05 Attachment 1Fiscal Year 2021-22
GRANT APPLICATION GUIDE
Sustainable Communities and
Strategic Partnerships
California Department of Transportation
Division of Transportation Planning
Sustainable Transportation Planning
Grant Program
Grant Application Deadline
Friday, February 12, 2021 at 5:00 P.M.
Submit Applications to: Regional.Planning.Grants@dot.ca.gov
ATTACHMENT 1
Caltrans Sustainable Transportation Planning Grant Program
FY 2021-22 Grant Application Guide 1
1. GRANT PROGRAM OVERVIEW
The Sustainable Transportation Planning Grant Program was created to support the California
Department of Transportation’s (Caltrans) Mission: Provide a safe, sustainable, integrated and
efficient transportation system to enhance California’s economy and livability.
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 will provide a reliable source of funds 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 the Fiscal Year (FY) 2021-22 grant cycle. The period of grant fund availability spans
over three FYs and approximately 27 months for grant project activities after the grant agreement
is executed and Caltrans issues a Notice to Proceed. Refer to Chapter 8.2 for details regarding the
anticipated grant project start and expiration dates.
The SB 1 grant funding is intended to support and implement Regional Transportation Plan (RTP)
Sustainable Communities Strategies (SCS) (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.
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.
Caltrans Sustainable Transportation Planning Grant Program
FY 2021-22 Grant Application Guide 2
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 will be
set-aside for technical
projects such as data acquisition or travel model
updates
Goal: 50% of grants should
benefit Disadvantaged
Communities***
Grant Minimum
$50,000 for Disadvantaged
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
(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 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).
The entire minimum 11.47
% local match
may be in the
form of an
eligible in-kind
contribution.
Staff time from
the primary
applicant
counts as cash match. 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
(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).
The entire
minimum
11.47% local
match may be
in the form of
an eligible in-
kind
contribution.
Staff time from
the primary applicant
counts as cash
match.
* For third party in-kind contribution requirements, refer to Chapter 5.4 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, disadvantaged 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.
Caltrans Sustainable Transportation Planning Grant Program
FY 2021-22 Grant Application Guide 3
Grant Fund Source Purpose Who May Apply Local Match 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).
The entire
minimum 20%
local match
may be in the form of an
eligible in-kind
contribution.
Staff time from
the primary
applicant
counts as cash match. 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).
The entire
minimum
11.47% local
match may be
in the form of
an eligible in-
kind
contribution.
Staff time from
the primary
applicant
counts as cash
match
* For third party in-kind contribution requirements, refer to Chapter 5.4 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).
Caltrans Sustainable Transportation Planning Grant Program
FY 2021-22 Grant Application Guide 4
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, and 4.1 indicate the specific purpose of the Sustainable
Communities Grants and Strategic Partnership 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 emission 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, promoting 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 those with
disabilities, and freight.
Safety Increase the safety and/or security of the transportation system for motorized and active transportation users.
Innovation Promote the use of technology and innovative designs to improve the performance
and social equity of our transportation system and provide sustainable transportation
options.
Economy
Support the economic vitality of the area (i.e. enables global competitiveness, 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
All of these objectives should promote transportation solutions that focus on and prioritize the needs of disadvantaged communities most affected by poverty, air pollution and climate change, and promote solutions that integrate community values with transportation safety and performance while encouraging greater than average public involvement in the transportation decision making process.
Caltrans Sustainable Transportation Planning Grant Program
FY 2021-22 Grant Application Guide 5
Grant Program Considerations
The Grant Program supports related State and federal mandated initiatives. The Plans and
Programs listed below should be considered in grant application development. Definitions and
links to these resources can be found in Appendix A.
Caltrans Strategic Management Plan
The purpose of the Strategic Management 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
This roadmap is used to guide and inform the development of the Sustainable
Transportation Planning Grant Program.
California Transportation Plan 2040
The California Transportation Plan (CTP) 2040 vision is focused on sustain ability:
California’s transportation system is safe, sustainable, universally accessible,
and globally competitive. It provides reliable and efficient mobility and
accessibility for people, goods, and services while meeting the State’s GHG
emission reduction goals and preserving the unique character of California’s
communities. This integrated, connected, and resilient multimodal system
supports a thriving economy, human and environmental health, and social
equity. The next iteration of the CTP, the CTP 2050, is in the process of being
finalized, with adoption expected at the end of 2020. The next Grant
Application Guide will be updated to reflect the CTP 2050.
The CTP 2040 also aims to achieve the strategic goal to triple cycling and double walking and
transit use statewide. Competitive grant applications will discuss how proposed projects will assist in
reaching this goal established in the Caltrans Strategic Management Plan.
Competitive Sustainable Communities grant applications will integrate the appropriate CTP 2040
Transportation Greenhouse Gas Reduction Strategies outlined in the CTP 2040, Table 13 and
Appendix 7 Technical Analysis. There are four categories of transportation GHG reduction
strategies – demand management, mode shift, travel cost, and operational efficiency – that were
developed based on input from the CTP 2040 advisory committees, and with input gathered from
all of the State’s 18 MPOs and 26 RTPAs.
Modal Plans that Support the California Transportation Plan 2040
CTP 2040 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
California Freight Mobility Plan
California State Rail Plan
Caltrans Sustainable Transportation Planning Grant Program
FY 2021-22 Grant Application Guide 6
California State Bicycle and Pedestrian Plan
California High-Speed Rail Business Plan
Statewide Transit Strategic Plan
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.
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. 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.