutions that integrate community values with transportation safety and performance while encouraging meaningful public involvement in the transportation decision making process.

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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 an d 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:
 Safety first
 Cultivate excellence
 Enhance and connect the multimodal transportation network  Strengthen stewardship and drive efficiency
 Lead climate action
 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:
 Defines a vision for the future transportation system, establishes new statewide priorities, and guides Caltrans and partner agencies in implementing its recommendations
 Identifies strategies and policies that are required to make transparent and transformational transportation decisions  Recognizes the unique transportation needs and interests of urban, suburban, rural, and Tribal communities
 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 regional transportation plans (RTP) 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:
 Interregional Transportation Strategic Plan
 California Freight Mobility Plan
 California State Rail Plan
 California State Bicycle and Pedestrian Plan
 Statewide Transit Strategic Plan
 California Aviation System Plan
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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.

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 greenhouse gas (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.

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. Competitive grant applications will discuss how proposed pro jects consider climate resilience and align with the California Climate Adaptation Strategy.

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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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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.

Approximately $500,000 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 underserved 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 underserved 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 underserved 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, City of San Mateo
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address how the proje
ct encourages local and regional multimodal transportation and land use planning that advances sustainability
• 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 2017 RTP Guidelines • Address the needs of underserved 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 Underserved 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
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Corridor and Freight
• Comprehensive Multimodal Corridor Plans
• Corridor enhancement studies
• Studies or plans related to zero emissions vehicle goods movement • 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 underserved communities
• 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 underserved communities, and minimizes displacement
• Outreach to educate underserved 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 underserved communities Integrated Housing, Land Use, and Transportation
• Studies, plans or planning methods that assist transportation agencies in creating sustainable communities and transit-oriented development
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• SCS/APS development
• St
udies 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 or zoning code that increases development opportunities around key transportation corridors or nodes • 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 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
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• Data collection/data s
haring 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
• Studies or plans that evaluate commuter rail or multi-modal 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 200.436
2 provides the criteria for depreciation.
• Community surveys, meetings, public workshop room rental, charrettes, focus groups • Virtual outreach activities and on-line meetings
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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• Bilingual services for int
erpreting and/or translation services for meetings
• Community/stakeholder advisory groups
• Light snacks and refreshments for public workshops (no full meals), subject to Caltrans approval
• 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 (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, e.g., full meals, prizes, freebies, promotional/marketing items, stipends
• 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 underserved communities, including Native American Tribal Governments and rural communities
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• Encourage stakeholder collaboration
• Involve active community engagement
• 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 underserved community engagement, overall public engagement, and stakeholder involvement. Although the general public and underserved 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 Underserved communities engagement will explain how the project will go above and beyond business as usual or what is statutorily required to address the specific needs of underserved 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 underserved communities. The tools in Appendix A are intended to help applicants define an underserved 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.

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• 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:

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, 2021 and 2022.
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 point s 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.

IMPORTANT TIPS:
 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, 2021
and 2022.

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Community Engagement
• Refer to Appendix A for Community Engagement Best Practices. • 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, underserved 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 that will be utilized, considering
the current COVID-19 environment.
• 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.
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:
 Helps to implement the
RTP SCS/APS and/or State
priorities
 Involves a coordinated
approach to integrating
land use and
transportation in all phases
of project planning and
implementation.

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o Describe how the projec
t 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 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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3. SUSTAINABLE COMMUNITIES FORMULA
$12.5 million will be distributed to the MPOs on a formula basis. The formula funds for the MPOs will reflect the same formula used to distribute Federal Highway Administration (FHWA) Metropolitan Planning PL funds.

The FHWA PL formula has three components:

1. A base allocation

2. A two-part population component which distributes funds by the proportion of the total population of each MPO based on California Department of Finance estimates each January

3. An Air Quality component based on the proportion of federal Congestion Mitigation Air Quality funds to total programmatic FHWA PL funds
Purpose and Specific Objectives
The purpose of the Sustainable
Communities Formula 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
(See Chapter 1.2).

The specific objectives,
eligibility requirements, and
performance considerations for the Sustainable Communities Formula Grants awarded to MPOs are consistent with the Sustainable Communities Competitive Grants.

The intent of the Sustainable Communities Formula Grants is to carry out the objectives of the region’s RTP SCS/APS (where applicable) and the RTP Guidelines Appendices K and L. In addition, MPOs are strongly encouraged to administer Sustainable Communities Formula funding in a transparent manner and maintain non-profit eligibility, consistent with the legislative intent of SB 1 - The Road Repair and Accountability Act of 2017.

The intent of the Sustainable
Communities Formula Grants is to
carry out the objectives of the
region’s RTP SCS/APS (where
applicable) and the RTP Guidelines
Appendices K and L.

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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, 2024, 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 Overall Work Program (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 2024-24 OWP and sending a list of activities using the provided template to Caltrans, no later than March 1, 2024. 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 Objective s 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:
 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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Eligible and Ineligible Activities and Expenses
Refer to Chapter 2.3 for eligible and ineligible activities and expenses.

Formula Grant Allocation Estimates
The following funding table estimates how formula funds may be distributed to each MPO, contingent upon meeting the minimum eligibility criteria:

Sustainable Communities Formula Grants
Metropolitan Planning Organization Total Formula Grant Allocation
Tahoe Metropolitan Planning Organization $160,750
Madera County Transportation Commission $164,209
Kings County Association of Governments $162,943
Shasta Regional Transportation Agency $163,172
Butte County Association of Governments $180,569
Merced County Association of Governments $197,424
San Luis Obispo Council of Governments $195,962
Tulare County Association of Governments $246,944
Santa Barbara County Association of Governments $224,579 Stanislaus Council of Governments $291,053
San Joaquin Council of Governments $341,671
Kern Council of Governments $374,899
Association of Monterey Bay Area Governments $315,267
Fresno Council of Governments $407,484
Sacramento Area Council of Governments $774,991
San Diego Association of Governments $1,021,553
Metropolitan Transportation Commission $2,106,140
Southern California Association of Governments $5,170,390 Total $12,500,000

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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. 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 ($31.9 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 greenhouse gas 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 (See Appendix A. for IPCC report). Many impacts, such as increased wildfires, droughts, landslides, rising sea levels, floods, severe storms, heat waves, and impacts to wildlife, are alre ady 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 th e 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 study 4 page. The current funding in this
program aims to build upon the successful SB 1 program to further advance transportation adaptation planning.
4 Adaptation Clearinghouse’s case study website: https://resilientca.org/challenges/ City of San Mateo
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Equity, including regiona
l representation, will be considered when awarding projects. A minimum threshold of 50 percent of the funds has been identified for projects that benefit underserved 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 underserved 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 underserved 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 10% of the funds ($3.9 remaining) 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 vulnerabilities 5 to climate change impacts. • Identify adaptation strategies and specific actions to remedy identified climate -related vulnerabilities, including short-, medium-, and long-term strategies that will address the overall risk for the entire service life of the asset or capital project 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 underserved communities, including transit-dependent populations. • 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, or reductions in greenhouse gas emissions. Projects prioritizing nature-based solutions through natural and green infrastructure planning and adaptation strategies will be prioritized. 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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• Consistency with priorit
ies 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)

• Planning for extreme weather events, which could include:
o Evacuation planning.
o Identifying communities and individuals with inadequate access to transportation options (e.g., survey to determine number and location of transit dependent residents).
o Planning for increased transportation options (e.g., multimodal) in evacuation corridors.
o Planning for roadway warning systems for extreme weather events. 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 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.

• 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:
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.)

• Technical feasibility studies required to advance project-level adaptation planning, for instance coastal hazards analysis at a potential adaptation project location, or a precipitation study that incorporates future climate risk.

• Technical assistance projects for under-resourced and climate vulnerable communities to perform climate adaptation planning.

• Development of educational resources, trainings and workshops for local jurisdictions and transportation service providers on any of the above listed adaptation planning activities.

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
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• Project-specific staffing
• W
eb application development and dashboard
• Light snacks and refreshments for public workshops (no full meals), subject to Caltrans approval
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
• Regional Transportation Plans (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, e.g., “Stuff We All Get” (SWAG), full meals, prizes, freebies, promotional/marketing items, stipends
• 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.

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• 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 developin g a conceptual design.
• Identify and address deficiencies in the multimodal transportation system, including the needs of environmental justice and underserved 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 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 underserved community engagement, overall public engagement, and stakeholder involvement. Although the general public and underserved 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 Underserved communities' engagement will explain how the project will go above and beyond business as usual to address the specific needs of underserved 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 City of San Mateo
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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, will be distributed through a competitive program to MPOs and RTPAs. 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 (SHS), 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

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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
• Studies that evaluate transportation issues involving ground access to international borders, seaports, airports, intermodal facilities, freight hubs, and recreational sites • Development of planning activities intended to result in investment in sustainable transportation projects
• Enhanced tools to capture GHG benefits of Operations and System Management projects • Integration of transportation and economic development • Planning for sustainable freight
• Planning for transportation safety
• 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
Example Project Types - Strategic Partnerships Transit
• Identification of policies and procedures to integrate transit into the transportation system and planning process
• Statewide transit planning surveys and research
• Identification of policies, strategies, and programs to preserve transit facilities and optimize transit infrastructure
• Projects that evaluate accessibility and connectivity of the multi-modal transportation network
• Transit technical planning studies to optimize system performance • Studies or plans that evaluate commuter rail or multi-modal connectivity • Studies or plans that evaluate first and last mile transit connectivity City of San Mateo
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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
• 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 200.436
8 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
• 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
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 City of San Mateo
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• Program or project im
plementation
• 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, e.g., full meals, prizes, freebies, promotional/marketing items, stipends
• 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 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 City of San Mateo
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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 proc urement procedures must always be used.

Grantees may use their agency’s procurement procedures as long as 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 into 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 the Local Assistance Procedures Manual, Chapter 10, 10 and the terms of the agreement with Caltrans. All documentation of third-party contract procurements must be retained, and copies of 9 California State Contracting Manual Volume 1, Chapter 5, 2018, https://www.dgs.ca.gov/OLS/Resources/Page-Content/Office-of-Legal-Services-Resources-List- Folder/State-Contracting
10 Caltrans Local Assistance Procedures Manual, Chapter 10, 2020, https://dot.ca.gov/programs/local-assistance/guidelines-and-procedures/local-assistance- procedures-manual-lapm
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all agreements must be
submitted to Caltrans. For more information on third party contracting, visit the State Contracting Manual and the Local Assistance Procedures Manual Websites.

Quarterly Reporting
Quarterly Progress Reports (QPR) are required to be submitted for each State FY quarter after the grant recipient has received a Notice to Proceed letter. The table below illustrates the State FY timeframes for submitting the QPR to Caltrans district staff.

For MPOs and RTPAs, the progress and expenditure of each awarded grant project must be included as part of the OWP Quarterly Progress and Expenditure Report. If this method of reporting is not adequately satisfied, Caltrans staff will require separate quarterly reports for each awarded grant project.

All other primary grant recipients shall submit progress reports every quarter for each awarded grant project. Caltrans district staff will provide the brief report form and due dates.

Integrated Climate Adaptation and Resiliency Program (ICARP) Case Studies
Caltrans and the Governor’s Office of Planning and Research are sharing the lessons learned from this grant opportunity to inform other existing or new state grant programs. To this end, Climate Adaptation Planning primary grant recipients will prepare a final case study/write -up upon grant completion to be included in the ICARP Clearinghouse (described in Appendix A., Pages 70 -71), which was developed to share information, resources, and case studies with local and regional jurisdictions. Previous case studies can be found on the ICARP Case Study website

11. These case
studies will be used to develop guidance for adaptation work in the future. Caltrans will share progress reports with the ICARP Technical Advisory Council at regular intervals.

Climate Adaptation Planning grant recipients are also invited and encouraged to request technical assistance support from the ICARP program, including bringing key challenges or lessons learned to the Technical Advisory Council for their input. Caltrans staff will provide ICARP contact information upon request.

Final Case Study Requirements:
• Include images and GIS files of maps, when applicable • Emphasize processes or results that can be adapted or replicated for use in multiple jurisdictions or in various parts of the state
• Document the underserved community’s involvement throughout the entire process of the proposed project and tools used to capture this information

11 ICARP Case Study website: https://resilientca.org/case-studies/ Quarterly Progress Report Timeframes
Quarter 1 Quarter 2 Quarter 3 Quarter 4
July – September October – December January – March April – June City of San Mateo
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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. 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 grant project tasks/activities require a grant amount and a local match, except a grant amount for administrative Tasks 01, 02 is 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.

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Local Match Sources
• Sustainable Communities Competitive and Technical
Federal toll credits, FHWA PL, and FTA Section 5303, and Sustainable Communities Formula are ineligible match sourc
es; otherwise, any source of funds may be used if the proposed grant work is an eligible activity for the local match fund source. • Sustainable Communities Formula
Federal toll credits ar
e 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 sour
ces; 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 Partnersh
ips 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 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 specifi c 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
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 City of San Mateo
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The Third-Party In-Kind Va
luation 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 grant request of $300,000. Applicants must use the Local Match Calculator 13 to ensure the correct
amounts are reflected on the Grant Application Cover Sheet and the Cost and Schedule.

Minimum Local Match Requirements (Percentage of Total Project Cost) Grant Program Grant Request Local Match Total Project Cost Sustainable Communities,
Climate Adaptation
Planning, and Strategic
Partnerships –Transit

88.53%
Example: $300,000

11.47%*
Example: $38,868
100%
Example: $338,868
Strategic Partnerships
80%
Example: $300,000
20%
Example: $75,000
100%
Example: $375,000
*Climate Adaptation Planning local match is not required for Native American Tribal Governments.

Indirect and Direct Costs
Direct costs are those costs that can be identified specifically with a particular final cost objective , such as a state award, or other internally or externally funded activity, or that can be directly assigned to such activities relatively easily with a high degree of accuracy. Costs incurred for the same purpose in like circumstances must be treated consistently as either direct or indirect costs, also known as facilities and administrative costs or overhead costs.

Indirect Costs are costs that are incurred for a common or joint purpose. These costs be nefit more than one cost objective and cannot be readily identified with a particular final cost objective. 13 Local Match Calculator posted on-line at (will download as MS Excel spreadsheet):
https://dot.ca.gov/programs/transportation-planning/division-of-transportation-planning/regional- and-community-planning/sustainable-transportation-planning-grants City of San Mateo
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Reproduction costs, co
mputer purchase, and office supplies are considered indirect costs, unless they are tied to a specific task or activity then they are considered direct costs.

Indirect Cost Allocation Plan/Indirect Cost Rate Proposal If a grantee, including sub-recipients and third-party
contractors/consultants, are seeking reimbursement of
indirect costs, they must submit an Indirect Cost
Allocation Plan (ICAP)or an Indirect Cost Rate Proposal (ICRP) to Caltrans. Submissions should be sent to
Caltrans Internal Audits Office (CIAO) or Independent
Office of Audits and Investigations (IOAI).

CIAO is responsible for the review and approval of
government entities and non-profits ICAP submissions.

IOAI is responsible for the review and approval of for
profit (Consultant) ICAP submissions. Consultants submit their ICAPs only when they are initially included in the contract and not on an annual basis.

An ICAP or ICRP must be prepared and submitted
yearly in accordance with 2 CFR, Part 200. Indirect costs may be sought for reimbursement only after the grantee has received ICAP/ICRP approval from CIAO. For guidance on the ICAP/ICRP submission process, visit Caltrans Internal Audit Office 14 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 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

IMPORTANT NOTE
 Applications must include
the estimated indirect cost
rate on the Cost and
Schedule.

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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
• 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.

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. 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 website
18 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. 17 Caltrans Travel Guide, 2020, https://dot.ca.gov/programs/accounting/travel -guide 18 Caltrans, Title IV of the Civil Rights Act of 1964, 2020, https://dot.ca.gov/programs/civil-rights/title-vi
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Grant recipients of fed
eral 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 Regional Planning websit e.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 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.
19 Office of Regional Planning, Disadvantaged Business Enterprise, 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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California Public Records Act
All applications are subject to the California Public Records Act of 1968 21. 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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7. APPLICATION SUBMITTAL PROCESS
The Sustainable Transportation Planning Grant Program is highly competitive. This section provides applicants with supplemental information as well as details on required documents that must accompany an application at the time of submittal. All applicants are strongly encouraged to adhere to these requirements in order to score competitively during the application evaluation process.

Applicant Eligibility
Primary applicants must have statutory authority to conduct transportation/transit planning for their jurisdiction. Generally, the local and regional agencies have this specific authority. Native American Tribal Governments must be Federally recognized to be eligible. Refer to the public entity’s bylaws to find this information.

Early Coordination and Technical Assistance for Primary Applicants
Sub-applicants are encouraged to work far in advance of the application deadline with the appropriate primary applicant to coordinate application development. It is also beneficial for sub-applicants to be informed of the appropriate primary applicant pr ocess and schedule, as they may differ slightly from those of Caltrans. RTPAs residing within MPO boundaries should also coordinate application development with the MPO, as it is critical to ensure that proposed studies align with the RTP SCS/APS for the entire MPO region and do not duplicate efforts being applied for or already awarded to the MPO.

Caltrans district staff (See Appendix D) are available during the application period to answer questions and help interested groups complete their applications.

For questions specific to the Grant Application Guide, applicants are also welcomed to contact:

Application Guide
Technical Assistance Contacts
Sustainable Communities and
Strategic Partnerships
Grant Management Branch
Caltrans Division of Transportation Planning
Office of Regional and Community Planning
Email: [email protected]
Climate Adaptation Planning
Julia Biggar, Climate Change Branch Chief
Calt
rans Division of Transportation Planning
Office of Air Quality and Climate Change
Email: [email protected]
Questions about Housing
Element Compliance for
Sustainable Communities
Competitive and Technical
Paul McDougall
Department of Housing and C
ommunity Development
Email: [email protected]
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7.3 Application Submittal Instructions
The Grant Application Guide, Application forms, and required templates are available on the Caltrans Sustainable Transportation Planning Grant Program website, at:
https://dot.ca.gov/programs/transportation-planning/division-of-transportation-planning/regional- and-community-planning/sustainable-transportation-planning-grants • All grant application packages are required to be submitted via Smartsheet • Smartsheet features work better with Google Chrome browser • Smartsheet progress cannot be saved. To avoid issues, follow these instructions:

1. Complete the Application Cover Sheet in MS Word

2. Copy and paste the Application Cover Sheet fields into the Smartsheet form

3. Have the PDF attachment ready to upload into the Smartsheet form • An agency may only submit one application package per Smartsheet submittal . • An application cannot be submitted to more than one grant category. • The required items outlined on the Grant Application Checklist in Appendix B must be submitted as a single PDF document (not to exceed 25MB); if awarded, original formats will be requested.
• All application documents must list the applicant’s legal name. • A confirmation of receipt can be sent via Smartsheet if the applicant checks the box to receive a copy of the submittal.

Submit applications via Smartsheet Form no later than
THURSDAY, JANUARY 18, 2024 BY 5:00 P.M.

Hard copies will not be accepted and late applications will not be reviewed.

Caltrans anticipated award announcements: Summer 2024
Caltrans district staff are available during the application period to answer questions and help interested groups complete their applications. Refer to Appendix D. Caltrans District Contact List for contact information.

Download the latest version of Adobe Reader DC ® to complete the application form. This version of Adobe is available free of charge.

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7.4 Application Supplemental Documentation
The following documents are not required, but enhance the overall application and typically result in a more competitive application during the evaluation process:

Letters of Support
If submitted, letters of support must be included with the application package. Letters received separate from
the application package may not be considered. The
letters should be addressed to the applicant. Such
letters can come from community-based organizations,
local governments, regional governments, Native
American Tribal governments, service agencies, and
elected officials.

Graphics
Clearly labeled photographs, maps, planning diagrams,
land use or design illustrations, or other relevant graphic representations of the proposed project area convey
existing conditions and help to further explain the need for the grant and the priority of the proposed planning project with respect to community need. Please ensure
that graphics include a text description to provide
context.

Safety Data
Statistical data such as pedestrian-vehicle injuries/crashes or fatalities resulting from lack of safe infrastructure, or other road conditions that contribute to possible injuries. This information may be obtained from police reports, transit agencies, National Highway Traffic Administration, or the Governor’s Highway Safety Association.

Travel Mode Data
Data on mode share, commute patterns, accessibility for low-income and underserved populations, access to job centers, or other data to show the need and potential for mode shift to non-auto transportation modes.

Other Data
As applicable, to indicate the need and potential for reducing VMT and GHG, where available.

The following documents
are not required, but
enhance the overall
application and typically
result in a more
competitive application
during the evaluation
process:
• Letters of Support
• Graphics
• Safety Data
• Travel Mode Data
• Other Data
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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
• Untimely invoice submittals
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• Excessive balances and consis
tently 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 award 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 2024-25. The project start date depends on the method of contracting with Caltrans .

MPOs and Rural 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 2024-25 OWP within 90-days of receiving the signed FY 2023-24 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 2024-25 OWP and satisfy specific grant conditions before the first FY 2024-25 OWP amendment. MPO/RTPAs can anticipate starting their projects in November 2024, 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 the Caltrans Office of Regional and Community Planning (i.e., cities, counties, transit agencies, Tribal Governments), Caltrans will contract directly with the primary grantees through the Restricted Grant Agreement (RGA) process. For grantees City of San Mateo
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that undergo the RG
A contracting process, work may begin as early as November 2024, assuming the grantee has received a fully executed contract and Caltrans district staff send a formal Notice to Proceed which allows grantees to begin work.

Estimated Project Start/Expiration Dates
It is important for applicants to reflect the estimated project start date in the Scope of Work and Cost and Schedule. Project Timeline constraints for both methods of contracting with Caltrans are provided below. Grantees must consider these dates when developing the Scope of Work and Cost and Schedule:

Master Fund Transfer Agreement Project Timeline (MPOs/RTPAs Only) November 2024 • Anticipated start date
June 30, 2027
• Grant project end/expiration dat e
• Reimbursable work must be completed
• Grant extensions are only allowed for extenuating circumstances and may require a formal Overall Work Program (OWP) amendment
August 30, 2027
• All Final Request for Reimbursements for must be submitted no later than 60 days after the end of the fiscal year to coincide with the submission of the OWP Final Expenditure Report.

Restricted Grant Agreement Project Timeline (Non-MPO/RTPAs) November 2024 • Anticipated start date
June 30, 2027
• Grant project end/expiration d ate
• Reimbursable work must be completed
• Grant extensions are only allowed for extenuating circumstances and require a formal amendment.

August 30, 2027
• Final Request for Reimbursements and final products mu st be submitted to Caltrans for approval and reimbursement. This allows Caltrans sufficient time to comply with the State Controller’s Office payment requirements.

Native American Tribal Governments
Native American Tribal Governments have the following options for contracting with Caltrans:
(1) Contracting with Tribes Directly – The authority Caltrans uses to contract with tribes directly comes from California Streets and Highways Code section 94. Caltrans requires tribes to provide a limited waiver of sovereign immunity that is very specifically limited in scope and in time to only apply to the grant contract itself (and to any possible audits). The RGA boilerplate template for Native American Tribal Governments is available upon request to help weigh the options for contracting with Caltrans.
(2) Partnering with a Regional Agency – Another mechanism for contracting with Caltrans is to collaborate with an MPO or RTPA. Caltrans can pass through grant funding to tribes for City of San Mateo
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planning projects where
options or time are limited. This option uses the three-part contract, MFTA/OWP/OWPA, and is usually the quickest option to allow planning projects to get started. (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
• 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.

The CTP does not contain projects, but policies and strategies required to close the gap between what the regional transportation plans (RTP) 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
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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/multi- modal-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 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/program s/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

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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
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

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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 greenhouse gas (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 organize d 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/
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 Underserved 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

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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 ensu re 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 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_march2020_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
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Advance Transportation Related GHG Reduction Project Types/Strategies CARB 2017 Climate Change Scoping Plan, Appendix C
The California Air Resources Board (CARB) adopted the 2017 Climate Change Scoping Plan Update which includes Appendix C, Vibrant Communities and Landscapes – A Vision for California in 2050, 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 CARB 2017 Climate Change Scoping Plan (Appendix C) also includes Potential State-Level Strategies to Advance Sustainable, Equitable Communities and Reduce Vehicle Miles of Travel (VMT) which outlines a list of potential additional strategies that the State could pursue to help achieve further VMT reduction, support local and regional actions already underway, and advance multiple additional goals.

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 2017 Climate Change Scoping Plan, Appendix C:
https://ww2.arb.ca.gov/sites/default/files/classic//cc/scopingplan/2030sp_appc_vmt_final.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 greenhouse gas emissions through coordinated transportation, housing, and land use planning.

Under the Sustainable Communities Act, the California Air Resources Board (CARB) sets regional targets for greenhouse gas 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 a Sustainable Communities Strategy/Alternative Planning Strategy (SCS/APS), as an integral part of its regional transportation plan, 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 Sustainable Communities Strategy/Alternative Planning Strategy, 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

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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 greenhouse gas emissions.” When implemented, “traffic congestion shall not be considered a significant impact on the environment” within California Environmental Quality Act (CEQA) transportation analysis. The CEQA guidelines have since established Vehicle Miles Traveled (VMT) as one of the measures of transportation- related environmental impact, beginning December of 2018. A key element of transportation analysis under the new guidance is forecasting induced vehicular travel.

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, including those found on the Caltrans SB 743 implementation website, and refer to the example below. Refer to the Caltrans Traffic Analysis Framework for a detailed list of recommended standards for improved forecasting of induced vehicular travel.

Examples 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
SB 743: http://leginfo.legislature.ca.gov/faces/billNavClient.xhtml?bill_id=201320140SB743 Caltrans SB 743 Implementation: https://dot.ca.gov/programs/sustainability/sb-743 Addressing the Needs of Underserved Communities
Caltrans encourages eligible applicants to apply for Sustainable Communities Competitive Grants to address transportation needs and deficiencies in underserved communities. Supporting planning projects that benefit a underserved community is a priority; therefore, a minimum threshold of 50 percent of Sustainable Communities Competitive Grants has been identified for projects that benefit underserved 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 underserved communities definitions include:
• Rural communities of 50,000 or less and outside of urbanized areas • Native American Tribal Governments
• Regionally/locally defined underserved communities
• At or below 80% Assembly Bill 1550 (Gomez, Chapter 369, Statutes of 2016) • At or above 75% Calif ornia 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) City of San Mateo
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Grant applicants are requ
ired to provide a justification in
their grant application for how the project area meets the definition of an underserved 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.

Regionally and/or Locally Defined Underserved
Communities
Regionally and/or locally defined underserved
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 underserved 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 stu dents who are eligible for FRMP. FRPM data are collected annually and can also be used to assist Sustainable Communities applicants to define their underserved 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

IMPORTANT
INFORMATION:

Grant applicants are required
to provide a justification in their
grant application for how the
project area meets the
definition of underserved
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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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)
The California Healthy Places Index (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. 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 the 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. under Public Health Resources, CDPH Climate Change and Health Vulnerability Indicators for more information.).
https://healthyplacesindex.org/
Understanding the HPI Score
The 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 underserved for purposes of qualifying for the minimum threshold of 50 percent for underserved 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.

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These HPI tools can be acces
sed at:

Live Map: https://map.healthyplacesindex.org/
HPI Learning Center: https://www.healthyplacesindex.org/learning-center HPI Examples
Indicator HDI Percentile How will the project improve this health challenge? Policy Action Area (Composite) Scores
Neighborhood Percentile ranking of
all neighborhood-
related indicators
Demonstrate how this plan will address health and
transportation challenges related to neighborhood
indicators (park access, supermarket access, retail
density, alcohol availability and tree canopy)
Transportation Percentile ranking of
all transportation
indicators
Demonstrate how this plan will address health and
transportation challenges related automobile access
and active commuting
Individual Indicators
Automobile Access XX percent Describe how plan will increase and improve transportation access to vital destinations, goods and
services for those without auto access.

Active Commuting XX percent Describe how the plan will improve transportation options for those without a car, specifically regarding active commuting by foot, bike, and transit in the
project area.

Park Access XX percent Demonstrate how project will improve transportation access to parks/ open space.

For more information on the HPI, including how to calculate a score for your project area and suggested project types for improving public health, visit https://healthyplacesindex.org/ .

Senate Bill 1000 (Leyva, Chapter 587, Statutes of 2016) SB 1000 requires local jurisdictions to develop environmental justice elements in their next G eneral Plan updates. Specifically, the environmental justice element, or the environmental justice goals, policies, and objectives in other elements, must be adopted or reviewed upon the adoption or next revision of 2 or more elements concurrently on or after January 1, 2018. Grant applicants are encouraged to describe efforts to comply with this new general plan requirement. https://leginfo.legislature.ca.gov/faces/billNavClient.xhtml?bill_id=201520160SB1000 California Environmental Justice Alliance SB 1000 Toolkit The California Environmental Justice Alliance SB 1000 Toolkit may help applicants describe their efforts to include the Environmental Justice element in their general plan updates. https://caleja.org/2017/09/sb-1000-toolkit-release/
Governor’s Office of Planning and Research (OPR) General Plan Guidelines Senate Bill 1000 Technical Advisory
The OPR General Plan Guidelines for Senate Bill 1000 provides guidance for determining whether an Environmental Justice element or equivalent is required in a local jurisdiction, including City of San Mateo
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identifying the location
of disadvantaged communities (as defined in Gov. Code, § 65302, 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 2017 RTP Guidelines, Appendices K and L, for best practices in addressing displacement of low income and underserved 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 underserved 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 underserved 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 underserved 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.

SB 350: https://leginfo.legislature.ca.gov/faces/billNavClient.xhtml?bill_id=201520160SB350 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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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 underserved 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 CDPH Climate Change and Health Profile Reports (CHPRs)
The CDPH Climate Change and Health Profile Reports 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 City of San Mateo
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risks, and local population
s 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 the Integrated Transport and Health Impact Model (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 California Health in All Policies (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://sgc.ca.gov/programs/healthandequity/hiap/approach.html

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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 underserved 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:

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 Pilots 24 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 Program
26, (2) City of Portland, Oregon, Pricing
Options for Equitable Mobility Project27, and North Carolina’s Transit Equity Campaign 28. • Refer to Greenlining Institute’s Six Standards for Equitable Investment 29 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 Mobility 30, 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 Spectrum 31.

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 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/ City of San Mateo
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and the community. Du
ring 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. • Involve local health departments which can assist in reaching community-based organizations and underserved and vulnerable community members. • Collaborate with underserved and vulnerable communities to design and implement programs, plans and policies. Robust engagement of underserved 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, underserved 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.).

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 Public engagement has adapted to the COVID-19 pandemic with surprising results . Applicants will need to consider how to conduct public outreach and engagement during these times. 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 City of San Mateo
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for public outreach, inclu
ding diverse and underserved communities, during the COVID-19 pandemic.
https://youtu.be/k2dPVqhIwvc
• 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 2
nd 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 innova tive 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

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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.

Housing Element Compliance
To support planning for housing California’s growing population, the State 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:
o Housing element requirements, see the HCD Building Blocks website at https://www.hcd.ca.gov/planning-and-community-development/housing- elements/building-blocks
o Adopted housing element requirements, see the “Housing Element Process” section at https://www.hcd.ca.gov/planning-and-community-development/housing-elements o 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
o 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
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Vehicle Miles Traveled (V
MT) 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.

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 promot e 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 City of San Mateo
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San Mateo City CouncilFebruary 3, 2025

San Mateo City Council
February 3, 2025