HomeMy WebLinkAbout10-16-2018 Item 10 - Climate Change Grant Application Meeting Date: 10/16/2018
FROM: Robert Hill, Interim Deputy Director, Office of Sustainability
Prepared By: Chris Read, Sustainability Manager
SUBJECT: CLIMATE CHANGE GRANT APPLICATION
RECOMMENDATION
Authorize staff to submit an application, in coordination with the Local Government
Commission, for the Caltrans SB1 Adaptation Planning Grant in the amount of approximately
$700,000.
DISCUSSION
Background
In June of 2017, the City Council adopted the 2017-2019 Financial Plan, which identifies
Climate Action as a Major City Goal (MCG). Staff continues to look for grant support to
implement the actions in the MCG, including implementing greenhouse gas (GHG) emissions
reduction measures, building staff and community technical capacity, and updating the City’s
2012 Climate Action Plan.
The MCG primarily focuses on reducing GHGs. However, another important component of
climate action is preparing the City and the community to adapting to and becoming resilient to a
changing climate. Due to several triggering requirements, the City will be updating the Safety
Element of the General Plan in late 2019 or early 2020. The Safety Element typically focuses on
planning for traditional natural and human made hazards and disasters, however, state law
requires that the Safety Element also address issues related to the impacts of climate change.
Given the substantial time that is required to apply for a grant, receive the grant, and conduct a
competitive procurement process to hire a consultant to implement the grant’s work program,
staff has been proactively looking for grants to assist with the climate change component of the
Safety Element update.
This Council Agenda Report describes and requests approval to submit to the Caltrans SB1
Adaptation Planning Grant to provide comprehensive support fo r the climate change components
of the Safety Element update.
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Caltrans SB1 Adaptation Planning Grant
On April 28, 2017, Governor Edmund G. Brown Jr. signed into law Senate Bill (SB) 1 - The
Road Repair and Accountability Act of 2017, a transportation fu nding bill that provides a
reliable source of funds to maintain and integrate the State’s multimodal transportation system.
Per Section 16321 of the bill, $20 million in climate change adaptation planning grants have
been allocated to local and regional agencies for adaptation planning. Of the $20 million for
climate change adaptation, $7 million dollars were allocated for the Fiscal Year (FY) 2017 -18
grant cycle, $7 million dollars are available in 2018-19, and $6 million dollars will be available
in 2019-20.
In August of 2018, Local Government Commission (LGC) and City staff began evaluating the
potential of SB1 funding to meet portions of the City’s expected Safety Element Update needs.
After confirming the value of an SB1 grant award for the City’s pla nning efforts, staff worked
closely with LGC to develop a scope of work. Although the application is in draft form and
subject to change, the general scope items are expected to include:
1. Project Management and Administration
2. Adaptation/Safety Element Background Report: Historical, Existing, and Projected Hazards,
Vulnerability, and Risk
3. Adaptation and Resilience Policy Audit
4. Safety Development, Adaptation Plan, and Implementation Strategy
5. Outreach and Capacity Building
LGC and City staff expect to request a grant of approximately $700,000. This total is subject to
final revisions prior to submittal and any revisions requested by Caltrans as part of the project
approval process. Caltrans requires an 11.47% local match for adaptation planning projects.
Should the submitted application request of $700,000 be awarded, it would result in an $80,290
match requirement. This total would be met through staff time, matching grants, and via a Safety
Element update CIP request in the 2019-21 Financial Plan.
Accepting the grant would require additional Council action. Should the City be awarded and
accept the grant, selecting the technical consultant to implement the grant would also require
additional Council action. SB1 Adaptation Planning Grant program guidelines are provided as
Attachment A.
CONCURRENCES
The Fire, Public Works, Utilities, and Community Development Department s concur with the
recommendation included in this Council Agenda Report.
ENVIRONMENTAL REVIEW
The California Environmental Quality Act does not apply to the recommended action in this
report, because the action does not constitute a “Project” under the CEQA Guidelines Sec.
15278.
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FISCAL IMPACT
Should the SB1 Adaptation Planning grant be successfully awarded, a total of approximately
$80,290 in matching “in kind” labor and/or direct funds would be required. This total would be
met via a Safety Element Update CIP request in the 2019 -21 Financial Plan, offset by allowable
staff time contribution and successfully obtained matching grants.
ALTERNATIVE
Do not submit a grant application. Council may direct staff to not submit a grant application. If
the grant is not approved, staff will cease work on the effort. Staff does not recommend this
alternative because of the financial opportunity to le verage available grant funds to update the
General Plan’s Safety Element.
Attachments:
a - SB1 Adaptation Planning Grant Program Guideline
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Application Deadline
California Department of Transportation
Division of Transportation Planning
FY 2019-20
Grant Application Guide
Adaptation Planning Grants from Senate Bill 1
The Road Repair and Accountability Act of 2017
July 23, 2018
FINAL DRAFT
CALTRANS ADAPTATION PLANNING GRANT PROGRAM
November 2, 2018 at 5:00PM
pmPM
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Table of Contents
Adaptation Planning Grant Program….…...……………………………..…………………………………………… 1
Funding…….……………………….………………………………………………………………………………………. 2
Grant Program Considerations………………………………………………………………………………………… 3
Grant Program Overview………………………………………………………………………………………………… 6
Tools and Resources……………………………………………………………………………………………………. 9
General Information and Requirements…………………………………………………….................................... 11
Application Preparation….…………………………………………..………………................................................. 17
• Grant Application Checklist …………………………………………….………………………………………. 20
• Grant Application Preview ……………………………………………………............................................... 21
• Scope of Work Requirements ………………...………..…………………................................................... 28
• Project Timeline Requirements ………………………..……………………….………………………………. 33
• Third Party In-Kind Valuation Plan Requirements ………………………..…………………........................ 35
• Local Resolution Requirements …………………....................................................................................... 36
Caltrans District and Regional Agency Boundaries Map…………………........................................................ 38
Caltrans District Contact List…..………............................................................................................................. 39
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1 July 2018
Final Draft
Adaptation Planning Grant Program
On April 28, 2017, Governor Edmund G. Brown Jr. signed into law Senate Bill (SB) 1 - The Road
Repair and Accountability Act of 2017, a transportation funding bill that provide s a reliable source of
funds to maintain and integrate the State’s multimodal transportation system . Per Section 16321 of
the bill, $20 million in climate change adaptation planning grants has been allocated to local and
regional agencies for adaptation planning . Seven million dollars were allocated for the Fiscal Year
(FY) 2017-18 grant cycle, seven million dollars are available in 2018-19, and six million dollars will be
available in 2019-20.
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. Eligible projects must
have a transportation nexus per Article XIX Section s 2 and 3 of the California Constitution.
Applicants who have adaptation planning efforts underway as well as those who have not yet started
adaptation work are encouraged to apply.
Table 1: Available Funds by Fiscal Year
FY Grant Cycle Adaptation Planning Grant Funds
2017-18 $7 million
2018-19 $7 million
2019-20 $6 million
Purpose
California is leading the way on GHG emissions reductions to avoid the worst consequences of climate
change, but no matter how quickly we reduce our polluting emissions, climate impacts will still occur .
Climate change poses many threats to our communities’ health, well-being, environment, and property.
Many impacts – increased wildfires, droughts, landslides, rising sea levels, floods, severe storms, heat
waves, and impacts to wildlife – are occurring already and will only 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 help protect against 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 our economy into the future.
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Funding
The Adaptation Planning grants are funded by the Public Transportation Account (PTA).
The FY 2019-20 funding amount is six million dollars and will be entirely competitively awarded.
The minimum application amount is $100,000 and the maximum application amount is $1,000,000.
The required local match is 11.47 percent.
Table 2: Adaptation Planning Grants Summary
FUND
SOURCE PURPOSE WHO M AY APPLY LOCAL
MATCH
Public
Transportation
Account
Budget
State funds
$7,000,000
Grant Min
$100,000
Grant Max
$1,000,000
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.
The following are eligible to apply as a
primary applicant:
• MPOs
• RTPAs
• Transit Agencies
• Cities and Counties
• Native American Tribal
Governments
• Local and Regional Agencies
• Special Districts
The following are eligible to apply as a
sub-applicant:
• MPOs/RTPAs
• Transit Agencies
• Cities and Counties
• Native American Tribal
Governments
• Local and Regional Agencies
• Special Districts
• Universities and Community
Colleges
• Community-Based Organizations
• Non-Profit Organizations (501.c.3)
• Other Public Entities**
11.47% minimum
(in cash or an in-
kind* contribution).
Staff time from the
primary applicant
counts as cash
match.
* For in-kind contribution requirements, refer to Page 13 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).
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Grant Program Considerations
The Grant Program supports related State initiatives, explained further below. Competitive
applicants will reference in their application the identified State initiatives (as applicable) and how the
proposed project advances these initiatives, including:
• Executive Order S-13-08
• Executive Order B-30-15
• California Transportation Plan (CTP) 2040
• Regional Transportation Plan Guidelines
• 2017 General Plan Guidelines
• Integrated Climate Adaptation and Resiliency Program (ICARP)
• Addressing Disadvantaged Communities
State Policy
Executive Order S-13-08
EO-S-13-08 directs state agencies to plan for sea level rise and climate impacts through
coordination of the state Climate Adaptation Strategy (Safeguarding California).
http://www.climatechange.ca.g ov/state/executive_orders.html
Executive Order B-30-15
Executive Order B-30-15 specifically addresses the need for all of the State’s planning and
investments to consider the exposures and risks from a changing climate, anticipating current and
future impacts and disruptions that are likely to occur. The order establishes a California GHG
emissions reduction target of 40 pe rcent below 1990 levels by 2030, directs state government to take
climate change into account in all planning and investment decisions, and employ full life -cycle cost
accounting to evaluate and compare infrastructure investments and alternatives.
Executive Order B-30-15 describes four guiding principles when making planning and investment
decisions:
• Priority should be given to actions that both build climate preparedness and reduce GHG
emissions
• Where possible, flexible and adaptive approaches should be taken to prepare for uncertain
climate impacts
• Actions should protect the state's most vulnerable populations
• Natural infrastructure solutions should be prioritized
The Governor’s Office of Planning and Research led a Technical Advisory Group to develop
guidance to help State agency personnel decide when to take climate change into account when
planning infrastructure and investments, and how to do so while implementi ng the four above
principles, including how to increase social equity and health for vulnerable communities in the
course of planning and operations. The Guidance to implement Executive Order B -30-15 is
available here: http://opr.ca.gov/docs/20180313 -Building_a_Resilient_CA.pdf .
California Transportation Plan 2040
Applications should align with the goals and policies cited in the California Transportation Plan 2040
(specifically, Goal 2 “Preserve the Multimodal Transportation System,” Policy 3 “Adapt the
transportation system to reduce impacts fro m climate change”).
http://www.dot.ca.gov/hq/tpp/californiatransportationplan2040/Final%20CTP/FINALCTP2040 -Report-
WebReady.pdf
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2017 RTP Guidelines
On January 18, 2017 the California Transportation Commission adopted the 2017 RTP Guidelines
for Metropolitan Planning Organizations (MPOs) and the 2017 RTP Guidelines for RTPAs. Chapter
6.30 in the RTP Guidelines for MPOs (or Chapter 6.25 in the RTP Guidelines for RTPAs) focuses on
“Adaptation of the Regional Transportation System to Climate Change.”
http://www.dot.ca.gov/hq/tpp/offices/orip/rtp/index.html
2017 General Plan Guidelines
The General Plan Guidelines guide the preparation and content of general plans for all cities and
counties in California. Local governments are now required, per SB 379, to address climate change
adaptation and resiliency in their general plans. The General Plan Guidelines provide guidance in
meeting SB 379 requirements (see pages 150 -158).
http://www.opr.ca.gov/planning/general-plan/guidelines.html
Integrated Climate Adaptation and Resiliency Program
Senate Bill 246 (Wieckowski, 2015) established the ICARP within the Governor’s Office of Planning
and Research to coordinate regional and local efforts with State climate adaptation strategies
(Public Resources Code Section 71354). In support of these efforts, grantees will provide periodic
reports to the ICARP Technical Advisory Council (see reporting requirements on page 11).
http://www.opr.ca.gov/planning/icarp/
Addressing Disadvantaged Communities
Caltrans encourages applicants to address transportation needs and deficiencies in disadvantaged
communities, including communities vulnerable to climate change impacts . The optional tools below
are intended to help applicants define a context -dependent definition of a disadvantaged community.
Regional and/or local definitions of disadvantaged communities are acceptable . Applicants may also
consider other population characteristics, such as income or level of education. Tools and resources
for identifying disadvantaged communities are provide d below:
Defining Vulnerable Communities in an Adaptation Context, OPR Resource Guide
The Governor’s Office of Planning and Research, with input from the ICARP Technical Advisory
Council, developed a resource guide for practitioners to use when first considering how to define
vulnerable communities in an adaptation context. The document includes: (1) The ICARP Technical
Advisory Council’s definition of climate-vulnerable communities, (2) A summary of existing statewide
assessment tools that can be used to identify vulnerable communities in a climate adaptation
context, including a crosswalk with the ind icators that are required elements of an SB 1000 analysis;
(3) Additional indicators that could be used to assess underlying vulnerability on a case-by-case
basis; (4) A list of process guides that can serve to aid agencies undertaking efforts to define
vulnerable communities
SB 535 (De Leon, Statutes of 2012)
Senate Bill 535 (SB 535) tasked the California Environmental Protection Agency with defining
disadvantaged communities. SB 535 may assist applicants with defining disadvantaged
communities and the many factors to consider.
https://leginfo.legislature.ca.gov/faces/billNavClient.xhtml?bill_id=201120120SB535
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Assembly Bill 1550 (Gomez, Statutes of 2016)
Assembly Bill 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 w ith 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.
https://leginfo.legislature.ca.gov/faces/billNavClient.xhtml?bill_id=201520160AB1550
CalEnviroScreen Version 3.0
CalEnviroScreen is a screening methodology that can be used to help identify California
communities that are disproportionately burdened by multiple sources of pollution.
http://oehha.maps.arcgis.com/apps/View/index.html?appid=c3e4e4e1d115468390cf61d9db83efc4
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
California Health y Places Index (HPI)
The Public Health Alliance developed a state-wide interactive data and mapping tool that provides a
detailed snapshot of the social and environmental conditions that contribute to health . The HPI
includes a composite score for each Census tract in the State. The higher the score, the healthier
the community conditions. HPI includes diverse non-medical economic, social, political and
environmental factors that influence physical and cognitive function, behavior , disease, and life
expectancy. https://healthyplacesindex.org/
California Department of Public Health (CDPH) Climate Change and Health Profile Reports
The CDPH Climate Change and Health Profile Reports are designed to help counties in California
prepare for the health impacts related to climate change. The reports present projections for county
and regional climate impacts, the climate -related health risks, and local populations that could be
vulnerable to climate effects.
https://www.cdph.ca.gov/Programs/OHE/Pages/ClimateHealthProfileReports.aspx
CDPH Climate Change and Health Vulnerability Indicators (CCHVIs)
CCHVIz is the interactive data visualization platform for the Climate Change & Health Vulnerability
Indicators for California (CCHVIs). It is produced by the CA Department of Public Health's Office of
Health Equity. The CalBRACE Project produced Climate Change a nd Health Vulnerability Indicators
to help stakeholders better understand the people and places that are more susceptible to adverse
health impacts associated with climate change. They are a suite of 21 indicators (18 available here)
of climate exposure, population sensitivity, and adaptive capacity to the impacts of climate change.
These indicators are being used by local and state programs to plan to meet the needs of the
communities most at risk of harm from climate change.
https://discovery.cdph.ca.gov/ohe/CCHVIz/
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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.
https://www.cdph.ca.gov/Programs/OHE/Pages/HCI.aspx
Grant Program Overview
The overall intent of the Adaptation Planning grant program is to support local and regional
adaptation planning efforts on the transportation system .
Grant Specific Objectives
Applicants must demonstrate how the proposed effort will accomplish the following:
• Demonstrate 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 GHG.
Applicants should demonstrate how the proposed effort will accomplish one or more of the following:
• Identify climate change impact risks to multimodal transportation infrastructure in the project
area
• Identify specific transportation infrastructure vulnerabilities1 to climate change impacts
• Identify adaptation strategies and specific actions to remedy identified climate related
vulnerabilities
• Advance the planning of specific climate adaptation projects, such as developing a cost
estimate or conceptual design
• Include economic analysis and/or cost -benefit analysis of identified adaptation strategy or
strategies
Competitive applications should include one or more of the following:
• Identify benefit to disadvantaged and/or vulnerable communities, including transit-dependent
populations2 (when applicable)
• Demonstrate collaboration and partnerships with diverse external stakeholders such as
businesses, non-governmental agencies, community-based organizations, and community
residents
1 Transportation infrastructure includes, but is not limited to, roads, railways, bikeways, trails, bridges, ports, and airports.
Vulnerable transportation infrastructure is transportation infrast ructure 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).
2 Transit-dependent individuals are defined as individuals who are “too young, too old, cannot afford or do not have access
to an automobile or rely on transit to reach their destinations” (Westside Transportation Access Needs Assessment – Short
and Long Term Improvements, Papandreou, 2014).
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Example Adaptation Planning Grant Project Types
California is expected to see a wide variety of climate change impacts, including increased wildfires,
droughts, landslides, rising sea levels, floods, severe storms, heat waves, and impacts to wildlife.
We would like to see diverse project types from a diverse pool of applicants to respond to these
impacts. Applicants who have adaptation planning efforts underway as well as those who have not
yet started adaptation work 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. However, proposed projects are not constrained by the categories below.
• Climate vulnerability assessments
• Extreme weather event evacuation planning, which could include:
o Identifying communities and individuals with inadequate access to transportation (e.g.
survey to determine number and location of transit dependent residents )
o Planning for increased transportation options in evacuation corridors
o Planning for roadway warning systems for extreme weather events
• Resilience planning
• Transportation infrastructure adaptation plans, such as:
o Evaluating the feasibility of realigning/relocating transportation infrastructure
impacted by sea level rise
o Evaluating the feasibility of a proposed wildlife underpass or overpass
• Natural and green infrastructure planning (e.g. wetlands restoration along transportation
corridors to protect transportation infrastructure f rom flooding and storm impacts, identifying
and removing barriers to habitat and wildlife connectivity.)
• Integration of transportation adaptation planning considerations into existing plans,
such as a climate mitigation or adaptation plan, Local Coastal Program, Local Hazard
Mitigation Plan, General Plan (including meeting Senate Bill 379 requirements ), or other
related planning efforts
• Evaluation of or planning for other adaptation strategies, such as:
o Providing transit shelters with shade, water, or other means of cooling in locations
expected to see temperature increases
o Planning for decentralized energy and storage for safeguarding against loss of power
and impacts to electric vehicles due to climate -related grid disruptions
• Educational and outreach activities that promote local adaptation planning , such as:
o Developing educational resources, trainings and workshops for local jurisdictions and
transportation service providers on any of the above listed adaptation planning
activities.
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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
• Conceptual drawings and design
• Data and geospatial analysis
• Community surveys, meetings, charrettes, and focus groups
• Bilingual services for interpreting and/or translation services for meetings
• Community/stakeholder advisory groups
• Project-specific staffing
• Web application development and dashboards
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
• Unreasonable incentives such as prizes for public participation . The use of incentives is
subject to Caltrans approval
• Charges passed on to sub-recipient for oversight of awarded grant funds
• Other items unrelated to the project
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Tools and Resources
It is not required that applicants consult the tools and resources below; however, this information is
included to provide applicants with existing data sources and support applicants who may want to
delve deeper into certain topics. Notable climate adaptation tools and resources include:
CalAdapt
http://cal-adapt.org/
Cal-Adapt provides a view of how climate change might affect California. Find tools, data, and
resources to conduct research, develop adaptation plans and build applications.
California Adaptation Planning Guide
http://resources.ca.gov/climate/safeguarding/local-action/
The Adaptation Planning Guide provides guidance to support regional and local communities in
proactively addressing the unavoidable consequences of climate change. It provides a step -by-step
process for local and regional climate vulnerability assessment and adaptation strategy
development.
Safeguarding California – California’s Climate Adaptation Strategy
http://resources.ca.gov/climate/safeguarding/
Safeguarding California is the strategy that organizes state government c limate change adaptation
activities.
ICARP Clearinghouse
http://opr.ca.gov/planning/icarp/
The Adaptation Clearinghouse serves as a centralized source of information that provides the
resources necessary to guide decision makers at the state, regional, and local levels when planning
for and implementing climate adaptation projects to promote resiliency to climate change in
California.
Vibrant Communities and Landscapes (Draft)
https://www.arb.ca.gov/cc/scopingplan/meetings/091316/vibrant%20communities.pdf
This document is intended to consider land use in the context of California’s climate change policy
and how the State can support actions, at all levels of government, to facilitate development and
conservation patterns that help to achieve the State’s climate goals.
Caltrans Vulnerability Assessments (under development)
http://www.dot.ca.gov/transplanning/ocp/vulnerability -assessment.html
To ensure the resiliency of the State Highway System, Caltrans is conducting vulnerability
assessments statewide. The assessments will identify vulnerable segments to climate change and
extreme weather events.
Addressing Climate Change Adaptation in Regional Transportation Plans
http://www.dot.ca.gov/hq/tpp/offices/orip/climate_change/documents/FR3_CA_Climate_Change_Ada
ptation_Guide_2013-02-26_.pdf
This guide is intended to support planning agencies in incorporating the risks of climate change
impacts into their existing decision-making, complementing the broader planning and investment
processes that MPOs and RTPAs already manage.
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Ocean Protection Council Sea-Level Rise Guidance
http://www.opc.ca.gov/webmaster/ftp/pdf/agenda_items/20180314/Item3_Exhibit -
A_OPC_SLR_Guidance-rd3.pdf
The State of California Sea -Level Rise Guidance reflects advance s in sea-level rise science and
addresses the needs of state agencies and local governments as they incorporate sea -level rise into
their planning, permitting, and investment decisions.
California Coastal Commission Sea Level Rise Policy Guidance
https://documents.coastal.ca.gov/assets/slr/guidance/August2015/0_Full_Adopted_Sea_Level_Rise
_Policy_Guidance.pdf
This guide pro vides an overview of the best available science on sea level rise for California and
recommended methodology for addressing sea level rise in Coastal Commission planning and
regulatory actions.
California Coastal Commission Statewide Sea Level Rise Vulner ability Synthesis
https://documents.coastal.ca.gov/assets/climate/slr/vulnerability/FINAL_Statewide_Report.pdf
The products showcased in this report will enhance the ability of Coastal Commission and other
decision‐makers to make well‐informed decisions about the long‐term planning and management of
critical resources along the coast.
California Water Action Plan
http://resources.ca.gov/docs/california_water_action_plan/Final_California_Water_Action_Plan.pdf
A roadmap for the first five years of the state’s journey toward sustainable water management.
Cal-Fire
http://calfire.ca.gov/index
California Department of Conservation – Landslide Hazards
http://www.conservation.ca.gov/cgs/geologic_hazards/landslides
The California Landslide Inventory is an o ngoing project to make the California Geological Survey
landslide information publicly accessible.
State Wildlife Action Plan
https://www.wildlife.ca.gov/SWAP/Final
The State Wildlife Action Plan includes conservation actions that respond to current and future
challenges with objectives and goals that are specific, measurable, and time bound.
CDFW Regional Conservation Investment Strategies
https://www.wildlife.ca.gov/conservation/planning/regional-conservation
The new Program encourages a voluntary, non -regulatory regional planning process intended to
result in higher-quality conservation outcomes and includes an advance mitigation tool. The Program
uses a science-based approach to identify conservation and enhancement opportunities that, if
implemented, will help California's declining and vulnerable species by protecting, creating, restoring,
and reconnecting habitat and may contribute to species recovery and adaptation to climate c hange
and resiliency.
CDFW Natural Communities Conservation Plans
https://www.wildlife.ca.gov/conservation/planning/nccp
A Natural Communities Conservation Plan identifies and provides for the regional protection of
plants, animals, and their habitats, while allowing compatible and appropriate economic activity.
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General Information and Requirements
This section provides a brief overview of the grant application review process : financial, contracting,
subcontracting, and legal requirements pertaining to the grant program. The content of this section
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.
Application Review Process and Evaluation Considerations
Review Process
All applications submitted to the Adaptation Planning Grant Program go through multiple levels of
review including reviews by Caltrans district and HQ staff, and State interagency review committees.
District staff reviews all applications for content, submission of proper documentation, and overall
relationship to regional and local planning efforts. The district rates each application and provides
comments to inform the State interagency review committee. The grant review committees evaluate
applications for content, completeness, meeting technical requirements, overall relationship to
statewide planning efforts, and compliance with state and federal planning requirements. Grant
applications that address every aspect of the grant specific objective s will score higher overall.
Caltrans has diverse applicants and project types, which makes it difficult to use a one -size fits all
scoring rubric. 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
project timeline, all in accordance with this grant guide, samples and checklists provided, as
applicable and appropria te 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.
Performance Considerations
Previous Caltrans transportation planning grantee performance will be considered during the
evaluation process. Applicants with a history of inadequate performance such as poor grant project
management, failure to achieve grant project milestones, untimely invoice submittals, or an overall
poor quality of the final grant product may be at a competitive disadvantage in the application review
process. Grant funds may not be awarded to prior grant recipients with unresolved past grant
performance issues. Additionally, applicants that have an excess ive balance of or consistently
relinquish any transportation funds administered by Caltrans Planning and/or have unresolved audit
issues or findings will also be at a competitive disadvantage in the application review process.
Applicants that have also fa iled to satisfy the required state and federal planning requirements,
including submittal and administration of Overall Work Programs (OWPs), RTPs, and Transportation
Improvement Programs, may not be awarded grants.
Award Terms
Caltrans is committed to being 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, Pro ject Timeline, 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.
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.
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Contracting with Caltrans and Project Timelines
Project Start Dates
Grant awards are anticipated for release in spring of 2019. All awarded grant funds must be
programmed during the State’s FY 2019-20. The project start date depends on the metho d of
contracting with Caltrans. For MPOs and RTPAs with a current Master Fund Transfer Agreement
(MFTA), work may begin as early as July 2019. For awarded grantees that do not have a current
MFTA with the Office of Regional Planning (i.e. cities, counties, transit agencies, Tribal
Governments), Caltrans will contract directly with the primary grant recipients through the Restricted
Grant Agreement (RGA) process. For grant recipients that undergo the RGA contracting process,
work may begin as early as October 2019, assuming the grantee has received a fully executed
contract and has been notified by Caltrans district staff to begin work. It is important for applicants to
reflect the estimated project start date in the Scope of Work an d Project Timeline. Project Timeline
constraints for both methods of contracting with Caltrans are provided below. Awardees are required
to submit all supporting materials and a signed agreement or risk forfeiting the grant award.
Restricted Grant Agreement Project Timeline
Consider these dates when developing the Scope of Work and Project Timeline:
October 2019 Anticipated start date
February 28, 2022
• Contract expires (no time extensions will be granted)
• Reimbursable work must be completed
April 28, 2022
• All final invoices must be submitted to Caltrans for approval and reimbursement. This allows
Caltrans sufficient time to comply with the State Controller’s Office payment requirements.
Master Fund Transfer Agreement Project Timeline (MPOs/RTPAs Only)
Consider these dates when developing the Scope of Work and Project Timeline:
July 2019
• Anticipated start date
April 28, 2022 (no time extensions will be granted)
• All final invoices and final products must be submitted to Caltrans for approval and
reimbursement. This allows Caltrans sufficient time to comply with the State Controller’s
Office payment requirements.
Contract Options for Native American Tribal Governments
Native American Tribal Governments have the following options for contracting w ith Caltrans:
(1) Contracting with Tribes Directly – The authority Caltrans uses to contract with tribes directly
comes from the California Streets and Highways Code Section 94, and is extremely limited.
Caltrans Legal requires the tribes to provide a limite d waiver of sovereign immunity. However,
Caltrans’ Native American Liaison Branch ensures that any waiver is very specifically limited in
scope and in time to only apply to the contract itself (and to any possible audits). In an effort to
streamline the RGA contracting process, there is a n RGA boilerplate template available upon
request.
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(2) Partnering with a Regional Agency – Another mechanism for contracting with Caltrans is to
collaborate with an MPO or RTPA. Caltrans can pass through gra nt funding to tribes for 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. Please view this document for more information.
Caltrans has successfully used the federal Section 202(a)(9) process to transfer 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 Federal Highway Administration (FHWA) or Bureau of Indian Affairs,
the Tribe, and the State that clearly identifies the project and the roles and re sponsibilities 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 Adaptation Planning
grant.
Grant Project Administration Requirements
Overall Work Program (for MPOs/RTPAs Only)
All MPOs and RTPAs must have the entire grant award and local match programmed in the FY
2019-20 OWP no later than November 1, 2019. Approved grant projects must be identified as
individual Work Elements in the current OWP and in future OWPs until the project is completed.
Reporting
For MPOs and RTPAs, the progress 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 f or 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.
Because this is the first State Adaptation Planning grant of its kind, Caltrans and the Governor’s
Office of Planning and Research are looking to identify and share the lessons learned from this grant
opportunity to inform other existing or new state grant programs. To this end, all primary grant
recipients will prepare a short write -up to be included in the ICARP Clearinghouse (described on
page 8), which was developed to share information, resources, and case studies with local and
regional jurisdictions. At a minimum, grantees will be asked to prepare a case study describing the
application and proposed project and a case study on the completed project or plan, including a
PowerPoint presentation deck and GIS files of maps whe n applicable. Case studies should
emphasize processes or results that can be adapted or replicated for use in multiple jurisdictions or
in various parts of the state . These studies will be used to develop guidance for adaptation work in
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the future. Caltrans will share progress reports with the ICARP Technical Advisory Council at regular
intervals.
Grantees 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 grant recipients with ICARP contact info upon request.
Final Product
All final reports funded through the Adaptation Planning Grant Program shall credit Caltrans’ financial
participation on the cover or title page. An electronic c opy of all final reports shall be forwarded to
the Caltrans district office responsible for the administration and oversight of the grant.
Ownership
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 .
Third Party Contracts
The agreements between a grantee and a sub -recipient, consultant, or sub-consultant are often
referred to as “third party contracts.” An eligible sub -applicant will be identified by an eligible
applicant on the onset of the application. If a grantee or a sub-recipient is going to hire a consultant
to perform work during the project, then proper procurement procedures must always be used.
Grantees may use their agency’s procurement procedures as long as they comply with the Local
Assistance Procedures Manual, Chapter 10. In addition, work can only be contracted if it has been
stated in the applicant’s Scope of Work and Project Timeline. 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 Local Assistance Procedures Manual,
Chapter 10. All documentation of third party contract procurements must be retained and c opies of
all agreements must be submitted to Caltrans. For more information on third party contracting, visit the
following link:
Local Assistance Procedures Manual: http://www.dot.ca.gov/hq/LocalPrograms/lam/lapm.htm
Non-Discrimination Requirements
Title VI Non-Discrimination Requirement
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 Go vernment Code section 11135, which prohibits
discrimination on the basis of race, color or national origin, as well as ethnic group identification,
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religion, age, sex, sexual orientation, genet ic information, or disability. Specifically, Title VI 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.
The FHWA and the Federal Transit Administration each have requirements that recipients of
Metropolitan Planning federal funds must demonstrate continued compliance with Ti tle 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 shari ng 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.
Disadvantaged Business Enterprises
The Road Repair and Accountability Act of 2017 requires Caltrans to develop a plan to increase, up
to 100 percent, the dollar value of contracts/procurements awarded to Small Businesses,
Disadvantaged Business Enterprises (DBEs), and Disabled Veteran Business Enterprises (DVBEs).
Caltrans is required to have this plan by January 1, 2020. Until then, successful grant applicants are
expected to market contracting opportunities to all small businesses, including DBEs and DVBEs.
For details about DBE requirements, visit the Office of Regional Planning DBE website at:
http://www.dot.ca.gov/hq/tpp/offices/orip/DBE/DBE.html .
Invoicing and Financial Requirements
Requests for Reimbursements
Grant payments are made only as reimbursements. Invoices or Requests for Reimbursements
(RFR) need to be submitted no more frequently than monthly or at a minimum quarterly. Grantees
must pay sub-recipients and subcontractors prior to submitting a RFR to Caltrans. A one-time, lump
sum RFR for the entire grant is not allowed. Local match (cash and third party in-kind
contributions) must be expended on a proportional basis coinciding with each grant Work Element
(MPOs/RTPAs only) and/or tasks in each RFR. The proportional spread of local match for each task
and subtask must be clearly identified in the Project Timeline. The minimum required local match
(i.e., 11.47 percent) must be rendered during the invoicing period to which the matching requirement
applies. The minimum required local match must also be satisfied with each RFR.
Local Match Contribution
All grants require a local match. Revenue sources for a local match can include local sales tax,
special bond measures, private donations, private foundations, etc. The Adaptation Planning grants
require the applicant to provide a minimum 11.47 percent local match —any source of funds may be
used as long as the proposed grant work is an eligible activity for the local match fund source . The
minimum local match is a percentage of the total project cost (i.e., minimum local match
amount plus the grant amount) and is represented on the Project Timeline at the task and
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subtask-level. The local match can be all cash, all third party in-kind contributions, or a combination
of the two. Staff time from the primary applicant counts as cash match.
Table 3: Illustrates the local match as a percentage of the Total Project Cost:
Grant Program Grant Request Local Match Total Project Cost
Adaptation
Planning
88.53%
Example:
$300,000
11.47%
Example:
$38,868.18
100%
Example:
$338,868.18
To better assist applicants, the Local Match Calculator can be found at:
http://www.dot.ca.gov/hq/tpp/offices/orip/Grants/2015/Match_Calculator.xlsx
Third Party In-Kind Contributions
Third party in-kind contributions are typically goods and services donated from outside the primary
grantee’s agency. Examples of third party in -kind contributions include donated printing, facilities,
interpreters, equipment, advertising, time and effort, staff time, and other goods and services. The
value of third party in-kind contributions must be directly benefiting and specifically identifiable to the
project. Third party in-kind contribution information must be identified on the Grant Application Cover
Sheet, the Project Timeline, and the project specific Work Element in the OWP (if applicable).
If third party in-kind contributions are used to satisfy the local match requirements, a third party
in-kind valuation plan must also be submitted to Caltrans for approval as a condition of grant
acceptance. The third party in-kind valuation plan is an itemized breakdown by task and serves as
documentation for the goods and/or services to be rendered. The Third Party In -Kind Valuation Plan
Checklist and Sample are provided on Page 34.
Accounting Requirements
Grantees are required to maintain an accounting and record system that properly accumulates 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 P roject Timeline.
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 staff to ensure any issues are addressed early during the project period.
Indirect and Direct Costs
Indirect costs require an Indirect Cost Allocation Plan (ICAP). For example, reproduction costs,
computer rental and office supplies are considered indirect costs. However, if these costs are tied to
a specific task or activity, they are considered direct costs.
If a grantee, including sub -recipients and third party contractors/consultants, are seeking
reimbursement of indirect costs, they must annually submit an ICAP or an Indirect Cost Rate
Proposal (ICRP) to Caltrans Audits and Investigations for review and approval prior to
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reimbursement. An ICAP or ICRP must be prepared and submitted in accordance with 2 CFR, Part
200. For more information visit the following website:
Indirect Cost Allocation Plan : http://www.dot.ca.gov/hq/audits/icap_icrp.html
Due to the competitive nature of the grant award process, applications must include any indirect
costs in the Project Timeline. Indirect costs can only be reimbursed if they are identified in the
Project Timeline submitted with the initial application.
Travel Expenses
Grantees may be eligible to claim travel expenses if they have been approved in the Scope of Work
and Project Timeline. Travel expenses and per diem rates are not to exceed the rate specified by
the California Department of Personnel Admin istration for similar employees (i.e. non -represented
employees). For more information on eligible travel expenses, visit the following website:
Caltrans Travel Guide: http://www.dot.ca.gov/hq/asc/travel/
Pre-Award Audit
The Adaptation Planning grants are available in amounts up to $1 million. 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 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 significa nt 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.
Application Preparation
The Adaptation 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 be competitive during the application evaluation process.
Early Coordination with 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 process 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 for the entire MPO region and do not duplicate efforts being applied for or
already awarded to the MPO.
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Technical Assistance
Caltrans district office staff (see Page 38) is available during the application period to discuss
potential projects, answer questions, and help interested groups complete their applications.
For questions specific to the Grant Application Guide, applicants are also welcomed to contact the
Caltrans Headquarters lead staff:
Julia Biggar
Julia.Biggar@dot.ca.gov
(916) 654-6344
Ali Doerr
Alexandra.Doerr@dot.ca.gov
(916) 653-9248
Tips and Pointers for Writing a Successful Grant Application
General Tips
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 Project
Timeline.
Include Caltrans as an active partner in the study.
Provide letters of support and project area photographs to enhance the application.
Project Description
Concisely describe the project in less than 100 words. Explain “What parties are involved,
the proposed major milestones, the plan/study start/end dates, the general project area
boundaries, 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 Objectives
Clearly demonstrate how the project promotes climate change adaptation planning on the
California transportation system. Also demonstrate how the project aligns with the Grant Specific
Objectives.
Project Management
Scope of Work: Identify the project area demographics, public participation, and project
implementation.
Project Timeline: Identify the current indirect cost rate if indirect costs will be sought for
reimbursement. If FY 2019-2020 indirect cost rates are not available, the rate will be an
estimate based on the currently approved rate.
Keep administrative project tasks below five percent of the grant amount requested .
Ensure the correct minimum local match amount, calculated as a percentage of the total project
cost (grant plus local match), is provided. Each task and sub-task must also have the minimum
local match.
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Application Submittal Instructions
All grant application packages are required to be submitted via e-mail. An agency may only
submit one application package per e -mail. The Caltrans district contact must be copied (refer to
the District Contact List on Page 38 and the subject line needs to identify the district number, grant
program, and brief project title (e.g., D1, SC, City of Can Do Planning Project). The required items
outlined on the Grant Application Checklist on Page 19 must be attached to the e-mail as separate
documents. Applicants will receive an email reply by 5pm on (DAY), October XX, to confirm
receipt of applications submitted.
Please submit your application package to: Adaptation.Planning.Grants@dot.ca.gov
APPLICATIONS MUST BE SUBMITTED VIA E-MAIL NO LATER THAN
FRIDAY, NOVEMBER 3, 2018
BY 5:00 PM
HARD COPIES WILL NOT BE ACCEPTED AND
LATE APPLICATIONS WILL NOT BE REVIEWED
The Grant Application Guide and application form and required templates are available at the
following website: http://www.dot.ca.gov/hq/tpp/grants.html
Caltrans anticipated award announcements:
May 2019
Download the latest version of Adobe Reader DC ® to complete the
application form. This version of Adobe is available free of charge.
Caltrans district staff is available during the application period to discuss potential
projects, answer questions, and help interested groups complete their applications.
Refer to the District Contact List on Page 38 for contact information.
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Grant Application Checklist
The following documents are required and must be submitted via e -mail as separate
attachments. Please do not combine documents into a single attachment. Please keep file
names brief, as files become corrupted when the names are too long. Refer to the Grant
Application Guide for additional information and/or samples. Failure to include any of the required
documents will result in a reduced application score.
Required Application Documents (Required formats/templates are provided online at:
http://www.dot.ca.gov/hq/tpp/grants.html)
Application (Complete and submit the PDF form in the exact format provided
online at http://www.dot.ca.gov/hq/tpp/grants.html - Scanned or hard copies of
the application will not be accepted)
Application Signature Page (print, sign, and scan this page in PDF format)
Scope of Work (Microsoft Word format) – see pages 27 – 31
Project Timeline (Microsoft Excel format) – see pages 32 – 33
Third Party In-Kind Valuation Plan (if applicable) – see page 34
Map of Project Area (a map of the project area is required to clearly identify the
boundaries of the project area and to provide context for the project )
Supplemental Information:
The following documents are not required, but enhance the overall application and typically result in
a more competitive application during the evaluation process.
Graphics of Project Area (when applicable)
o 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. Please
ensure that graphics include a text description to provide context.
Letter(s) of Support
o 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, Native American Tribal
governments, service agencies, and elected officials.
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Grant Application Preview
Pages 20 – 26 provide a preview of the Adaptation Planning Grant Application form for FY 2019-20.
Applicants can access the grant application form document at
http://www.dot.ca.gov/hq/tpp/grants.html.
APPLICATION PREVIEW
CALTRANS ADAPTATION PLANNING GRANT APPLICATION
FY 2019-20
PROJECT TITLE
PROJECT LOCATION
(city and county)
APPLICANT SUB-APPLICANT SUB-APPLICANT
Organization
Mailing Address
City
Zip Code
Executive
Director/designee
and title
Mr. Ms. Mrs. Mr. Ms. Mrs. Mr. Ms. Mrs.
E-mail Address
Contact Person
and title
Mr. Ms. Mrs. Mr. Ms. Mrs. Mr. Ms. Mrs.
Contact E-mail
Address
Phone Number
FUNDING INFORMATION
Use the Match Calculator to complete this section.
Match Calculator
Grant Funds
Requested Local Match - Cash Local Match - In-Kind Total Project Cost
$ $ $ $
Specific Source of Local Match and Name Provider
(i.e., local transportation funds, local sales tax, special bond measures, etc.)
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APPLICATION PREVIEW
CALTRANS ADAPTATION PLANNING GRANT APPLICATION
FY 2018-19
LEGISLATIVE INFORMATION*
Please list the legislative members in the project area. Attach additional pages if necessary.
State Senator(s) Assembly Member(s)
Name(s) District Name(s) District
*Use the following link to determine the legislators:
http://findyourrep.legislature.ca.gov/ (search by address)
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APPLICATION PREVIEW
CALTRANS ADAPTATION PLANNING GRANT APPLICATION
FY 2019-20
1. Project Description (100 words maximum): Briefly summarize project in a clear and concise
manner, including major deliverables, parties involved, and any connections to local plans or policies
and Grant Program Considerations (Grant Application Guide Pages 3-5):
o Executive Order S-13-08
o Executive Order B-30-15
o California Transportation Plan (CTP) 2040
o Regional Transportation Plan Guidelines
o 2017 General Plan Guidelines
o Integrated Climate Adaptation and Resiliency Program (ICARP)
o Addressing Disadvantaged Communities
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APPLICATION PREVIEW
CALTRANS ADAPTATION PLANNING GRANT APPLICATION
FY 2019-20
2. Project Justification: Describe the problems or deficiencies the project is attempting to address,
as well as how the project will address the identified problems or deficiencies. Additionally, list the
ramifications of not funding this project.
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APPLICATION PREVIEW
CALTRANS ADAPTATION PLANNING GRANT APPLICATION
FY 2019-20
A. Applicants should demonstrate how the proposed effort would integrate grant program
considerations:
• Executive Order S-13-08
• Executive Order B-30-15
• California Transportation Plan (CTP) 2040
• Regional Transportation Plan Guidelines
• General Plan Guidelines
• Integrated Climate Adaptation and Resiliency Program (ICARP)
• Addressing Disadvantaged Communities
B. Applicants must demonstrate how the proposed effort will accomplish the following:
• Demonstrate on-going collaboration and partnerships between sectors and jurisdictions,
across levels of government at a regional scale
• Identification of co-benefits of adaptation work, such as benefits to public health , natural
ecosystems, air quality, social equity, the economy , or reductions in greenhouse gas
emissions
C. Applicants should demonstrate how the proposed effort will accomplish one or more of the
following:
• Identify system-wide climate change impact risks to multimodal transportation infrastructure
in the project area
• Identify specific transportation infrastructure vulnerabilities to climate change impacts
• Identify adaptation strategies and specific actions to remedy identified climate related
vulnerabilities
• Advance the planning of specific climate adaptation projects, such as developing a cost
estimate or conceptual design
• Include economic analysis and/or cost -benefit analysis of identified adaptation strategy or
strategies
D. Competitive applications should include one or more of the following:
• Identification of and benefit to disadvantaged/and or vulnerable communities, including
transit-dependent populations (when applicable)
• Demonstration of collaboration and partnerships with diverse external stakeholders such as
businesses, non-governmental agencies, community-based organizations, and community
residents
3. Grant Specific Objective: Explain how the proposed project addresses the grant specific
objectives of the Adaptation Planning Grant Program.
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APPLICATION PREVIEW
CALTRANS ADAPTATION PLANNING GRANT APPLICATION
FY 2019-20
4. Project Management (See Scope of Work and Project Timeline samples and checklists for
requirements. (Grant Application Guide, Pages 27-33), also online at:
http://www.dot.ca.gov/hq/tpp/grants.html.
A. Scope of Work in required Microsoft Word format
B. Project Timeline in required Microsoft Excel format
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APPLICATION PREVIEW
CALTRANS ADAPTATION PLANNING GRANT APPLICATION
FY 2019-20
Application Signature Page
If selected for funding, the information contained in this application will become the
foundation of the contract with Caltrans.
To the best of my knowledge, all information contained in this application is true and correct.
If awarded a grant with Caltrans, I agree that I will adhere to the program guidelines.
Signature of Authorized Official (Applicant) Print Name
Title Date
Signature of Authorized Official (Sub-Applicant) Print Name
Title Date
Signature of Authorized Official (Sub-Applicant) Print Name
Title Date
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Scope of Work Requirements
Scope of Work Checklist
The scope of work is the official description of the work that is to be completed during the contract.
The scope of work must be consistent with the project timeline . Applications with missing
components will be at a competitive disadvantage. Please use this checklist to make sure your
scope of work is complete.
The scope of work must:
Use the FY 2019-20 template provided and in Microsoft Word format
List all tasks and sub-tasks using the same title as stated in the project timeline
Include task and sub-task numbers in accurate and proper sequencing; consistent
with the project timeline
Include the activities discussed in the grant application
List the responsible party for each task and subtask and ensure that it is
consistent with the project timeline (i.e. applicant , sub-applicant, or consultant)
Include a thorough Introduction to describe the project and project area
demographics, including a description of the vulnerable populations involved with
the project, if applicable
Include a thorough and accurate narrative description of each task and sub-task
Include a task for a kick-off meeting with Caltrans at the start of the grant
Include a task for completing two case studies that will be included in OPR’s
Adaptation Clearinghouse
Include a task for procurement of consultants, if consultants are needed
Include a task for invoicing
Include a task for quarterly reporting to Caltrans
Include detailed public participation and services to diverse communities
Include project implementation/next steps
List the project deliverable for each task in a table following each task and ensure
that it is consistent with the project timeline
Exclude environmental, complex design, engineering work, and other ineligible
activities
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Sample Scope of Work
City of “Can Do” Adaptation Plan
The City of “Can Do” has submitted a Adaptation Plan which will provide a conceptual climate
change adaptation planning foundation for integration into the City’s General Plan (per the
requirements of 379). The Plan will develop a framework for addressing known existing climate
change vulnerabilities of the community. The City intends to gather public input through interactive
community workshops which will be the driving factor of the planning process, and will provide co -
benefits including outreach and discussion with disadvantaged commun ities. The City’s Adaptation
Plan will contain planning information and projections, recommended strategies, and create
conceptual designs. It is the City’s intent that once this plan is complete, it will lead to
implementation and development of adaptation projects.
The scope of work shown below reflects the anticipated process and deliverables for the City ’s
Adaptation Plan.
RESPONSIBLE PARTIES
The City, with the assistance of a consulting firm, will perform this work. The City has not yet
selected a consulting firm and the proper procurement procedures will be used through a competitive
RFP process. City staff anticipates these figures will not differ substantially and will not exceed the
grant request amount.
OVERALL PROJECT OBJECTIVES
• Develop and analyze climate change vulnerability maps to identify at -risk transportation
assets, resources, and transit-dependent populations within the city boundary
• Identify interdependencies between the transportation system and other infrastructure and
community services to highlight vulnerable areas with greatest possible con sequences if
damaged/impacted
• Develop strategies to increase both physical and social resilience of the community’s
transportation system to climate change
• Improve early warning systems for extreme weather events
• Facilitate meetings between community residents, infrastructure owners/operators, and
businesses to determine adaptation priorities, implementation timelines, and possible funding
sources to increase the resilien ce of the transportation system
• Develop conceptual designs for green adaptation solutions for transportation infrastructure
1. Project Initiation
Task 1.1: Project Kick-off Meeting
• The City will hold a kick-off meeting with Caltrans staff to discuss grant procedures and
project expectations including invoicing, quarterly reporting, and all other relevant project
information. Meeting summary will be documented.
• Responsible Party: The City
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Task 1.2: Staff Coordination
• Monthly face-to-face project team meetings with consu ltants to ensure good communication
on upcoming tasks and to make sure the project remains on time and within budget .
Caltrans staff will be invited to the project team meetings.
• Responsible Party: The City
Task 1.3: RFP for Consultant Services
• Complete an RFP process for selection of a consultant using the proper procurement
procedures.
• Responsible Party: The City
Task 1.4: Identify Existing Conditions
• Gather existing vulnerabilities and background data by identifying opportunities and
constraints as well as standards that should be used to guide preparation of the plan such
as climate change projections (precipitation, sea level rise and storm surge, wildfires, and
temperature), asset locations and information, existing and planned land uses, population
characteristics, and travel projections within the City.
• Inventory and evaluate vulnerable transportation infrastructure, resources, and
transit-dependent communities.
• Responsible Party: Consultant
Task Deliverable
1.1 Meeting Notes
1.2 Monthly Meetings Notes
1.3
Copy of Procurement Procedures and
Executed Consultant Contract
1.4 Existing Conditions Report
2. Public Outreach
Note: All meetings will be publicly noticed to ensure maximum attendance . All public notices will be
in English and Spanish. Spanish translators and sign language interpreters will be present at all
workshops.
Task 2.1: Community Workshop #1
• Workshop. This workshop will introduce the project to the public, define project parameters,
inform the community of project opportunities and constraints, and solicit opinions from the
community to shape Task 3.1, Develop Adaptation Concept.
• Responsible Party: Consultant
Task 2.2: Community Workshop #2
• An interactive workshop that will use clicker technology, modeling tools, and maps to
present adaptation strategies and project alternatives . Community will decide on preferred
alternatives, where specific adaptation plans are possible. Continue to solicit feedback from
the community to shape Task 3.3, Draft.
• Responsible Party: Consultant
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Task 2.3: Community Workshop #3
• Present Draft Concept and Report and continue to solicit feedback for public comments to
shape Task 3.3, Draft Adaptation Plan and Task 3.6, Final Adaptation Plan.
• Responsible Party: Consultant
Task Deliverable
2.1
PowerPoint Presentation, Workshop Summary,
Photos
2.2
PowerPoint Presentation, Workshop Summary,
Photos
2.3
PowerPoint Presentation, Workshop Summary,
Photos
3. Adaptation Plan
Task 3.1: Develop Adaptation Concept
• Based on the existing conditions report and the community input from Workshop #1,
priorities for analysis and concept adaptation strategies will be developed . Conceptual
adaptation designs will incorporate natural infrastructure planning and will include plans,
sketches, and photos.
• Responsible Party: Consultant
Task 3.2: Develop Conceptual Design Concept Alternatives
• A sample project with up to three adaptation alternatives will be developed. Illustrations will
be made in plan view, as street cross sections, and a s sketches. A model simulation will be
developed for each alternative . The alternatives will be prepared and presented at
Community Workshop #2.
• Responsible Party: Consultant
Task 3.3: Draft Adaptation Plan
• Based on the adaptation priorities and strategies agreed upon in Workshop #2, a draft report
will be prepared. The draft report will be presented at Workshop #3 for public comment.
• Responsible Party: Consultant
Task 3.4: Identify Potential Funding Sources
• Review and identify potential fu nding sources for future implementation of priority projects.
• Responsible Party: Consultant
Task 3.5: Joint Planning/Emergency Management Advisory Commission Meeting
• Coordinate a joint session among the three commissions to review the draft report and
adaptation strategies. Solicit feedback, respond to any questions, and resolve any critical
issues.
• Responsible Party: The City/Consultant
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Task 3.6: Final Adaptation Plan
• Complete the final report that addresses the comments given from Workshop #3 and the
Joint Commission Meeting. Four hard-copies and four electronic copies of the final report
will be submitted to Caltrans. Credit of the financial contribution of the grant program will be
credited on the cover of the report.
• Responsible Party: Consultant
Task 3.7: Present Plan to City Council
• Present the final Adaptation Plan at the City Council meeting . Resolve any critical issues.
Action taken by City Council to Adopt/Accept/ Reject final City of Can Do Complete Street
Plan.
• Responsible Party: The City/Consultant
Task Deliverable
3.1 Sketches, illustrations
3.2 Sketches, illustrations
3.3 Draft Report
3.4 Funding Source Report
3.5 PowerPoint Presentation, Workshop Summary, Photos
3.6 Final Report
3.7 Meeting Notes
4. Fiscal Management
Task 4.1: Invoicing
• Submit complete invoice packages to Caltrans district staff based on milestone completion,
at least quarterly, but no more frequently than monthly.
• Responsible Party: The City
Task 4.2: Quarterly Reports
• Submit quarterly reports to Caltrans district staff providing a summary of project progress
and grant/local match expenditures.
• Responsible Party: The City
Task Deliverable
4.1 Invoice Packages
4.2 Quarterly Reports
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Project Timeline Requirements
Project Timeline Checklist
The project timeline is the official documentation of the budget and time frame of the project. The
project timeline must be consistent with the scope of work. Applications with missing components will
be at a competitive disadvantage.
The project timeline must:
Use the FY 2019-20 template provided (do not alter the template) and submitted in
Microsoft Excel format.
List all tasks and sub-tasks with the same title as stated in the scope of work.
Include task and sub-task numbers in proper sequencing, consistent with the scope
of work.
Include a task for a kick-off meeting with Caltrans at the start of the grant.
Include a task for procurement of consultants, if consultants are needed.
Include a task for quarterly reporting to Caltrans.
Include two tasks for OPR Adaptation Clearinghouse Case Studies
Include a task for invoicing.
List the responsible party for each task and sub -task, and ensure that it is consistent
with the scope of work (i.e. applicant, sub -applicant, or consultant).
Complete all budget columns as appropriate: Total Cost, Grant Amount, Local
Cash Match, and if applicable, Local In -Kind Match.
State a realistic total cost for each task based on the work that will be completed.
Project management/administration costs should not exceed 5 percent of the grant
amount requested.
Include a proportional spread of local match amongst each task. The match amount
must be at least the minimum amount required by the grant program.
Identify the indirect cost rate if indirect cost s will be reimbursed.
Include a best estimate of the amount of time needed to complete each task.
Start the timeframe at the beginning of the grant period (July 2019 for MPO/RTPAs;
October 2019 for non-MPO/RTPAs).
Extend the timeframe all the way to the end of the grant period. (Project end dates
differ based on applicant type. See Page s 11-12 for details)
List the deliverable for each task as stated in the scope of work.
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Sample Project Timeline
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Third Party In-Kind Valuation Plan Requirements
Third Party In-Kind Valuation Plan Checklist
The third party in-kind valuation plan is an itemized breakdown by task and sub -task and serves as
documentation for the goods and/or services to be donated. The third party in-kind valuation plan
must be consistent with the information provided on the Project Timeline and Grant Application Cover
Sheet.
This document is required upon grant award as a condition of grant acceptance.
The third party in-kind valuation plan must:
Use the FY 2018-19 template provided (do not alter the format).
Name the third party in-kind local match provider.
Describe how the third party in-kind local match will be tracked and documented for
accounting purposes.
Describe the fair market value of third party in -kind contributions and how the values
were determined.
Include an itemized breakdown by task and sub -task consistent with the project
timeline.
Identify consistent in -kind local match amount reflected on the grant application
cover sheet.
Sample Third Party In-Kind Valuation Plan
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Local Resolution Requirements
Local Resolution Checklist (Not Applicable to MPO/RTPAs)
A local resolution is NOT required at the grant application stage; however, it is required upon
award, as a condition of grant acceptance.
The local resolution must:
State the title of the project
State the job title of the person authorized to enter into a contract with Caltrans on
behalf of the applicant
NOT be more than a year old or will not be accepted
Include signature by the governing board of the grant applicant
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Sample Local Resolution
CIT Y OF CAN DO
RESOLUT ION NO. 009-2012
RESOLUT ION OF T HE BOARD OF DIRECTORS OF THE CITY OF CAN DO
AUT HORIZING T HE EXECUT IVE DIRECTOR TO EXECUTE AGREEMENTS WITH
THE
CAL IFORNIA DEPART MENT OF TRANSPORTATION FOR
THE CITY OF CAN DO COMPLETE STREET PLAN
WHEREAS, the Board of Directors of the Ci ty of Can Do is eli gible to receive
federal and/or State funding for certain transportation planning related plans, through
the California Department of Transportation
WHEREAS, a Restricted Grant Agreement is needed to be executed with the
California Department of Transportation before such funds can be claimed through
t h e Tr ansportati on Pl anning Grant Programs
WHEREAS, the City of Can Do wishes to delegate authorization to
execute these agreements and any amendments thereto;
NOW, T HEREFORE, BE IT RESOLVED by t he Board of Directors of the City of
Can Do, authorize the Executive Di rector, or designee, to execute all Restricted Grant
Agreements and any amendments thereto with the California Department of
Transportation.
AP PROVED AND PASSED this 4th day of August, 2015.
John Doe, Chair
ATTEST:
Eileen W right, Executive Di rector
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Caltrans District and Regional Agency Boundaries Map
Packet Page 116
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Caltrans District Contact List
DISTRICT GRANT CONTACT ADAPTATION CONTACT MPO/RTPA
DISTRICT 1
1656 Union
Street
P.O. Box
3700
Eureka, CA
95502
Mendocino and Lake Counties
Rex Jackman (707) 445-6412
Email: rex.jackman@dot.ca.gov
Del Norte and Humboldt
Counties
Kevin Tucker (707) 441-5770
Email: kevin.tucker@dot.ca.gov
Kevin Tucker
(707) 441-5770
kevin.tucker@dot.ca.gov
• Del Norte LTC
• Humboldt CAOG
• Lake CCAPC
• Mendocino COG
DISTRICT 2
1657
Riverside
Drive
Redding, CA
96001
Kathy Grah (530) 229-0517
Email: kathy.grah@dot.ca.gov
Kathy Grah
(530) 229-0517
Kathy.grah@dot.ca.gov
• Lassen CTC
• Tehama CTC
• Modoc LTC
• Trinity CTC
• Plumas CTC
• Siskiyou CLTC
• Shasta RTA
DISTRICT 3
703 B Street
Marysville,
CA 95901
El Dorado, Sacramento, and
Yolo Counties
Jeffery Morneau (530) 741-4543
Email:
jeffrey.morneau@dot.ca.gov
Butte, Colusa, Glenn, Nevada,
Placer, Sierra, Sutter, and
Yuba Counties
Kevin Yount (530) 741-4286
Email: kevin.yount@dot.ca.gov
Gary Arnold
(530) 741-4004
gary.arnold@dot.ca.gov
• Butte CAG
• Sierra LTC
• Colusa CTC
• Glenn CTC
• El Dorado CTC
• Nevada CTC
• Placer CTPA
• Sacramento Area
COG
• Tahoe MPO
DISTRICT 4
111 Grand
Avenue
P.O. Box
23660
Oakland, CA
94623-0660
Becky Frank (510) 286-5536
Email: becky.frank@dot.ca.gov
Blesilda Gebreyesus (510) 286-
5575
Email:
blesilda.gebreyesus@dot.ca.gov
Dick Fahey
(510) 286-5761
dick.fahey@dot.ca.gov
• Metropolitan
Transportation
Commission
DISTRICT 5
50 Higuera
Street
San Luis
Obispo, CA
93401-5415
Hana Mengsteab (805) 549-3130
Email:
hana.mengsteab@dot.ca.gov
Terri Persons
(805) 549-3103
terri.persons@dot.ca.gov
• Monterey TAMC
• Santa Cruz
CCRTC
• San Benito COG
• Association of
Monterey County
Bay Area
Governments
• Santa Barbara
CAG
• San Luis Obispo
COG
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DISTRICT GRANT CONTACT ADAPTATION CONTACT MPO/RTPA
DISTRICT
6
1352 W.
Olive
Avenue
P.O. Box
12616
Fresno, CA
93778-2616
Lorena Mendibles (559) 445-5421
Email:lorena.mendibles@dot.ca.gov
Paul Marquez
(559) 445-5867
paul-
albert.marquez@dot.ca.gov
• Fresno COG
• Tulare CAG
• Kern COG
• Kings CAG
• Madera CTC
DISTRICT
7
100 S. Main
Street
Los
Angeles,
CA 90012
Melanie Bradford (213) 897 -9446
Email:melanie.bradford@dot.ca.gov
Wilford Melton
(213) 897-1344
wilford.melton@dot.ca.gov
• Southern
California
Association of
Governments
DISTRICT
8
464 W. 4th
Street
Mail Station
722
San
Bernardino,
CA 92401
Rebecca Forbes (909) 388-7139
Email: rebecca.forbes@dot.ca.gov
Ricky Rivers
(909) 806-3298
ricky.rivers@dot.ca.gov
• Southern
California
Association of
Governments
DISTRICT
9
500 S. Main
Street
Bishop, CA
93514
Mark Heckman (760) 872-1398
Email: mark.heckman@dot.ca.gov
Mark Heckman
(760) 872-1398
mark.heckman@dot.ca.gov
• Inyo LTC
• Mono LTC
• Eastern Kern
(COG)
DISTRICT
10
1976 E. Dr.
Martin
Luther King
Boulevard
P.O. Box
2048
Stockton,
CA 95201
Mountain Counties
Gregoria Ponce (209) 948-7325
Email: gregoria.ponce@dot.ca.gov
Merced, San Joaquin, Stanislaus
Counties
Tom Dumas (209) 941-1921
Email: tom.dumas@dot.ca.gov
Lynn O’Connor
(209) 948-3975
lynn.oconnor@dot.ca.gov
• Alpine County
LTC
• Amador CTC
• Calaveras
COG
• Mariposa LTC
• Merced CAG
• Tuolumne
CTC
• San Joaquin
COG
• Stanislaus
COG
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DISTRICT
11
4050 Taylor
Street
Mail Station
240
San Diego,
CA 92110
San Diego County—
Barby Valentine (619) 688-6003
Email: barbara.valentine@dot.ca.gov
Imperial County—
Beth Landrum (619) 403-3217
Email: beth.landrum@dot.ca.gov
Ilene Gallo
(619) 688-6460
Ilene.gallo@dot.ca.gov
• San Diego
Association of
Governments
• Southern
California
Association of
Governments
DISTRICT
12
1750 E. 4th
Street
Santa Ana,
CA 92705
Marlon Regisford (657) 328-6288
Email: marlon.regisford@dot.ca.gov
Cole Iwamasa (657) 328-6540
Email: cole.iwamasa@dot.ca.gov
Yatman Kwan
(657) 328-6277
yatman.kwan@dot.ca.gov
• Southern
California
Association of
Governments
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