HomeMy WebLinkAboutResolution 2023-068 N.C.S. 05/15/2023 DocuSign Envelope ID:85BC4550-14A7-4A37-BF2F-9075DC7E6E04
Resolution No. 2023-068 N.C.S.
of the City of Petaluma, California
AUTHORIZING THE EXECUTION OF THE MASTER AGREEMENT FOR THE TRANSIT AND
INTERCITY RAIL CAPITAL PROGRAM (TIRCP) FOR FLEET ELECTRIFICATION AND BUS
STOP FACILITY IMPROVEMENTS
WHEREAS, the City of Petaluma wishes to continue to improve the Transit and Paratransit systems to help
fulfill the Petaluma Climate Action Emergency Framework; and
WHEREAS, the City of Petaluma received $3,080,000 in state funding from the Transit and Intercity Rail
Capital Program (TIRCP) for three transit projects; and
WHEREAS, the statutes related to state-funded transit projects require a local or regional implementing
agency to abide by various regulations; and
WHEREAS, Senate Bill 862 (2014) named the Department of Transportation (Department) as the
administrative agency for the TIRCP; and
WHEREAS, the Department has developed guidelines to administer and distribute TIRCP funds to eligible
project sponsors (local agencies); and
WHEREAS, any future action due to the use of the grant funds will receive its own analysis under CEQA,
however, purchasing transit facility and bus stop improvements and replacing diesel buses with zero-emission
buses, with no increase in service will likely be exempt pursuant to CEQA Guidelines Section 15061, the
commonsense exemption; and
WHEREAS, the City of Petaluma has previously delegated authority to execute these documents and any
amendments thereto to Peggy Flynn, City Manager, or her designee; and
WHEREAS, the City of Petaluma wishes to implement the following TIRCP project(s) listed above.
NOW, THEREFORE,BE IT RESOLVED that the City Council of the City of Petaluma hereby:
1. Declares the above recitals to be true and correct and are incorporated herein as findings of this Resolution.
2. The proposed action is exempt from the requirements of the California Environmental Quality Act (CEQA)
as purchasing one zero-emission bus to replace an existing diesel bus, with no increase in service is exempt
pursuant to CEQA Guidelines Section 15061, the commonsense exemption, and CEQA Guidelines Section
15301 which exempts minor alterations to existing operations. The bus stop improvements and transit facility
improvements are exempt pursuant to CEQA Guidelines Sections 15301 (repair of existing facilities) and
15303 (construction of small structures).
3. Agrees that the fund recipient must comply with all conditions and requirements outlined in the Certification
and Assurances document and applicable statutes, regulations, and guidelines for all TIRCP-funded transit
projects.
Resolution No. 2023-068 N.C.S. Page I
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4. Hereby authorizes the submittal of the following project nomination(s) and allocation request(s) to the
Department in FY 22/23 through FY 26/27 TIRCP funds:
Project Name: Transit Facility Improvements (Electrification)—Phase 2
Amount of TIRCP funds requested: $940,000.
Short description of the project: This project will replace 10 diesel and gasoline fixed route and
paratransit/micro transit buses, which will have reached the end of their useful life, with zero-emission
buses in FY 23/24.
Project Name: Bus Stop Improvements
Amount of TIRCP funds requested: $412,000.
Short description of the project: The project will provide bus stop improvements throughout Petaluma in
the form of more bus shelters, benches, trash cans, concrete accessibility,
and passenger waiting pads, solar security lighting, maps, etc.
Project Name: Bus Fleet Replacement and Electrification
Amount of TIRCP funds requested: $1,728,000.
Short description of the project: This project provides fleet replacement and expansion for fixed routes
and paratransit services to offer more service and meet growing demand.
Under the power and authority conferred upon this Council by the Charter of said City.
REFERENCE: I hereby certify the foregoing Resolution was introduced and adopted by the Approved as to
Council of the City of Petaluma at a Regular meeting on the 151 day of May 2023, F
Signed f9rm:
by the following vote: Q
1ty Attorney
AYES: Mayor McDonnell,Vice Mayor Cader Thompson,Councilmembers Barnacle,
Healy,Nau,Pocekay,Shribbs
NOES: None
ABSENT: None
ABSTAIN: None
DocuSigned by: DocuSigned by:
ATTEST: s� t WW hl 06ln In t,�,
��sr�aa�aa�
City Clerk FMayor
Resolution No. 2023-068 N.C.S. Page 2
DocuSign Envelope ID:85BC4550-14A7-4A37-BF2F-9075DC7E6E04
City ofPetaluma, CA
Ma ste r Ag re e me nt No. 64VIA
Program Sup plement No. XXXXXX'S
C a lifo rn is State Transportation Agency
Transit and Intercity Ra il C a p ita I Pro g ra ra
Grant Recipient:
C ity o f Pe to lum a
Ca1STA Transit and Intercity Ra il Capita I Program Administered by:
California Department of Transportation
Division ofRailand Ma ss Tra nsp o rta tio n
1120 N Street, Room 3300
P.O . Box 942874, MS-39
Sa c ra in e nto , C a lifo mia 94274-0001
5/16/2023 Page 1
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Program Sup plement No. )OOOOCKPS
TABLE OF C O N7ENTS
REC ITALS 4
ARUC LE I- DEFINTI<O NS 5
AR C LE II—'URC P PRO JEC TS AND ADMINISIRA110 N 7
Section 1. 'URCP Projects and Project Management 7
Section 2. Program Supplement 8
A. General 8
B. Project Overrun 10
C. Cost Savings and Project Completion 10
D. Scope ofWork 11
E. Program Supplement Amendments 11
Section 3. Allowable Costs and Payments 11
A. Allowable Costs and Progress Payment Invoice 11
B. Fina 1 Invo is e 12
ARUC IE III—G ENERAL PRO VISIO NS 12
Section 1. Funding 12
Section2. Aud its a nd Re p orts 12
A. Cost Principles 12
B. Re c o rd Retention 13
C. Reporting Requirements 14
Section 3. SpecialRe quire ments 16
A. California Transportation Commission Resolutions 16
B. Re c ip ie nt Re so lutio n 16
C. Termination 17
D. 'lhird Party Contracting 18
E. Change in Funds and Terms/Amendments 18
F. Project Ownership 18
G. Dispute s 21
H. Hold Ha rm le ss a n d Indemnification 21
L Labor Code Compliance 22
J. Non-Discrimination Clause 22
K State Fire Marsha 1 Bu ild in g Standards Code 23
L Americans with Disabilitie s Act 23
M. Ac c e ss fo r Pe rso n s w ith Disabilities 24
N. Disabled Veterans Program Requirements 24
0. Enviro rim a nta 1 Pro c e ss 24
P. Fo rc e Ma je ure 25
ARITC LE IV—MISC ELLANEO US PRO VISIO NS 25
Section 1. Miscellaneous Provisions 25
A. Suc c e ssor Ac ts 25
B. Suc c e ssor a nd Assig ns to the Parties 25
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C. Notice 25
D. Amendment 26
E. Re pre se nta do n a nd Wa rra ntie s o f the Pa rtie s 26
F. Construction, Number, Genderand Captions 28
G. Complete Agreement 28
H. Pa rtia 1 Inva lid ity 28
1 Conflicts 28
J. C o unte rp a rts 29
K Governing Law 29
Appendix A - 'URC P PRO G RAM GUIDELINES AND DEPARIMINTDELEC AUO N 30
Ap p e n d ix B- REC IPIENTS RESO WHO N 61
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STATE OF C ALIFO RNIA
DEPARTMENT O F 7RANSPO RTATIO N
Effective Date of this Agreement: Month Date, Yearorupon fnalsignature,
whicheveris later
Termination Date of this Agreement: May 1, 2033
Recipient: City of Petaluma
Application Funding: The Greenhouse Gas Reduction Fund and
Senate Bill I Fund are the applicable funding
source covered by this Agreement and will
identified in each specific Program
Supplement, adopting the terms of this
Agreement.
RECITALS
1. WHEREAS, The GlobalWanning Solutions Act of2006 (the "ACT') (Assembly
Bill [AB] 32, Nunez, Chapter 488) created a comprehensive program to reduce
greenhouse gas emissions in California . AB 32 re q u ire s California to re d u c e
greenhouse gases to 1990 levels by 2020, and to maintain and continue
reductions beyond 2020. In March 2012, Governor Brown signed Executive Order
B-16-2012 affirming a long-range climate goal for California to re d u c e
greenhouse gases from the transportation sectorto 80 percent below 1990 levels
by 2050.
2. WHEREAS, the Cap-and-Trade Program is a key element in California 's
climate plan. It creates a limit on the emissions from sources responsible for 85
percent of California 's greenhouse gas emissions, establishes the price signal
needed to drive long-term investment in cleanerfuels and more efficient use of
energy, and gives covered entities flexibility to implement the lowest-cost options
to reduce greenhouse gasemissions.
3. WHEREAS, in 2012, the Legislature passed and Governor Brown signed into
law three bills, AB 1532 (Perez, Chapter 807, Statutes of 2012), Senate Bill(SB) 535
(De Le 6 n, Chapter 830, Statutes o f 2012), and SB 1018 (Budget and Fisc a l Re vie w
Committee, Chapter39, Statutes of2012), that established the Greenhouse Gas
Reduction Fund (GGRF) to receive proceeds from the distribution of allowances
via auction and provided the f-ameworkforhow those auction proceedswillbe
appropriated and expended. These statutes require that expenditures from the
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GGRF be used to facilitate the achievement of greenhouse gas emission
reductionsand fartherthe purposesofAB32.
4. WHEREAS, in 2017, the Legislature passed and Governor Brown signed into
law the Road Repair and Accountability Act of 2017 SB 1, which directed
a dditiona I funding to the Transit and Intercity Rail Capita lProgram (TRCP).
5. WHEREAS, T1RCPisone of severalprograms funded aspartofthe 2014-2015
State of California Budget (Senate Bill852 and Senate Bill862), and implemented
pursuant to Public Resources Code section 75220 et seq and Health and Safety
Code section 39719 et seq.
6. WHEREAS, as d ire c to d by the ACT, C a 1STA established TIRC P Pro g ra m
Guidelines that describe the policy, standards, criteria , and procedures for the
development, adoption and management ofthe 'MRCP Program.
7. WHEREAS, Recipient has submitted an application, been evaluated and
selected by CalSTA in accordance with the 'BRCPProgram Guidelines.
8. WHEREAS, on August 17, 2015, CaISTA delegated the administration ofthe
'MRCP Program to the Department pursuant to the 'IIRCP Program Guidelines and
the Department's policies and procedures forthe administration ofsimilargrant
programs.
9. NOW 'IHEREFORE, in consideration ofthe recitals and the rights, duties and
covenants set forth herein, and other good and valuable consideration, the
receipt and sufficiency ofwhich are hereby acknowledged, the parties hereby
agree to the fo llo w in g:
10. This Agreement, entered into effective as of the date set forth above, is
between the signatory public entity identified hereinabove, (here ina fter referred
to as Recipient), and the STATE OF CAL>F'ORNIA, acting by and through the
California Department of Transportation (here ina fterre ferred to asDEPARWENI),
and subject to the approval of the California State Transportation Agency
(C a ISTA).
ARIIC IE I - DEFINMO N S
The terms defined in this Article Ishall for allpurposesof this Agreement have the
meanings specified herein.
1.1 "Act" refers to the Global Warming Solutions Act of 2006 (the "ACT')
(Assembly Bill[AB] 32, Nunez, Chapter488) created a comprehensive program to
reduce greenhouse gas emissions in California .
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1.2 "Agreement" shallmean this Agreement, inclusive of all appendices and
Program Supplements, whereby the Department, on behalf of CaISTA, and
pursuant to the Act and as set forth herein, administersthe TIRCP Program.
1 .3 "Award Agreement" shall mean a project-specific subcontract to this
agreement executed following Project award and may include Project specific
information, expected outcomes, and deliverables.
1.4 "California Department of Transportation" or "Caltrans" or "Department"
means the State of California, acting by and through its Department of
Transportation ofthe State of the State of California, and any entity succeeding
to the powers, authorities and responsibilities of the Department invoked by or
underthis Agreement orthe Program Supplements.
1.5 "California Transportation Commission" or "CTC" shall refer to the
commission established in 1978 by Assembly Bill 402 (Chapter 1106, Statutes of
1977).
1.6 "Effective Date" meansthe date set forth on page 4 of this Agreement.
1 .7 "Greenhouse Gas Reduction Funds" or "GGRF" shall mean the funds
subject to Chapter 26, Statutes of 2014, authorizing the State to fund capital
improvements and operational investments for California 's transit systems and
intercity, commuter, and urban railsystems.
1.8 "Senate Bill 1" or"SB 1" shallmean the funds subject to Chapters, Statutes
of2017, authorizing the State to fund capital improvements and investments for
California 'stransit systems and intercity, commuter, and urban railsystems.
1.9 "Overall Funding Plan" has the meaning set forth in Article E Section
2(A5)(c).
1.10 "Program Guidelines" shall mean the policy, standards, criteria , and
procedures for the development, adoption and management of the TIRCP
Projects established by CaISTA and provided in Appendix A.
1.11 "Program Supplement" shall mean a project-specific subcontract to this
Agreement that is executed following a CTC approved action and includes all
Project specific information needed to encumber funding and shall include
expected outcomes and deliverables. Also referred to as Project Supplement
Agreement.
1.12 "Program Supplement Last Expenditure Date" and refers to the last date for
Recipient to incurvalid Project costs orcredits.
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1.13 "Program Supplement Termination" shall occur when the Recipient's
obligations have been fully performed as set forth in Article IL Section 2D and
Article IQ Section 3(C)(2) or when terminated by convenience as set forth in
Article 111, Section 3(C)(1).
1.14 "Project" shallmean the project identified in Recipient's application.
1 .15 "Project Closeout Report" shallhave the meaning setforthinArticle IL, Section
3 B .
1.16 "Project FinancialPlan" shallhave the meaning set forth in Article II, Section
2(A)(5)(d).
1.17 "Progress Payment Invoice" shall have the meaning set forth in Article It
Section 3A.
1.18 "Project Schedule" hasthe meaning set forth in Article I>; Section 2(A)(5)(b).
1.19 "Scope ofWork" hasthe meaning set forth in Article Il; Section 2(A)(5)(a).
1.20 "Secretary" shallmean the Secretary of the California State Transportation
Agency (CaISTA). Unless the context otherwise requires, any reference to the
Secretary includesCalSTA and itsofficersand employees.
1.21 "State" shallmean the State of California .
1.22 "'BRCP Projects" shallmean projects that are selected and funded pursuant
to the Transit and Intercity RailCapitaI Pro grain.
ARTIC LE II- TIRC P PRO J EC TS AND ADMINISTRATION
Section 1. TIRCP Projects and Project Management
1. TIRCP Projects, pursuant to the Act, are established by C a ISTA in
accordance with the TIRCP Program Guidelines. Underdelegation from Ca1STA,
the Department will administer the TIRCP Program in accordance with the TIRCP
Program Guidelines and best management practices identified in the
administration of simila rDepartment grant programs.
2. By this reference, TIRCP Program Guidelines are made an express part of
this Agreement and shallapplyto each TIRCPProgram funded Project asmaybe
amended or updated. Recipient will cause its specific TIRCP mandated
Resolution to be attached aspart ofany TIRCP funded Program Supplement as a
condition precedentto the acceptance ofGGRForSB1 Funds (upon availability
and allocation), for such project.
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3. Allinquiries during the term of this Agreement and any applicable Program
Supplement willbe directed to the project representatives identified below:
Sta to 's Pro je c t Ad m inistra to r: Re c ip ie nt's Pro je c t Ad m inistra to r:
Department of Transportation City ofPetaluma
He d y Ma c k-C hiu Jared Hall
Associate Transportation Planner, Transit Manager
C a p ita 1 Pro je c is No rth Bra nc h (707) 778-4421
Phone : (279) 234-4340 Jha Mc ityofp e to luma .org
Email: Hedy.Mack-ChiuLdot.ca . oovv
Section 2. Program Supplement
A. General
1. This Agreement shallhave no force and effect with respect to the Project
unless and until a separate Project specific program supplement hereinafter
referred to as "Program Supplement," adopting allofthe termsand conditionsof
this Agreement has been fullyexecuted byboth State and Recipient.
2. Recipient agrees to complete the defined scope of work forthe Project,
described inthe Program Supplement adopting allofthe termsand conditionsof
this Agreement.
3. A financial commitment of actual funds will only occur in each detailed
and separate Program Supplement. No funds are obligated by the prior
execution of this Agreement alone.
4. Recipient furtheragrees, asa condition to the release and payment ofthe
funds encumbered for the scope of work described in each Program
Supplement, to comply with the terms and conditions of this Agreement and all
the agreed-upon specialcovenantsand conditions attached to ormade a part
of the Program Supplement identifying and defining the nature of that specific
scope ofwork.
5. The Program Supplement shallinclude a detailed scope ofwork,which shall
include butnotbe limited to, a Project Description, a Project Schedule, an Overall
Funding Plan, and a Project Financial Plan as required in the TRCP Program
Guidelines.
a . The Scope of Work shallinclude a detailed description ofthe Project
and willitemize the majortasksand theirestimated costs.
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b. The Proje ct Schedule shallinchide majorta sks and/ormile stone s and
theirassociated beginning and ending dates and duration.
c . The Overall Funding Plan shall itemize the various Project
Components, the committed funding program(s) orsource(s), and the matching
funds to be provided by Recipient and/or other funding sources, if any [these
Components include Environmental and Permits; Plans, Specifications and
Estimates (PS&E); Right-of-Way (ROW); and Construction (including transit vehicle
a c quisition)].
d. The Project FinancialPlan shallidentifyestimated expendituresforthe
Project Component by funding source, provided that for the purposes of this
Agreementthe State is only monitoring compliance fore xp e nditure s forthe TRCP,
including but not limited to GGRF and SB 1 Funds allocated for the Project
Component.
6. Adoption and execution of the Program Supplement by Recipient and
State, incorporating the termsand conditions ofthis Agreement into the Program
Supplement as though fully set forth therein, shallbe sufficient to bind Recipient
to these terms and conditions when performing the Project. Unless otherwise
expressly delegated to a third-partyin a resolution by Recipient'sgoveming body,
which delegation must be expressly assented to and concurred in by State, the
Program Supplement shallbe managed by Recipient.
7. 'lhe estimated cost and scope of the Project will be as described in the
applicable Program Supplement. The State shallnot participate in any funding
for the Project beyond those amounts actually encumbered by the STATE as
evidenced in the applicable Program Supplement unless the appropriate steps
are followed and approvalis granted bythe CTC asdescribed below.
8. Upon the stated expiration date of this Agreement, any Program
Supplement executed under this Agreement forthe Project with obligations yet
to be completed pursuant to the approved Project Schedule, deliverables, and
reporting requirements shall be deemed to extend the term of this Agreement
only to conform to the specific Project termination orcompletion date, including
completion of deliverables and reporting requirements, contemplated by the
applicable Program Supplement to allow that uncompleted Project to be
administered underthe extended termsand conditions of this Agreement.
9. Total project cost includes the cost of a project for all phases (Plans,
Specifications, and Estimates (PS&E), Project Approval and Environmental
Document (PA&ED) Right-of-Way (ROW), and Construction (CON) including
rolling sto c k) o f a Project from sta rt to finish.
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B. Project Overrun
1. If Recipient or the State determine, at any time during the performance of
the Project, that the Project budget may be exceeded, Recipient shalltake the
following steps:
a . Notify the designated State representative of the nature and
projected extent of the overrun and, within a reasonable period thereafter,
identifyand quantify potentialcost savings orothermeasureswhich Recipient will
institute to bring the Project Budget into balance ; and
b. Identify the source of additional Recipient or other third-party funds
that can be made available to complete Project. Recipient agrees that the
allocation ofthe GGRF and SB 1 funds is subject to the allocation proposed by
the CaISTA, submitted by the State, and approved by the CTC.
C. Cost Savings and Project Completion
1. Recipient is encouraged to evaluate design and construction alternatives
that would mitigate the costs of delivering the commitments for the Project.
Recipient shalltake all steps necessary on a commercially reasonable basisthat
would generally be taken in accordance with best management practices. In
determining cost savings, the Parties shall take into account all avoided costs,
including avoided design, material, equipment, labor, construction, testing,
acceptance and overhead costs and avoided costsdue to time savings, and all
the savingsin financing c o sts a sso c ia te d with such avoided costs.
2. If there is an identification and implementation of any Ca1STA approved
alternative resulting in reduction of the Project costs, the parties agree that the
recipient shall provide a prorated share of Project or 'IRCP funded Project
component cost savingsbased on the overallproject match to the Department
no laterthan 30daysafterthe submission ofthe fmalinvoice . Subjectto Ca1STA's
approval, savings may be used towards anotherproject component ortowards
increasing project benefits that are consistent with the original project award
while maintaining the overallproject match referenced in the project award and
program supplements.
3. Program supplements will indicate the Project or Component proration of
funding match.
4. The Recipient agrees to complete the Project and accepts sole
responsibility for the payment of any cost increases. F either the Project or the
funded components are not completed, the Recipient shallbearthe burden of
faHTIRCP funds reimbursement to the Department.
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D. Scope ofWork
1. Recipient shall be responsible for complete performance of the work
described in the approved Program Supplement for the Project related to the
commitment of encumbered funds. All work shall be accomplished in
accordance with the applicable provisions of the Act, Public Utilities Code , the
Streets and Highways Code, the Government Code, and other applicable
statutes and regulations.
2. Recipient acknowledges and agrees that Recipient is the sole controland
manager of the Project and its subsequent employment, operation, repair and
maintenance forthe benefit of the public . Recipient shallbe solely responsible
forcomplying with the funding and use restrictions established by (a) the statutes
from which the GGRF and SBl Funds are derived, (b) the CTC, (c) the State
Treasurer, (d) the Internal Revenue Service, (e) the applicable Program
Supplement, and (f this Agreement.
3. Recipient acknowledges and agrees that the Recipient is responsible for
complying with all reporting requirements established by the TIRCP Guidelines
and California Air Resource Board (CARB) Funding Guidelines.
E. Program Supplement Amendments
Program Supplement amendments will be required whenever there are CaISTA
or CTC approved actions, including but not limited to, Financial Allocations,
Financial Allocation Amendments, Time Extensions and Technical Corrections.
These changes shall be mutually binding upon the Parties only following the
execution of Program Supplement amendment.
Section 3. Allowable Costs and Payments
A. Allowable Costs and Progress Payment Invoice
1. Not more frequently than once a month, Recipient willprepare and submit
to State signed Progress Payment Invoice for actual Project costs incurred and
paid forby Recipient consistent with the allocation and Scope ofWorkdocument
in the Program Supplement and State shall pay those uncontested allowable
costs once the invoice is reviewed and approved by the Department, subject to
CaISTA's approval. Ifno costs were incurred during any given quarter, Recipient
is exempt from submitting a signed Progress Payment Invoice .
2. State shall not be required to reimburse more funds, cumulatively, per
quarter of any fiscal year greater than the sums identified and included in the
Project FinancialPlan. The State shallhold the right to determine reimbursement
availability based on an approved expenditure plan and TIRCP anticipated or
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actual funding capacity. Each such invoice will report the total of Project
expenditures from GGRF and SB 1 Funds (including those of Recipient and third
parties) and will specify the percent of State reimbursement requested and the
G G RF and SB 1 Funds source .
B. Finalhivoice
The Program Supplement Last Expenditure Dates(s) refer to the last date for
Recipient to incurvalid Project costs or credits. Recipient has one hundred and
eighty (180) days afterthat Last Expenditure Date to make already incurred final
allowable payments to Project contractors or vendors, prepare the Project
Closeout Report, and submit the final invoice to State for reimbursement of
allowable Project costs before those remaining State funds are unencumbered
and those funds are reverted as no longer available to pay any Project costs.
Recipient expressly waives any right to allowable reimbursements from State
pursuant to this Agreement for costs incurred after that termination date and for
costs invoiced to Recipient for payment after that one hundred and eightieth
(180th) day following the Project Last Expenditure Date .
ARIIC IE III- G INERAL PRO VISIO NS
Section 1. Funding
1. Recipient agreesto contribute atleastthe sta tutorily orotherre quire d local
contribution of matching funds (other than State or federal funds), if any is
specified within the Program Supplement or any appendic e s thereto, toward the
actualcostofthe Projectorthe amount, if any, specified in anyexecuted SB2800
(Streets and Highways Code Section 164.53) Agreement for local match fund
credit, whichever is greater. Recipient shall contribute not less than its required
match amount toward the Project cost in accordance with a schedule of
payments as shown in the Project Financial Plan prepared by Recipient and
approved by State aspart ofa Program Supplement.
Section 2. Au d its and Reports
A. C o st Prin c ip le s
1. Recipient agrees to comply with Title 2 Code ofFederalRegulations200 (2
CFR200) Uniform Administrative Requirements, Cost Principles for State and Local
Government, and Audit Requirements forFederalAwards.
2. Recipient agrees, and willassure that its contractors and subcontractorswill
be obligated to follow 2 CFR 200 and which shall be used to determine the
allowability of individual Project cost items. Every sub-recipient receiving Project
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fundsasa contractororsub-contractorunderthis Agreement shallcomplywith2
C FR 200.
3. Any Project costs forwhich Recipient has received payment or credit that
are determined by subsequent audit to be unallowable under 2 CFR 200, are
subject to repayment by Recipient to State. Should Recipient faAto reimburse
moneys due State within thirty (30) days of demand, or within such other period
as may be agreed in writing between the Parties hereto, State is authorized to
intercept and withhold future paymentsdue to Recipient from State oranythird-
party source whose funding passesthrough the State, including butnot limited to,
the State Treasurer, the State Controllerand the CTC.
4. The State may terminate the grant for any reason at any time if it is
determined by the State, based on an audit underthis section, that there has
been a violation of any State or federal law or policy by the Recipient during
performance underthis or any other grant agreement or contract entered into
with the State . Ifthe grant isterminated underthis section, the Recipient maybe
required to fully orpartially repay funds.
B. Re c o rd Retention
1. Recipient agrees, and will assure that its contractors and subcontractors
shall establish and maintain an accounting system and records that properly
accumulate and segregate incurred Project costs and matching funds by line
item forthe Project. The accounting system of Recipient, its contractors and all
subcontractors shall conform to Generally Accepted Accounting Principles
(GAAP), enable the determination of incurred costs at interim points of
completion, and provide support for reimbursement payment vouchers or
invoices. All accounting records and other supporting papers of Recipient, its
contractors and subcontractors connected with Project performance underthis
Agreement and each Program Supplement shallbe maintained fora minimum
ofthree (3) years from the date offnalpayment to Recipient undera Program
Supplement and shall be held open to inspection, copying, and audit by
representatives of State, the California State Auditor, and auditors representing
the federal government. Copies thereof will be furnished by Recipient, its
contractors, and subcontractors upon receipt of any request made by State orits
agents. In conducting an auditofthe costsand match credits cla imed underthis
Agreement, State willrely to the maximum extent possible on any prior audit of
Recipient pursuant to the provisions of federal and State law. In the absence of
such an audit, any acceptable auditworkperformed by Recipient'sexternaland
internal auditors may be relied upon and used by State when planning and
conducting additionalaudits.
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2. Forthe purpose ofdetermining compliance with Title 21, California Code of
Regulations, Section 2500etseq., when applicable, and othermattersconnected
with the performance of Recipient's contracts with third parties pursuant to
Government Code section 8546.7, Recipient, Recipient's contractors and
subcontractors, and State shalleach maintain and make available forinspection
all books, documents, papers, accounting records, and other evidence
pertaining to the performance ofsuch contracts, including, but not limited to, the
costs of administering those various contracts. Allofthe above referenced parties
shallmake such Agreement and Program Supplement materials available attheir
respective offices at a Brea sonable timesduring the entire Projectperiod and for
three (3) years from the date of finalpayment to Recipient under any Program
Supplement. State, the California State Auditor, or any duly authorized
representative of State or the United States Department of Transportation, shall
each have access to any books, records, and documents that are pertinent to
the Project for audits, examinations, excerpts, and transactions, and Recipient
shallfumish c op ie s the re o f if re que ste d.
3. Recipient, its contractors and subcontractors will permit access to all
records of employment, employment advertisements, employment application
forms, and other pertinent data and records by the State Fair Employment
Practicesand Housing Commission, oranyotheragencyofthe State ofCalifornia
designated by State, forthe purpose ofany investigation to ascertain compliance
with this Agreement and the Act.
C. Reporting Requirements
1. Reporting requirements of Recipient will include whether reported
implementation a ctivitie s are withinthe scope ofthe Project Program Supplement
and in compliance with State laws, regulations, and administrative requirements.
2. 'IIRCP Progress Reporting shallbe no more frequently than monthly and no
less frequently than quarterly at the discretion of the State and shall generally
include the fo llo w in g information;
a . Activitiesand progressmade towards implementation ofthe project
during the reporting period and activities anticipated to take place in the next
reporting period;
b. Identification ofwhetherthe Project is proceeding on schedule and
within budget;
C . Identification ofwhetherthe Project Deliverables are proceeding on
schedule.
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d. Identification of changes to the Project funding plan, milestone
schedule, ordeliverables completion date ;
e. Any actual or anticipated problems which could lead to delays in
schedule, increased costs or other difficulties for eitherthe Projector other State
funded projects impacted by the Project's scope of work and the efforts or
activitiesbeing undertaken to minimize impactsto schedule, cost, ordeliverables;
3. CARB Reporting shall be no more frequently than monthly and no less
frequently than semiannually at the discretion of CARB and shall include the
fo llo w in g information (subject to modification b y C ARB);
a. Identify metrics and benefits achieved for disadvantaged
communities, low income communities, and/orlow-income households;
b. continued reporting following project implementation to identify
benefits achieved.
C. Any and allotherrequirements instituted by GARB.
4. Within one yearofthe Project orreportable Project components becoming
operable, the implementing agency must provide a finaldeliveryreportincluding
at a minimum:
a. Scope ofcompleted Project as compared to Programmed Project;
b. Performance outcomes derived from the project as compared to
outcomes described in the Project application and shall include but not be
limited to before and after measurements and estimates for ridership, service
levels, greenhouse gas reductions, updated estimated greenhouse gas
reductions overthe life of the project, benefits to disadvantaged communities,
low income communities, and/or low income households, and project co-
benefits as well as an explanation of the methodology used to quantify the
benefits.
C. Before and afterphotos documenting the project
d. The final costs as compared to the approved project budget by
component and fund type, and an estimate ofthe TIRCP funds spent to benefit
disadvantaged communities, low-income communities, and/or low-income
households, and
e. The project duration as compared to the project schedule in the
project application.
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Section 3. Special Requirements
A. California Transportation Commission Resolutions
1. Recipient shalladhere to applicable CTC policieson "Timely Use ofFunds"
as stated in Resolution G-06-04, adopted April 26, 2006, addressing the
expenditure and reimbursement of GGRF and SB 1 Funds. These resolutions,
and/or successor resolutions in place at the time a Program Supplement is
executed, shallbe applicable to GGRFand SB 1 funds, respectively.
2. Recipient shallbe bound to the terms and conditions of this Agreement,
the Project application contained in the Program Supplement (as applicable);
and CTC ResolutionsG-06-04, G-09-11 and/ortheirrespective successorsin place
at the time the Program Supplement is signed (as applicable) and allrestrictions,
rights, duties and obligations established therein on behalf of State and CTC shall
accrue to the benefitofthe CTC and shallthereafterbe subjectto anynecessary
enforcement action by CTC or State. All terms and conditions stated in the
aforesaid CTC Resolutionsand CTC-approved Guidelines in place atthe time the
Program Supplement is signed (if applicable) shall also be considered to be
binding provisions ofthis Agreement.
3. Recipient shall conform to any and all permit and mitigation duties
associated with Project aswellasallenvironmentalobligationsestabhshed in CTC
Resolution G-91-2 and/or its successors in place at the time a Program
Supplement is signed, as applicable, at the expense of Recipient and/or the
responsible party and without any further fmancialeontnbutions orobligations on
the part of State unless a separate Program Supplement expressly provides
funding forthe specific purpose of hazardous materialsremediation.
B. Re c ip ie nt Re so lutio n
1 . Recipient has executed this Agreement pursuant to the authorizing
Recipient resolution, attached asAppendixBto this Agreement, which empowers
Recipient to enterinto this Agreement and which may also empower Recipient
to enterinto all subsequent Program Supplements adopting the provisions of this
Agreement.
2. FRecipient or State determines that a separate Resolution is needed for
each Program Supplement, Recipient will provide information as to who the
authorized designee is to act on behalf of the Recipient to bind Recipient with
regard to the terms and conditions of any said Program Supplement or
amendment and willprovide a copy of that additional Resolution to State with
the Program Supplement orany amendment to that document.
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C. Termination
1. Termination Convenience by State
a. State reserves the right to terminate funding for any Program
Supplement, subject to Ca1STA approval, upon written notice to Recipient in the
event that Recipient fails to proceed with Project work in accordance with the
Program Supplement, or otherwise violates the conditions of this Agreement
and/orthe Program Supplement orthe funding allocation such that substantial
performance is significantly endangered.
b. No such termination shallbecome effective if, within thirty (30) days
afterreceiptofa notice oftermination, Recipient eithercuresthe defaultinvolved
or, if not reasonably susceptible of cure within said thirty (30)-day period,
Recipient proceeds thereafterto complete the cure in a manner and time line
acceptable to State. Any such termination shallbe accomplished by delivery to
Recipient of notice oftermination, which notice shallbecome effective not less
than thirty (30) days afterreceipt, specifying the reason forthe termination, the
extentto which funding ofworkunderthis Agreement isterminated and the date
upon which such termination becomes effective, ifbeyond thirty (30) days after
receipt. During the period before the effective termination date , Recipient and
State shallmeet to attempt to resolve any dispute .
C. Following a fund encumbrance made pursuant to a Program
Supplement, if Re c ip ie nt fails to expend G G RF or SB 1 monies within the time
allowed specified in the Program Supplement, those funds may revert, and be
deemed withdrawn and will no longer be available to reimburse Project work
unless those funds are specifically made available beyond the end of that Fiscal
Year through re-appropriation or other equivalent action of the Legislature and
written notice of that action is provided to Recipient by State.
d. In the event State terminates a Program Supplement for
convenience and not fora default on the part ofRecipient as is contemplated in
this section, Recipient shall be reimbursed its authorized costs up to State 's
proportionate and maximum share ofallowable Project costs incurred to the date
of Recipient's receipt of that notice of termination, including any unavoidable
costs reasonably and necessarily incurred up to and following that termination
date by Recipient to effect such termination following receipt of that termination
no tic e.
2. Termination AfterRecipient's Obligations Fully Performed
Following project completion, and all obligations as defined in the TIRCP
Guidelines, C ARB Guidelines, and Program Supplement are fully performed,
including Project completion of all deliverables and reporting, the Program
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Supplement sha Ube terminated. Ifthe Project obligations are not fully performed,
as defined underthis section, the Recipient maybe required to fully orpartially
repay funds.
D. Third Party C o ntra c tin
1. Recipient shall not award a construction contract over $10,000 or other
c ontra c ts ove r$25,000 [excluding p ro fe ssiona I se rvic e c ontra c ts o f the type which
are required to be procured in accordance with Government Code Sections
4525 (d), (e) and (f)] on the basis ofa noncompetitive negotiation forworkto be
performed under this Agreement without the prior written approval of State.
Contracts awarded by Recipient, if intended as localmatch credit, must meet
the requirements set forth in this Agreement regarding localmatch funds.
2. Any subcontract entered into by Recipient as a result of this Agreement
shallcontain the provisions of ARTICLE M—GENERALPROVISIONS, Section 2. Audits
and Reports and shall mandate that travel and per diem reimbursements and
third-partycontractreimbursementsto subcontractorswillbe allowable asProject
costs only afterthose costs are incurred and paid forby the subcontractors.
3. In addition to the above, the preaward requirements of third-party
contractor/consultantswith localtransit agencies should be consistent with Local
Pro g ra m Pro c e d ure s (LPP-00-05).
E. Change in Funds and Terms/Amendments
This Agreement and the resultant Program Supplements may be modified,
altered, orrevised only with the joint written consent of Recipient and State.
F. Project Ownership
1. Unless expressly provided to the contraryina Program Supplement, subject
to the terms and provisions of this Agreement, Recipient, or a designated
subrecipient acceptable to State, as applicable, shall be the sole owner of all
improvements and property included in the Project constructed, installed or
acquired by Recipient or subrecipient with funding provided to Recipient under
this Agreement. Recipient, or subrecipient, as applicable, is obligated to
continue operation and maintenance of the physical aspects of the Project
dedicated to the public transportation purposes for which Project was initially
approved unless Recipient, or subrecipient, as applicable, ceases ownership of
such Project property; ceases to utilize the Project property for the intended
public transportation purposes; or sells ortransfers title to or control over Project
and State is refunded the Credits due State as provided in paragraph (2) herein
below.
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2. Project right-of-way, Project facilities constructed or reconstructed on the
Project site and/orProject property (including vehicles and vessels) purchased by
Recipient (excluding temporary construction easements and excess property
whose proportionate resale proceedsare distributed pursuantto this Agreement)
shall remain permanently dedicated to the described public transit use in the
same proportion and scope, and to the same extent asmandated in the Program
Supplement, unless State agrees otherwise in writing. Vehicles acquired as part
of Project, including, but not limited to, buses, vans, rail passenger equipment,
shall be dedicated to that public transportation use for their full economic life
cycle, which, for the purpose of this Agreement, will be determined in
accordance with standard national transit practices and applicable rules and
guidelines, including any extensions of that life cycle achievable by
reconstruction,rehabilitation orenhancements. The exceptionsto thissection are
outlined below:
a . Except as otherwise set forth in this Section, State, orany otherState-
assignee public body acting on behalfofthe CTC, shallbe entitled to a refund or
credit (collectively the Credit), at State 's sole option, equivalent to the
proportionate Project funding participation received by Recipient from State if
Recipient, or a sub-recipient, as applicable, (i) ceases to utilize Project for the
original intended public transportation purposes or (ii) sells or transfers title to or
controloverProject. Iffederalfands (meaning onlythose federalfunds received
directly by Recipient and not federal funds derived through or from the State)
have contributed to the Project, Recipient shallnotify both State and the original
federal source of those funds of the disposition of the Project assets or the
intended use ofthose sale ortransferreceipts.
b. State shall also be entitled to an acquisition credit for any future
purchase orcondemnation of all or portions of Project by State ora designated
representative oragent ofState .
C . The Creditdue State willbe determined bythe ratio of State 's funding
when measured against the Recipient's funding participation (the Ratio). For
purposes of this Section, the State 's funding participation includes federalfands
derived through orfrom State. That Ratio isto be applied to the then present fair
market value ofProject property acquired orconstructed asprovided in (d) and
(e) below.
d. For Mass Transit vehicles, this Credit [to be deducted from the then
remaining equipment value] shall be equivalent to the percentage of the full
extendable vehicle economic life cycle remaining, multiplied by the Ratio of
funds provided for that equipment acquisition. For real property, this same
funding Ratio shall be applied to the then present fair market value, as
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determined by State, of the Project property acquired or improved under this
Agreement.
e. Such Credit due State as a refund shallnot be required if Recipient
dedicates the proceeds of such sale or transfer exclusively to a new or
replacement State approved public transit purpose, which replacement facility
orvehicles willthen also be subject to the identicaluse restrictions forthat new
public purpose and the Creditratio due State should that replacement projector
those replacement vehicles cease to be used for that intended described pre-
approved public transit purpose .
i. In determining the present fair market value of property for
purposes of calculating State 's Credit under this Agreement, any real property
portions of the Project site contributed by Recipient shall not be included. In
determining State 's proportionate funding participation, State 's contributions to
third parties (other than Recipient) shall be included if those contributions are
incorporated into the Project.
ii. Once State has received the Credit as provided for above
because Recipient, ora sub-recipient, asapplicable, has (a) ceased to utilize the
Project for the described intended public transportation purpose(s) for which
State funding was provided and State has not consented to that cessation of
services or (b) sold ortransferred title to or control over Project to anotherparty
(absent State approvalforthe continued transit operation of the Project by that
successor party under an assignment of Recipient's duties and obligations),
neitherRecipient, subrecipient, norany party to whom Recipient orsubrecipient,
asapplic able, has transferred said title orcontrolshallhave anyfurtherobligation
underthis Agreement to continue operation of Project and/or Project fac ilitie s for
those described public transportation purposes, but may then use Project and/or
any of its facilities forany lawfulpurpose .
iii To the extent that Recipient operates and maintains
Intermodal Transfer Stations as any integral part of Project, Recipient shall
maintain each station and all its appurtenances, including, but not limited to,
restroom facilities, in good condition and repair in accordance with high
standards of cleanliness (Public Utilities Code section 99317.8). Upon request of
State, Recipient shallalso authorize State-funded busservicesto use those stations
and appurtenances without any charge to State or the bus operator. Ihis
permitted use will include the placement of signs and informational material
designed to alertthe public to the availabilityofthe State-funded busservice (for
the purpose of this paragraph, "State-funded bus service "means any bus service
fund e d p ursua nt to Public Utilitie s C o d e se c do n 99316).
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G. Disp ute s
Parties shalldevelop a mutually agreed upon issue re solution process, asdescribed
below, and issues between the Parties are to be resolved in a timely manner. Zhe
Partiesagree to the following:
1. Ythe Partiesare unable to reach agreement on anyparticularissue relating
to either Parties' obligations pursuant to this Agreement, the Parties agree to
promptly follow the issue resolution process as outlined below:
a. 'Ihe Department's project manager and the Recipient's equivalent
mayinitiate the process ofinformaldispute resolution byproviding the otherParty
with written notice ofa dispute . The written notice shallprovide a clearstatement
of the dispute and shall refer to the specific provisions of this Agreement or
Program Supplement that pertain to the dispute . The Department's project
managerand the Recipient's equivalent shallmeet and attempt to resolve the
dispute within five days from the written notice. If the dispute is resolved, the
Partiesshallcreate and signa short description ofthe factsand the resolutionthat
wasagreed upon bythe Parties.
b. Ifthe dispute is not resolved by the fifth day from the written notice,
the Department's senior project manager and the Recipient's equivalent shall
meet and review the dispute within five days. The Department's senior project
manager and the Recipient's equivalent manager shall attempt to resolve the
dispute within tendaysof the irinitialmeeting. Ythe dispute is re solved, the Parties
shall create and sign a short description of the facts and the resolution that was
agreed upon by the Parties.
c . If the dispute is not resolved by the tenth day, the Department's
Director or his designee and the Recipient's equivalent manager shallmeet and
review the dispute within five days. The Department's Dire c to r o r his d e sig ne e and
the Recipient'sequivalentmanagershallattemptto resolve the dispute within ten
days of the initialmeeting. If the dispute is resolved, the Parties shallcreate and
sign a short description of the facts and the resolution that was agreed upon by
the Parties. Ythe dispute is not resolved by the tenth day by the Department's
Directororhis designee and the Recipient's equivalent manager, the Parties shall
submit the matter to the Secretary of CaISTA for a final administrative
determination.
H. Hold Ha rm le ss a nd Ind e m n ific a do n
1. Neither State nor any officer or employee thereof shallbe responsible for
any damage or liability occurring by reason of anything done or omitted to be
done by Recipient, its agents and contractors under or in connection with any
work, authority, orjurisdiction delegated to Recipient underthisAgreement orany
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Program Supplement oras respects environmentalclean-up obligationsorduties
of Recipient relative to Project. It is also understood and agreed that, Recipient
shall fully defend, indemnify and hold the CTC and State and their officers and
employees harmless from any liability imposed for injury and damages or
environmenta lob ligationsordutiesarising orcreated by reason ofanything done
or imposed by operation of law or assumed by, or omitted to be done by
Recipient under or in connection with any work, authority, or jurisdiction
delegated to Recipient underthis Agreement and allProgram Supplements.
2. Recipient shallindemnify, defend and hold harmless State, the CTC and the
State Treasurerrelative to anymisuse by Recipient of State funds, Project property,
Project generated income orotherfiscalactsoromissionsofRecipient.
I. LaborCode Compliance
Recipient shall include in all subcontracts awarded using Project funds, when
applicable, a clause that requires each subcontractorto comply with California
Labor Code requirements that allworkers employed on public works aspects of
any project (as defined in California Labor Code §§ 1720-1815) be paid not less
than the general prevailing wage rates predetermined by the Department of
IndustrialRelations as effective the date ofContractaward bythe Recipient.
J. Non-Discrimination Clause
1. In the performance of work under this Agreement, Recipient, its
contractor(s) and all subcontractors, shall not unlawfully discriminate, harass or
allow harassment against any employee or applicant for employment because
of sex, race, color, ancestry, religious creed, national origin, physical disability,
mentaldisability, medicalcondition, age, maritalstatus, family and medicalcare
leave, pregnancy leave, and disability leave . Recipient, its contractor(s) and all
subcontractors shallensure that the evaluation and treatment oftheiremployees
and applicants for employment are free from such discrimination and
harassment. Recipient, its contractor(s) and all subcontractors shallcomply with
the provisions of the Fair Employment and Housing Act (Government Code
section 12900 et seq.), and the applicable regulations promulgated thereunder
(California Code of Regulations, Title 2, section 7285 et seq.). 'Ihe applicable
regulations of the Fair Employment and Housing Commission implementing
Government Code section 12990 (a-f), set forth in Chapters ofDivision 4 ofTitle 2
of the California Code of Regulations, are incorporated into this Agreement by
reference and made a part hereof as if set forth in full Each of Recipient's
contractors and all subcontractors shall give written notice of their obligations
under this clause to labor organizations with which they have a collective
bargaining or other a gre ements, as appropriate .
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2. Each of the Recipient's contractors, subcontractors, and/orsubrecipients
shallgive writtennotice oftheirobligationsunderthisclause to labororganizations
with which they have collective bargaining or other labor agreements. The
Recipient shallinclude the non-discrimination and compliance provisions hereof
in allcontractsand subcontractsto perform workunderthis Agreement.
3. Should federal funds be constituted as part of Project funding or
compensation received by Recipient under a separate Contract during the
performance of this Agreement, Recipient shallcomply with this Agreement and
with all federal mandated contract provisions as set forth in that applicable
federalfunding agreement.
4. Recipient shallinclude the non-discrimination and compliance provisionsof
this clause in all contracts and subcontracts to perform work under this
Agreement.
5. 'Ihe Recipient shall comply with the nondiscrimination program
requirements of Title VI of the Civil Rights Act of 1964. Accordingly, 49 CFR 21
(Nondiscrimination in Federally-Assisted Programs of the Department of
Transportation—Effectuation of Title VIof The Civil Rights Act of 1964) and 23 CFR
Part 200 (Title VI Program and Related StatutesImplementation and Review
Procedures) are made applicable to this Agreement by this reference . Wherever
the term "Contractor" appears therein, it shallmean the Recipient.
6. The Recipient shall permit, and shall require that its contractors,
subcontractors, and subrecipients will permit, access to all records of
employment, employment advertisements, application forms, and other
pertinent data and records by the State Fair Employment Practices and Housing
Commission or any other agency of the State of California designated by
Department to investigate compliance with this Section J.
K. State Fire Ma rsh a l Bu ild in g Standards Code
The State Fire Marshal adopts building standards for fire safety and panic
prevention. Such regulations pertain to fire protection design and construction,
means of egress and adequacy of exits, installation of fire alarms, and fire
extinguishment systems for any State-owned or State-occupied buildings per
section 13108 of the Health and Safety Code . When applicable, Recipient shall
request that the State Fire Marshal review Project PS&E to ensure Project
consistency with State fire protection standards.
L. Americanswith Disabilities Act
By signing this Master Agreement, Recipient assures State that Recipient shall
comply with the Americans with Disabilities Act (ADA) of 1990, which prohibits
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discrimination on the basis of disability, as wellas all applicable regulations and
guidelines issued pursuant to the ADA (42 U.S.C. 12101 et seq.).
M. Ac c e ss fo r Pe rso n s with Disabilities
Disabled access review by the Department of General Services (Division of the
State Architect) is required for all publicly funded construction of buildings,
structures, sidewalks, curbs and related facilities. Recipient will award no
construction contract unlessRecipient'splansand specifications forsuch facilities
conform to the provisions of sections4450 and 4454 ofthe California Government
Code, if applicable . Further requirements and guidance are provided in Title 24
ofthe California Code of Regulations.
N. Disabled Veterans Program Requirements
1. Should Military and Veterans Code sections 999 et seq. be applicable to
Recipient, Recipientwillmeet, ormake good faith effortsto meet, the 3%Disabled
Veterans Business Enterprises goals (or Recipient's applicable highergoals) in the
award of every contract for Project work to be performed under these this
Agreement.
2. Recipient shallhave the sole dutyand authority underthis Agreement and
each Program Supplement to determine whether these referenced code
sectionsare applicable to Recipient and, ifso, whethergood faith efforts asserted
by those contractors of Recipient were sufficient as outlined in Military and
Veterans Code sections 999 et seq.
O. Enviro nm e nta 1 Pro c e ss
Completion of the Project environmental process ("clearance") by Recipient
(and/or State if it affects a State facility within the meaning of the applicable
statutes) is required priorto requesting Project funds forright-of-way purchase or
construction. No State agency may request funds nor shall any State agency,
board orcommission authorize expenditure soffunds foranyProject effort, except
for feasibility or planning studies, which may have a significant effect on the
environment unless such a request is accompanied with all appropriate
documentation of compliance with or exemption from the California
EnvironmentalQua lity Act (CEQA) (including, Was appropriate, an environmental
impact report, negative declaration, or notice of exemption) under California
Public Resources Code section 21080(b) (10), (11), and (12) provides an
exemption for a passenger rail project that institutes or increases passenger or
commuter services on railorhighway rights-of-way already in use .
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Program Sup plement No. )OOOOCKPS
P. Force Ma je ure
Each party willbe excused from performance of its obligations where such non-
performance iscaused by any extraordinary event beyond itsreasonable control,
such as any non-appealable order, rule or regulation of any federal or state
governmental body, fire, flood, earthquake, storm, hurricane or other natural
disaster, epidemic, pandemic, war, invasion, act of foreign enemies, hostilities
(regardless of whether war is declared), civil war, rebellion, revolution,
insurrection, military or usurped power or confiscation, terrorist activities,
nationalization, government sanction, blockage, embargo, labor dispute, strike,
lockout or interruption, provided that the party excused hereunder shall use all
reasonable effortsto minimize itsnon-performance and to overcome, remedy or
remove such event in the shortest practicaltime.
Should a force majeure event occur which renders it impossible fora period of
forty-five (45) ormore consecutive days foreitherparty to perform its obligations
hereunder, the Parties agree to negotiate in good faith to amend the existing
Master Agreement or Supplemental Agreement to dealwith such event and to
seek additionalsources offunding to continue the operation ofthe Service.
ARTIC LE IV - MISC EIIANEO US PRO VISIO NS
Section 1. Miscellaneous Provisions
A. Su c c e sso r Ac is
Allstatutescited herein shallbe deemed to include amendmentsto and
successor statutes to the cited statues as they presently exist.
B. Suc c e ssor a nd Assigns to the Pa rtie s
Neither this Agreement nor any right, duty or obligation hereunder may be
assigned, transferred, hypothecated orpledged by any party without the express
written consent of the other party; provided, that unless otherwise expressly
required herein, a party shallnot be obligated to obtain the written consent of
the otherparty with re spe ct to any contract related to the Service forthe provision
of goods and/or services to the contracting party in the ordinary course of
busine ss.
C. No tic e
Any notice which may be required underthis Agreement shallbe in writing, shall
be effective when received, and shallbe given bypersonalservice, orby certified
orregistered mail, return receipt requested, to the addresses set forth below, orto
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such otheraddressesas may be specified in writing and given to the otherparty
in accordance herewith.
If given to the Department:
Sta to o f C a lifo m is
Department of Transportation
Division ofRailand Ma ss Tra nsp o rta tio n
P.O. Box 942874
Sa c ra in e nto, CA 994274-0001
Attention: Division of Rail and Mass Transit TIRCP Contract Manager, Mail
Stop 39
with a copy to:
California State Transportation Agency
915 CapitoIMallSuite 350 B
Sacramento, CA 95814
Fgiven to the Recipient:
City of Petaluma
555 North McDowellBlvd
Pe to hum a , CA 94954
Attention: Jared Hall
D. Amendment
This Agreement may not be changed, modified, or amended except in writing,
signed by the parties hereto, and approved in advance in writing by the
Secretary, and any attempt at oral modification of this Agreement shallbe void
and ofno effect.
E. Representation and Wa rra ntie s o f the Parties
1. Recipient hereby represents and warrants to the Department that:
a . Recipient is in good standing under applicable law, with allrequisite
powerand authority to carryon the activitie s forwhich ithasbeen organized and
proposed to be conducted pursuant to this Agreement.
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b. Recipient has the requisite power and authority to execute and
deliver this Agreement and to carry out its obligations hereunder. 'Ihe execution
and delivery of this Agreement by such entity, the performance by it of its
obligationsthereunderand the consummation ofthe transactions contemplated
therebyhave been dulyauthorized bythe governing board ofsuch entityand no
otherproceedings are necessary to authorize this Agreement orto consummate
the transactions contemplated thereby. The Agreements have been duly and
validly executed and delivered by such entity and constitute valid and binding
obligations of such entity, enforceable against it in accordance with theirterms,
except to the extent that such enforceability may be subject to bankruptcy,
insolvency, reorganization, moratorium or other laws now orhereinafter in effect
relating to the creditor's rights and the remedy of specific enforcement and
injunctive and other forms of equitable relief, and may be subject to equitable
defenses and to the discretion of the court before which any proceeding
therefore maybe brought.
C . Neither the execution and delivery of this Agreement and the
performance of its obligations thereunder nor the consummation of the
transactions contemplated therebywill(i) conflict with orresultin a breach ofany
provision of any agreement to which Recipient is a party; (ii) violate any write,
order, judgment, injunction, decrees, statute, rule or regulation of any court or
governmentalauthority applicable to such entity or its property or assets.
2. The Department does hereby represent and warrant with respect to each
provision of this Agreement to the Recipient that:
a. It validly exists with allrequisite power and authority to carry on the
activities proposed to be conducted pursuantto this Agreement.
b. It has the requisite power and authority to execute and deliverthis
Agreement and to carry out its obligations thereunder. 'Ilie execution and
deliveryofthisAgreement, the performance byitofitsobligationsthereunderand
the consummation of the transactions contemplated thereby have been duly
authorized and no otherproceedings are necessary to authorize this Agreement
orto consummate the transactions contemplated thereby. 'Ihe agreementshave
been duly and validly executed and delivered by it and constitute valid and
binding obligations, enforceable against itin accordance with theirterms, except
to the extent that such enforceability maybe subject to bankruptcy, insolvency,
reorganization, moratorium or other laws now or hereinafter in effect relating to
creditor's rights and other forms of equitable relief, and may be subject to
equitable defenses and to the discretion of the court before which any
proceeding therefore maybe brought.
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C. Neither the execution and delivery of this Agreement and the
performance of its obligations thereunder nor the consummation of the
transactions contemplated therebywill(i) conflict with orresultin a breach ofany
provision of any agreement to which the Recipient is a party; (ii) violate any writ,
order, judgment, injunction, decree, statute, rule or regulation of any court or
govemmenta I authority applicable to such entity oritsproperty orassets.
F. Construction, Number, Genderand Captions
The Agreements have been executed in the State of California and shall be
construed according to the law of said State . Numbers and gender as used
therein shall be construed to include that number and/or gender which is
appropriate in the context of the text in which either is included. Captions are
included therein forthe purposes of ease of reading and identification. Neither
gender, number nor captions used therein shallbe construed to alterthe plain
meaning ofthe text in which any orallofthem appear.
G. Complete Agreement
This Agreement, including Appendices, constitutes the full and complete
agreementofthe parties, superseding and incorporating allpriororaland written
agreements relating to the subject matter of this Agreement. All attached
Appendices A and Bare hereby incorporated and made an integralpart of this
Agreement by this reference.
H. Pa rtia 1 Inva lid ity
Ifany part ofthis Agreement is determined tobe invalid, illegalorunenforceable,
such determination shallnot affect the validity, legality or enforceability of any
otherpart of this Agreement and the remaining parts of this Agreement shallbe
enforced as if such invalid, illegal or unenforceable part were not contained
herein.
I. Conflicts
To the extent that any provision oforrequirement ofthisAgreement may conflict
with a provision or requirement of any other agreement between the parties
hereto, orbetween a party hereto and any otherparty, which is attached to this
Agreement as an appendix, the priority of agreements shall be employed to
resolve such conflict. In the event of conflict, the Master Agreement controls
the Program Supplement and any furtherAmendments.
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J. C o unte rp a rts
This Agreement maybe executed in one ormore counterparts and may include
multiple signature pages, all of which shall be deemed to be one instrument.
Copies ofthisAgreement may be used in lieu ofthe originaL
K. Governing Law
The Agreementshallbe governed byand construed in accordance with the laws
ofthe State of California .
IN WTINESS WHEREOF, the parties hereto have executed this Agreement by their
duly authorized officers.
STATE OF C ALIF'O RNIA C TIY O F PETALUMA
DEPARTMENT O F TRANSPO RATIO N
BY BY:
W.Kyle Gradinger Peggy Flynn
Chief, Division ofRailand Mass City Manager
Transportation
DATE: DATE:
APPRO VED AS TO FO RM AND PRO C EDURE
STATE OF C ALIF'O RNIA
DEPARTMENT O F TRANSPO RTATIO N
BY:
Deputy Attorney
DATE:
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Program Supplement No. XIS
APPENDIX A
1IRC P PRO G RAM G UIDELINES AND DEPARIMEN T DELEG ArIIO N
(INSERT G UIDELINES AND DEPARIMENT DELEG A-HO N)
2022 TRANSIT AND INTERCITY RAIL CAPITAL PROGRAM GUIDELINES
NOVEMBER 19, 2021
TRANSIT AND INTERCITY RAIL CAPITAL PROGRAM
Contents
1 Authority and Purpose .................................................................................................................2
2 Background................................................................................................................................2 3
Objectives..................................................................................................................................4 4
Pre-Application and Post-Award Technical
Assistance.......................................................................4 5 Funding
.....................................................................................................................................5 6 Schedule
....................................................................................................................................5 7 Eligible
Applicants........................................................................................................................5 8 Eligible
Projects...........................................................................................................................6 9 Project
Applications.....................................................................................................................9 10
ProjectEvaluation......................................................................................................................13
10.1 Primary EvaluationCriteria...................................................................................................14
10.2 Secondary Evaluation Criteria..............................................................................................15
10.3 Benefit to PriorityPopulations..............................................................................................19
11 Project
SelectionProcess............................................................................................................20 12
Programming............................................................................................................................22
13 Allocations and Project
Delivery...................................................................................................23 13.1 Letter of
NoPrejudice .........................................................................................................24 13.2 Multiyear
Funding Agreement.............................................................................................25 13.3 Project
Delivery Deadline Extensions and Timely Use of Funds..................................................25 14
ProjectReporting ......................................................................................................................26
15 Project Administration
...............................................................................................................27 16 Project
Expenditures..................................................................................................................28
Attachment 1: CCI Funding Guidelines for Administering
Agencies..........................................................29 Attachment 2: Quantification Methodology and
Co-Benefit Assessment Methodology ..............................31 Attachment 3: Benefit Criteria
Tables................................................................................................. 33 Attachment 4: California
Transportation Commission — Transit and Intercity Rail Capital Program Allocation Policy
ResolutionG-20-61...........................................................................................................34 2022
TIRCP GUIDELINES NOVEMBER 19, 20212 1 Authority and Purpose The Transit and Intercity Rail
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Capital Program (TIRCP) was created by Senate Bill (SB) 862 (Chapter 36, Statutes of 2014) and
modified by SB 9 (Chapter 710, Statutes of 2015), to provide grants from the Greenhouse Gas
Reduction Fund (GGRF) to fund transformative capital improvements that will modernize
California's intercity, commuter, and urban rail systems, and bus and ferry transit systems, to
significantly reduce emissions of greenhouse gases, vehicle miles traveled, and congestion. The
legislation of these bills is codified in Sections 75220 through 75225 of the Public Resources Code
(PRC). Assembly Bill (AB) 398 (Chapter 135, Statutes of 2017) extended the Cap-and-Trade
Program that supports the TIRCP from 2020 through 2030. SB 1 (Chapter 5, Statutes of 2017)
continues to provide a historic funding increase for transportation with funds directed to the
TIRCP from the Public Transportation Account for new programming in this cycle. Section 75224
of the PRC requires the California State Transportation Agency (CaISTA) to approve a new five-
year Program of Projects not later than April 1 of every even year.The 2022 TIRCP grant cycle will
program projects starting with the 2022-23 fiscal year and ending with the 2026-27 fiscal year.
The new program cycle will include previously awarded and active Cycle 4 projects that have not
been fully allocated by the end of the 2021-22 fiscal year, and new projects from Cycle 5. The
GGRF and SB 1 continue to provide substantial funding available to be programed toward new
projects in the TIRCP. While funding estimates for the program are considered reasonable as of
the date of the guidelines, GGRF funds are subject to impacts from market forces and auction
proceeds. These guidelines describe the policy, standards, criteria, and procedures for the
development, adoption, evaluation and administration of the TIRCP. The guidelines were
developed in consultation with the California Air Resources Board (CARB), the California
Transportation Commission (Commission), the Department of Transportation (Caltrans), and the
Strategic Growth Council (SGC), and will be further informed by input received through
workshops, public comments and written responses. 2 Background AB 32 (Chapter 488, Statutes
of 2006), the Global Warming Solutions Act of 2006, AB 32 created a comprehensive program to
reduce greenhouse gas emissions in California. AB 32 requires California to reduce greenhouse
gas emissions to 1990 levels by 2020, and to maintain and continue reductions beyond 2020. SB
32 (Chapter 249, Statutes of 2016) established a climate goal for California to reduce greenhouse
gases to 40 percent below 1990 levels by 2030. The Cap-and-Trade Program, a key element in
California's Climate Change Scoping Plan, implements measure to achieve greenhouse gas
reduction goals. It creates a limit on the emissions from sources responsible for 85 percent of
California's greenhouse gas emissions, establishes the price signal needed to drive long-term
investment in cleaner fuels and more efficient use of energy, and gives covered entities flexibility
to implement the lowest-cost options to reduce greenhouse gas emissions. In 2012, the
Legislature passed and Governor Brown signed into law three bills, AB 1532 (Chapter 807,
Statutes of 2012), SB 535 (Chapter 830, Statutes of 2012), and SB 1018 (Chapter 39, Statutes of
2012),that established the GGRF to receive the State's portions of proceeds from the distribution
of allowances via auction and provided the framework for how those auction proceeds will be
appropriated and expended. Subsequent legislation, AB 1550 (Chapter 369, Statutes of 2016),
modified requirements for expenditures from the GGRF relative to disadvantaged communities
and low-income communities and households. State law requires that expenditures from the
GGRF be used to facilitate the achievement of greenhouse gas emission reductions. In addition,
Transit and Intercity Rail Capital Program expenditures must comply with the requirements
contained in SB 862 and SB 9, which provide statutory direction for the program. 2022 TIRCP
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GUIDELINES NOVEMBER 19, 20213 In 2019 and 2020, Governor Newsom signed two executive
orders—E.O. N-19-19 and E.O. N-79-20—both of empower CaISTA to leverage discretionary state
transportation funds to reduce transportation-related Greenhouse Gas (GHG) emissions and to
adapt to climate change. E.O. N-79-20 seta deadline ofJuly 15,2021 for CaISTA to identify specific
near-term actions and investment strategies to combat and prepare for climate change, which
resulted in the creation of the Climate Action Plan for Transportation Infrastructure (CAPTI). The
Climate Action Plan for Transportation Infrastructure (CAPTI) was developed by CaISTA through
a robust stakeholder engagement process and was adopted on July 12, 2021. CAPTI puts forth a
set of guiding principles which serve as a framework for state discretionary transportation
investment, and also includes a suite of implementation strategies and actions meant to align
transportation infrastructure investments with the overall investment framework. TIRCP is
closely linked to CAPTI and serves as a means by which to implement the higher-level policy
developed in the plan. The TIRCP Guidelines include updates that work to implement actions
listed in CAPTI, particularly Actions 52.1, 52.3, and 57.1. Together, these actions help TIRCP
support California Integrated Travel Project (Cal-ITP)implementation,support deployment of ZEV
fleets, and better support Pro-Housing policies. • 52.1 Implement the California Integrated Travel
Project (Cal-ITP): Caltrans will provide transit providers an easier and less expensive process to
implement contactless payment, benefit eligibility verification, and other services via Cal-ITP.
Additionally, Caltrans will work to provide technical assistance and support to small and rural
transit operators to implement these features in their service areas. • 52.3 Accelerate TIRCP
Cycles to Support Transit Recovery with Deployment of ZEV Transit/Rail Fleets and Transit/Rail
Network Improvements: In collaboration with CARB, CaISTA will develop a new Clean Fleet and
Facilities Network Improvement project category in the TIRCP to provide additional support and
funding to transit agencies needing to replace their aging vehicle fleets with ZEVs, while also
working with local agencies to improve network efficiency and integration. Additionally, to
support economic recovery efforts in the short term,the administration has supported increasing
the TIRCP which will enable CaISTA to accelerate the 2022 funding cycle to allow for pursuing this
new project category without undermining current investments. Additionally, CaISTA hopes to
start guidelines development and the programcall for projects earlier than past years and identify
additional near-term cash flow that will expand funding opportunities. CaISTA will also offer
expanded technical assistance prior to application to support agencies of every size throughout
the state. • 57.1 Leverage Transportation Investments to Incentivize Infill Housing Production:
CaISTA will work to use transportation funding to reduce VMT by incentivizing infill residential
development and densities appropriate and feasible for each given community. Building upon
the "Pro-Housing" Standard developed by the Department of Housing and Community
Development (HCD), competitive funding programs will explore adopting incentives for local
policies that tend to support location-efficient and mixed-use housing production, while
considering the needs of rural, suburban, and urban jurisdictions and how appropriate policies
may differ among those areas. Such local policies may include Housing Element compliance, by-
right (nondiscretionary) approval processes for multifamily residential and mixed-use
development, zoning to allow for residential and mixed-use developments in non-residential
zones, reduced parking requirements for residential development, or expanded density bonuses
that exceed state density bonus law,among other local policies. Initially,transportation programs
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19, 2021 4 efficiency or GHG reductions could adopt these incentives as competitive scoring
criteria and enhanced guidance to facilitate interjurisdictional coordination between project
proponents and local planning departments. Using the "Pro-Housing" Standard as a framework
will allow for statewide applicability and ample flexibility in approaches to meet any new criteria
More information on CAPTI can be found at: https://calsta.ca.gov/subject-areas/climate-action-
plan 3 Objectives The TIRCP was created to fund transformative capital improvements that
modernize California's intercity rail, bus (including feeder buses to intercity rail services, as well
as vanpool and micro transit services that are eligible to report as public transit to the Federal
Transit Administration), ferry, and rail transit systems (collectively referred to as transit services
or systems inclusive of all aforementioned modes unless otherwise specified) to achieve all of
the following policy objectives, as codified in Section 75220(a) of the PRC: 1. Reduce emissions
of greenhouse gases 2. Expandand improve transitservice toincrease ridership 3. Integrate the
railservice ofthe state's variousrailoperations,including integrationwiththe high-speed railsystem
4. Improve transitsafety Additionally, Section 75221(c) of the PRC codifies a programmatic goal
to provide at least 25 percent of available funding to projects that provide a direct, meaningful,
and assured benefit to disadvantaged communities, consistent with the objectives of SB 535. AB
1550 provides further requirements related to ensuring investments meet the needs of priority
populations, a term used to cover disadvantaged communities, low-income communities and
low-income households. Investments made by TIRCP are expected to collectively meet or exceed
the requirements in AB 1550. Taken as a whole, the increases in transit system ridership, as well
as the reduction in vehicle miles traveled, congestion and greenhouse gas emissions, will help
deliver a healthier and safer transportation system. Investments are expected to position the
state to lead in the deployment of cutting edge and zero emission technologies, test innovative
strategies and new approaches to reducing transportation-related fatalities, provide important
new capacity in corridors that support growth in jobs and housing, and to expand multimodal
transportation access and options for all Californians across all regions of the state. 4 Pre-
Application and Post-Award Technical Assistance Caltrans, in collaboration with CaISTA, will offer
expanded technical assistance prior to application to support agencies of every size throughout
the state, including assistance in identifying critical elements to documenting increased ridership
across the project and network it serves for agencies pursuing zero emission vehicle purchases.
The Office of Planning and Operations Support in the Division of Rail and Mass Transit (DRMT) at
Caltrans will also provide required ridership modeling assistance for any project benefiting or
impactingthe intercity rail system.Once awards are publicly announced, DRMT's Office of Project
Development, Management and Delivery will lead implementation and grant management of the
selected projects, with assistance from the Office of Planning and Operations Support to ensure
alignment of project scope with the project award and the Caltrans Office of Race and Equity to
ensure integration of efforts to deliver Priority Population benefits into the approved project
scope and programming documents. 2022 TIRCP GUIDELINES NOVEMBER 19, 20215 5 Funding
The TIRCP receives a portion of the Transportation Improvement Fee revenues established by SB
1 and a continuous appropriation of 10 percent from the quarterly Cap-and-Trade auction
proceeds deposited in the GGRF, plus any annual budget allocations provided by enacted budget
bills. The TIRCP fund estimate, award amount and the adopted program for TIRCP will be based
on anticipated revenue through 2026-27 (as specified in the call for projects and subject to
update prior to program adoption). Section 75224(d) of the PRC authorizes CaISTA to enter into
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a multiyear funding agreement with eligible applicants for any duration. CaISTA may use this
authority to program funds fora project that would depend on funds received subsequent to the
five-year program, primarily intended for projects that have long construction timelines that
extend beyond the 2026-27 fiscal year. The goal of such a plan is to allow a project with
construction over multiple years to have a commitment of funds programmed over multiple
years in order to enter into necessary contracts for construction As provided in statute, CaISTA
may revise its approved Program of Projects and/or Program Allocation Plan as necessary,
including deletion or delay of projects based on a shortfall of funding or lack of project progress.
The Program Allocation Plan will reflect planned multi-year funding amounts for any projects or
project elements expected to receive their funding over more than one year, and may be
adjusted at any time to address project or program needs and to align allocations with revenues.
6 Schedule 2022 Cycle 5 Draft Guidelines Schedule Discussion Draft Workshop August 12, 2021
Release Draft 2022 Cycle 5 Guidelines September 30, 2021 Guidelines Workshops (Virtual)
Workshop 1 (focused on large applicants) Nov 2, 2021 Workshop 2 (focused on rural and small
applicants) Nov 3, 2021 Closing Date for Comments on Draft Guidelines * Nov 10, 2021 CaISTA
Publishes 2022 Cycle 5 Guidelines November 19, 2021 Call for Projects November 19, 2021
Optional, time-limited, focused meetings for applicants to discuss project concepts and
quantifications (will be scheduled by request. May be in person in various locations or virtual.)
December 9-15, 2021 Second round of optional, time-limited, focused meetings (will be
scheduled by request. May be in person in various locations or virtual.) January 20-26, 2022
Project Applications Due March 3, 2022 CaISTA Award Announcement June 2022 *Comments can
be submitted to: tircpcomments@dot.ca.gov 7 EligibleApplicants Eligible applicants must be
public agencies, including joint powers agencies,that operate or have planning responsibility for
existing or planned regularly scheduled intercity or commuter passenger rail service (and
associated feeder bus service to intercity rail services), urban rail transit service, or bus or ferry
transit service (including commuter bus, vanpool, and micro transit services). Public agencies
include local 2022 TIRCP GUIDELINES NOVEMBER 19, 20216 municipalities that operate transit
service, construction authorities, transportation authorities, and other similar public entities
created by statute. An applicant assumes responsibility and accountability for the use and
expenditure of allocated funds. Applicants must comply with all relevant federal and state laws,
regulations, policies, and procedures. Private companies may partner with eligible applicants to
propose and deliver projects. 8 EligibleProjects Eligible applicants may submit project
applications individually or as part of a joint application. In order to be eligible for funding under
this program, a project must demonstrate that it will achieve a reduction in greenhouse gas
emissions using the CARB qua ntificationmethodology. As codified in Section 75221(a) of the PRC,
projects eligible for funding under the program include, but are not limited to, the following: 1.
Rail capital projects, including intercity rail, commuter rail, light rail, and other fixed guideway
projects. Additionally, the acquisition of rail cars and locomotives, and the facilities to
supportthem, that expand, enhance, and/or improve existing rail systems and connectivity to
existing and future transitsystems,including the high-speedrailsystem. 2. Intercity, commuter,
and urban rail projects that increase service levels, improve reliability, or decrease travel times,
infrastructure access payments to host railroads in lieu of capital investments, efforts to improve
existing rail service effectiveness with a focus on improved operating agreements, schedules,and
minor capital investments that are expected to generate increased ridership, as well as larger
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scale projects designed to achieve significantly larger benefits. 3. Rail, bus, and ferry integration
implementation, including: a. integrated ticketing and scheduling systems and related
software/hardware capital investments (including, but not limited to, integration with bus or
ferry operators and the use of contactless payment and General Transit Feed Specification (GTFS)
implementation through Cal-ITP) b. projects enabling or enhancing shared-use
corridors(bothmulti-operator passenger only corridors as well as passenger-freight corridors) c.
relatedplanning effortsfocusedon, but not limited to, delivery of integratedservice not requiring
major capital investment d. other multimodal and service integrationinitiatives 4. Busrapidtransit
andother bus andferry transitinvestments(including autonomous fixed guideway, vanpool, and
microtransit services operated as public transit and first-/last-mile solutions), and to increase
ridership and reduce greenhouse gas emissions. This includes large scale deployment of zero
emission vehicles and the technologies to support them, and capital investments as a component
implementing transit effectiveness studies that will contribute to restructured and
enhancedservice. CaISTA intends to fund a small number of transformative projects that will
significantly reduce vehicle miles traveled, congestion, and greenhouse gas emissions by: (1)
creating a new transit system (2) increasing the capacity of an existing transit system, or (3)
otherwise significantly increasing the ridership of a transit system. Significant change will be
measured both in percentage terms (percent increase compared to the existing system or
corridor) and in total quantity terms (increase in number of riders and passenger miles per day).
Benefits from the proposed project may accrue from ridership generated on more than one
transit system or corridor due to integration, and such benefits may be counted as long as the
connected system or corridor has sufficient capacity to carry the increased passenger demand.
Projects related to mitigating the impacts on freight rail services that are causedby growth in
passenger rail may also be eligible for TIRCP funding even if they are not directly on the passenger
rail corridor. However, they should be included in an application for a project that increases
passenger rail ridership. The awarded projects may include, for example, both lower-cost
projects focused on integration, reliability 2022 TIRCP GUIDELINES NOVEMBER 19, 2021 7 and
enhancement of service, and higher-cost capital expansion projects. In addition, CaISTA seeks
projects that link housing with key destinations and that improve accessibility to economic
opportunities. CaISTA may also make some funding available for demonstration projects that are
smaller-scale efforts with great potential to be expanded. Projects may include new approaches
to attracting increased ridership such as smart phone mobile ticketing, contactless payment, or
other software and hardware solutions to reduce ticketing transaction costs, or a test of a
concept related to integrated ticketing, as well as intercity rail/transit effectiveness or
operational planning as a component of the capital investments in improved, expanded and/or
restructured service designed to cost-effectively increase ridership. Research, development and
testing of emerging technologies are eligible components of project applications. Clean fleet,
facility and network improvement projects that support agencies replacing aging vehicle fleets
with Zero Emission Vehicles (ZEVs), and associated fueling or charging infrastructure or facility
modifications, may also be eligible for TIRCP funding even if not increasing the number of vehicles
in the transit agency fleet. Such projects will generally qualify through various efforts that (1)
improve network efficiency with transit priority investments that allow savings in vehicle hours
operated to be redeployed into increased service on the same or other routes, (2) implement
improvements to payments systemsthat are designed to increase ridership, including
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implementation of contactless open payment, traveler information through GTFS-Real Time
(GTFS-RT), and other services available through Cal-ITP, and/or(3) improve integrationwith other
corridors and/or operatorsth rough service restructuring designed to increase network ridership.
Smaller and/or rural agencies that may have difficulty transitioning to electrified fleets without
additional support are encouraged to apply and seek technical assistance during the consultation
periods highlighted in the project schedule, recognizing that many such agencies have not
previously applied to the program.ZEV leases are eligible for TIRCP funding, but benefits modeled
must match the duration of the lease. Addressing the integration of rail and transit referenced in
the TIRCP objectives and described in the eligible projects will require attention to network
integration amongst rail and transit services. Improving integration will improve connectivity and
the seamlessness of the travel experience for users by eliminating points of friction during a
public transportation journey, and as a result increase ridership across multiple corridors and/or
systems. These points of friction come in many forms, including but not limited to a lack of
universal GTFS trip-planning information, poor service design and uncoordinated schedules,
incompatible fare and ticketing policies and systems between agencies, and unsafe and
inconvenient physical connections between modes. Examples of types of network integration
projectsinclude: • Contactless open payment systems and real-time traveler information through
GTFS to improve system integration and rider connectivity • Coordinated schedule and timetable
planning between agencies to reduce transfer wait times and improve the seamlessness of the
travel experience, and the capital projects necessary to improve such coordination and
operations; • Integrated station design to accommodate existing and planned services and their
service expansions, and capital projects necessary to invest in hubs at suchstations; • Planning to
determine opportunities to co-locate maintenance and yard facilities, as needed, and capital
projects to invest in such facilities; • Service and infrastructure needs analysis to determine the
feasibility of new or expanded systems that better integrate service, and the capital investment
necessary to implement such services; • Station area and transit facility improvements to
facilitate better land uses and access by active or shared mobility modes, as well as to enhance
customer safety and comfort. Network integration and system development planning can be
components in the application with their own scope, schedule and budget, but they must relate
to the overall capital project being proposed (including identifying ways to improve the benefits
realized by the project upon implementation or through 2022TIRCP GUIDELINES NOVEMBER 19,
20218 identifying additional capital investments that could be funded in later phases to enhance
network and system benefits). Where relevant, it should demonstrate support of the integration
demonstrated in the vision laid out in the 2018 California State Rail Plan. CaISTA may elect to
include network integration technical assistance and/or additional funding as part of a TIRCP
award if it is determined that there is a need not adequately addressed by the applicant,
especially if integration can be improved with regards to adjacent state-funded capital projects
or state-funded rail operations. CaISTA and Caltrans may provide technical assistance to ensure
that TIRCP program and statewide goals and priorities are being addressed through the work.
Applicants may apply for multiple projects in a cycle. However, an applicant submitting multiple
project applications must clearly prioritize its project applications. Applicants are also
encouraged to identify phases or priorities within each project application, if applicable, so that
available resources may be awarded to a phase or priority if the full project cannot be funded.
Many applicants have found it more helpful to submit a single application that describes a
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programmatic set of inter-related projects rather than submitting multiple applications. Phasing
and priority-setting within such a programmatic application can then be clearly identified, but
the narrative describing the goals and outcomes can be shared. Applicants submitting a high-
dollar, single application with no scalability or separable project elements may increase the risk
of having an uncompetitive project application. At the same time, applicants are advised to
submit projects that are scalable where practical. In the event that available program resources
expand or contract prior to the completion of the programming cycle, CaISTA may revise the
funding available for the programming cycle. There is not a set limit on the amount of funding
that a project can be awarded, but geographic equity requirements for the program plays a
practical role in limiting the amount a given applicant and project could expect. Geographic
equity is considered within each cycle of funding, as well as with consideration given to the
degree to which the geography in question has been underrepresented in past cycles. While
there is no minimum match requirement for this funding source, funding leverage is desirable
and will be considered in the evaluation of expected project benefits. In particular, emphasis will
be placed on projects that: • Leverage funding from other GGRF programs such as Caltrans' Low
Carbon Transit Operations Program, the SGC's Affordable Housing and Sustainable Communities
and Transformative Climate Communities Programs, or CARB's Low Carbon Transportation
funding program(including the Hybrid and Zero-Emission Truck and Bus Voucher Program (HVIP))
• Leverage funding from SB1 sources (including formula program sources) • Leverage funding
from other federal, state, local, regional, or private sources (including potential local
transportation funding measures, as further detailed in Section 12) Considerationwill be given as
to those sources that are discretionary (including competitive and noncompetitive funding
sources) compared to those that are non-discretionary. A recipient of money under the program
may combine funding from the program with other state funding (if allowed), including, but not
limited to, the State Transportation Improvement Program, the Low Carbon Transit Operations
Program, clean vehicle programs, and state transportation bondfunds. If a project is awarded
funds, all funds identified as committed to the project may be required as a funding match at the
time of project selection and, based on the matching percentage identified at the time of
selection, a pro-rata reimbursement agreement (or other suitable agreement) may be
established to ensure project savings are returned proportionally. Project completion savings are
returned proportionally except when an agency has committed additional funds to the project to
fund a cost increase. In such instances, savings at project completion may be returned to other
fund types first, until proportions match those at programming. If capital assets are removed
from service before the end of their useful life, pro-rata repayment of grant funds may be
required. Redeployment of capital assets to achieve similar, or greater, benefits more effectively
may be permitted, 2022 TIRCP GUIDELINES NOVEMBER 19, 2021 9 but must be documented
(with documentation including a detailed justification of the requested redeployment) by the
grantee and approved in advance by CaISTA. For example, once a project is operational, and after
monitoring service performance and determining that it was not performing as expected,
redeploying bus service to achieve greater greenhouse gas reductions or better serve priority
populations based on current needs may be permitted. If an implementing agency receives
funding for a project that is to be completed with other funds (for example, a project which
receives funds for plans, specifications, and estimates from the TIRCP but which will receive local
measure funding for construction), that agency is required to complete the project as proposed.
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If the project is not completed and put into service as awarded, the agency may be required to
fully or partially repay funds from the TIRCP commensurate with the failure to complete the
project and deliver anticipated reductions in greenhouse gas emissions. If a project application
was only partially awarded in a previous cycle, applicants may request additional funds for the
unawarded components in a future funding cycle. However, applicants may not request
additional funds forthe same previously awarded project components based on cost escalationor
loss of a matching funding source. Such projects may reapply in a future cycle with a revised
financial plan, but are subject to new ratings relevant to the current application cycle, and may
or may not succeed in receiving a funding award. Prior to the project application due date,CaISTA
invites interested eligible applicants to optional meetings (as outlined in the calendar section of
the document) to discuss proposed project concepts and quantifications, in order to clarify
program requirements. 9 ProjectApplications Applications must be submitted in accordance with
the Call for Projects. Applications will be treated in accordance with Public Records Act
requirements and certain information, subject to those requirements, may be publicly disclosed.
Each project application must include a signed cover letter, with signature authorizing and
approving the application. The project application shall include: 1. Projecttitle, whichshould be a
brief non-technical descriptionof the projecttype,scope, and location. 2. Project priority (if
agency issubmitting multiple applications). Explainthe prioritization, including any state, regional
or local planning efforts that supportthe ranking. 3. Project purpose andneed. 4. Projectscope. 5.
Project Location — provide a map for each of the following: A. Project location denoting the
project site. Provide a KML file for the project with the transit route/project location
representedby lines and stopsrepresentedby points asapplicable. Project location denoting
disadvantaged communities, low-income communities, and/or low-income households that will
benefit from the project (Attachment 1, CCI Funding Guidelines). B. Greenhouse gas reducing
features such as project components that improve air quality and reduce greenhouse gas
emissions along a specific corridor, surrounding land use density, housing and employment
centers, transit- oriented development/sustainable communities strategy projects, active
transportation infrastructure and other features, to the extent available. If available, consider
includingthe following information on maps related to the project,as these will help in evaluating
many of the secondary evaluation criteria: • Land use diversity/mix of land uses specified on
themap 2022 TIRCP GUIDELINES NOVEMBER 19, 202110 • In addition to showing where housing
exists, provide information on housing density and planned/zoned/permitted/etc. housing
density; • In addition to illustrating existing employment centers, provide information on
employment density, mix of employment types, and planned future employment land uses. •
Current neighborhood walkability (e.g., see Affordable Housing and Sustainable Communities
Program (AHSC) guidelines for sources of walkability data); • Planned and existing active
transportation infrastructure (what currently exists, what is planned, and what would be funded
by the project) 6. Project costs. Documentation of the basis for the costs, benefits and schedules
must be cited in the project application and additional detail made available upon request. The
application should identify: A. Cost estimatesescalatedtothe year ofproposeddelivery. Only cost
estimates approvedby the Chief Executive Officer or other authorizedofficer of the implementing
agency should be used. B. The amount andsource of funds committedtothe project (including
funding for initial operating costs). Afunding commitmentis defined in Section 12 of this
document. C.The amount of TIRCP fundsrequested. TIRCPfunds cannot be usedtosupplant other
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committedfunds. D. If applying for Network Integration as a separate component, please
specifically indicate the costs. 7. Projectschedule including benefits reporting, the project's
currentstatus andthe completion dates of all major delivery milestones. 8. Project benefits: A. A
clear demonstrationofthe expectedGHG reduction benefits, other co-benefits, and the proposed
metricsfortracking and reporting on those benefits consistent with the CARB's Funding
Guidelines, as described in Attachments 1-3. B. The description of project benefits that address
all Primary and Secondary Evaluation Criteria listed below under Project Selection Process
(Section 10), indicating that a category is not applicable, or no benefits are expected when that
is the case. C. An estimate of the useful life of the project for the dominant project asset type
(can be separated byproject categoryor phase if elements ofthe project have independent utility
and could be separately funded or placed in service). D. When investment of TIRCP is proposed
to improve private infrastructure, an assessment of public and private benefits to show that the
share of public benefit is commensurate with the share of public funding. E. If a project will be
applying for funding from other greenhouse gas reduction programs (such as Caltrans' Low
Carbon Transit Operations Program, the SGC's Affordable Housing and Sustainable Communities
Program or the CARB's Low Carbon Transportation funding program(including HVIP)) or from the
Commission's Active Transportation or other program, an indication if there are separable
elements that will be funded from those other sources and the applicant must clearly explain any
change to the benefits of the project if the funding from that source is not awarded to the project.
F. Identify and include as an attachment all studies or planning documents relevant to the
proposed project. G. If applying for Network Integration, specifically indicate the benefits and
how the network integration work will enhance the overall project benefits. H. A discussion of
the proposed project's impact, both favorable and unfavorable, on other transit services and
projects planned or underway within the corridor, including intercity rail, transit or high-speed
rail services in a parallel or connecting corridor. Impacted plans should be clearly 2022 TIRCP
GUIDELINES NOVEMBER 19, 2021 11 identified, and corresponding planning documents should
be included as an attachment. If ridership of the other services is expected to be positively or
negatively impacted by the proposed project, evidence of how the other services are to be
impacted should be included in the application, including evidence of coordination with the other
service providers andan estimate of multi-operator impacts where available. Project impacts that
increase ridership on other services through increased transfers of passengers may be reflected
in the quantification of GHG benefits only if the project also documents the ability of the
connected corridor to provide capacity sufficient to accommodate the riders. If additional service
must be operated by the adjoining operator, the operation of such service must be included in
the calculation of emissions related to the project. If an agency recognizes value in additional
efforts to integrate services with other transportation providers or enhance station access
(including by active transportation) during the post-award period (and prior to the beginning of
service resulting from the project), a specific task and budget for the proposed activities should
be included in the project application. During application review, if additional efforts are
evaluated as necessary in order to successfully address integration with other projects, systems
or corridors, CaISTA may propose an additional task and assign additional funding to pursue such
integration above and beyond what is requested in the project application,with the scope agreed
to during development of the agreements necessary to allocate funding to the selected project.
Projects expecting to have the impacts described in this section are strongly encouraged to make
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use of the optional pre-application technical assistance meetings described in Section 4 and on
the schedule on Section 5. 9. If applicable, an explanation of how some or all of the project
provides direct, meaningful, and assured benefits to a disadvantaged community, low income
communities or low-income households as defined by SB 535 and AB 1550, including reducing
administrative burdens—particularly those associated with eligibility verification across services.
Identify a need of that community, including how the need was establishedto identify the portion
of the project, if any, that is located within a disadvantaged community or low-income
community and that addresses the need (see Section 10.3 and Attachment 1). A. If an agency
plans to engage in additional efforts to consult with disadvantaged or low-income stakeholders
during the post-award period (and prior to the beginning of service resulting from the project), a
specific task and budget for the proposed activities should be included in the project application.
Such efforts may include plans for service implementation of the specific project, addressing
station access issues specific to the stakeholders, as well as developing proposals for service
changes and capital investments that may be funded through future capital or operating funds
or through project cost savings. Activities that address community engagement may include, but
are not limited to, public workshops/meetings, door-to-door canvassing, house meetings,
established website and/or social media efforts, surveys, focus groups, subcontracts with
community-based organizations to conduct outreach, allocation of staff or contractor positions
focused on community engagement, and advisory bodies or other shared decision-making
bodies. B. The general scope of the proposed effort should be submitted in draft form, but
revision and development of additional detail prior to allocation of TIRCP funding for these
activities may be requested by CaISTA in order to increase the benefits of the effort. During
application review, if additional efforts are seen as necessary in order to successfully address the
needs of disadvantaged or low income stakeholders, CaISTA may propose an additional task and
potentially assign additional funding to pursue such consultations above and beyond what is
requested in the project application, with the scope agreed to during development of the
agreements necessary to implement the selected project. 10. If applicable, an explanation of how
the project will provide employment and workforce development and training benefits to the
community, particularly to priority populations. This explanation should be accompanied by a
Community Workforce Agreement, Project 2022 TIRCP GUIDELINES NOVEMBER 19, 2021 12
Labor Agreement, or some other agreement made between the applying agency and unions,
community-based organizations, or other partners. If such activities are being conducted as part
of the project, budget and scope elements should reflect the level of effortanticipated. 11.
Address the ability to gather and analyze new datasets for public use and benefit asan outcome
of the project. 12. Descriptionoffunding sources andapproachto ensuring ongoing operating
andmaintenance costs ofthe project are funded through the useful life of the project(as
applicable). 13. Description of how the project will assist in meeting the California Minimum GTFS
Guidelines, and address any identified assessment deficiencies, if applicable.The guidelines may
be found at: https://dot.ca.gov/cal-itp/california-minimum-general-transit-feed-specification-
gtfsguidelines. 14. Eachapplicationmustinclude an Electronic Project Programming Request
(ePPR) Form that can be generated at https://calsmart.dot.ca.govand choosing 'Other' funds
option on the general information page. A users guide for generating the ePPR can be found at:
https:Hdot.ca.gov/- /media/dot-media/programs/financial-programming/documents/eppr-
instructions-v101-ally.pdf For further helps with ePPRs, please email: eppr@dot.ca.gov. A. Each
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Project Programming Request must list Federal, State, and local funding categories by fiscal year.
All applicants must demonstrate the ability to absorb any cost overruns and deliver the proposed
project with no additional funding from this program beyond that provided in initial grant or
cooperative agreement, and to fund initial operating costs. If the project is a scope addition to a
project programmed in an earlier TIRCP cycle the revised PPR must not show supplanting of
previously committed non-TIRCPfunds. B.An eligible applicant may submit an application to fund
a project over multiple fiscal years. The cost of each project component must be listed in the
state fiscal year in which the particular project component needs to receive a Commission TIRCP
allocation. For environmental studies and permits, costs should be listed in the fiscal year
duringwhich environmental studies will begin. Costs for the preparation of plans, specifications
and estimates should be listed in the fiscal year during which this work will begin. Right of way
costs should be listed in the fiscal year(s) during which each right of way acquisition (including
utility relocation) contract will first be executed. Construction costs should be programmed in
the fiscal year during which each construction contract needs to receive a Commission TIRCP
allocation to be advertised, and if an agency can receive TIRCP construction reimbursements over
multiple fiscal years to fund a contract of extended duration, the application should list the
amounts by fiscal year over which construction funding is required to meet expected contract
requirements. C. If a project is expected to require multiple contracts for any stage of project
development (often the case for multi-component projects), each contract should be listed
separately with its respective funding requirements (to the extent known at the time of
application), so that Commission TIRCP allocations may be sought in the programming year close
to the specific contract need and funding allocations are put to timelyuse. If not known at the
time of application, this information will be sought prior to Commission allocation so that the
project and its various components can be properly programmed in the CaISTA Program
Allocation Plan. D. Applicants are encouraged to submit a narrative explanation or supplement
to the PPR to reflect the proposed contracting approach and describing the ability of the project
to receive funds on alternative allocation schedules. If a project has a special cash flow
consideration that would benefit from TIRCP funds being available at a particular time, please
describe this 2022 TIRCP GUIDELINES NOVEMBER 19, 2021 13 in the application. E. Applicant
must disclose if they're an FTA federal grantee or not, and are encouraged to include any FTA
funding used as match if they are. F. Finally, if a project is only requesting funds for a particular
phase of the proposed project, such as a construction contract expected to be awarded in a
specific year of the program, identify the prior phases and the funding associated withthem. 15.
Letters ofsupportfor projectimplementation, including lettersfrom: A. Project partners essential
to project implementation, such as host railroads or facility owners. If TIRCP funds are to be used
at a later stage of project implementation (such as construction),and an agency is able to commit
to delivering the project goals with no additional TIRCP funding (supplementing, if necessary,
from non-TIRCP sources), letters of support may indicate overall support for the project as
described in the application and willingness to engage in best efforts to achieve a formal
agreement for the construction elements of the project that will still require a future stakeholder
agreement. Commission allocation of awarded TIRCP funding for such future construction will be
conditioned on such agreements being finalized and the project being implemented in a manner
consistent with the original application. B. A Metropolitan Planning Organization (MPO),
indicating that the project is consistent with an adopted Sustainable Communities Strategy, or in
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non-MPO regions, a regional plan to reduce GHGemissions and/or vehicle miles travelled (VMT).
(Itis not necessary to establish project eligibility for an MPO to indicate itsspecific supportfor the
project.) C. Regional agency oragencies. D. Members of the community, including representatives
of impacted disadvantaged or lowincome communities. Letters from community organizations
stating their recognition of benefits from the project are encouraged. E. Additional stakeholders
relevant to the proposed project. 16. Description of project elements that are separable or
scalable based on available funding, if applicable, while still maintaining independent utility. For
example, if an application is for improving services on three routes,each route may be separately
described and prioritized so that the highest-priority portion of the application could be funded
if resources are not sufficient for full project funding. If some or all of the project is already
programmed using state or federal funds, the application must clearly explain if and how the
scope of the project has changed since the most recent state or federal programming action,
including an explanation of anydifferences in assumed federal funding level compared to the
most recent Capital Investment Grant report or summary (if applicable). If the project is not
scalable or separable, the applicant should provide background detailing why it is not practical
for it to be phased or scaled. Documentation of the basis for the costs, benefits, and schedules
must be included in the project application and additional detail made available upon request.
CaISTA will post basic project application information from all applications on its website prior to
awarding funding. After projects are selected, CaISTA will post the status of all project
applications to its website. CaISTA encourages project applicants to carefully consider how to
track the status and benefits of the proposed project, including having project budgets that allow
for an appropriate level of before and after data collection and analysis (e.g., greenhouse gas
reductions, diesel particulate matter reductions, increased transit service for disadvantaged
community residents, etc.). This tracking could take the form of customer surveys made before
and after the proposed project, specific data analysis before and after the project, or other
efforts. Since this is an ongoing funding program of the state, developing lessons learned and
good supporting data are critical to future program effectiveness. 10 ProjectEvaluation 2022
TIRCP GUIDELINES NOVEMBER 19, 2021 14 Applications will receive an initial screening for
completeness and eligibility. Incomplete or ineligible applications will not be evaluated. 10.1
Primary Eva IuationCriteria Projects will be selected through a competitive process. The primary
evaluation will be based on how well a project meets the objectives of the program, as further
expanded upon by the grant evaluation considerations in statute: 1. Reduce greenhouse gas
(GHG) emissions. CARB has developed a quantification methodology for estimating greenhouse
gas reductions that may occur as a result of project implementation (see Attachment 2). The
inputs and assumptions behind these calculations must be thoroughly documented as part of the
application. Applicants should present project elements that are scalable or separable in a
manner that allows the greenhouse gas emission reductions of each element to be understood.
Total cost per metric ton of carbon dioxide equivalents (MTCO2e) reduction and Transit and
Intercity Capital Program funding per MTCO2e reduction will be primary elements of the
evaluation for project selection. Applicants must quantify greenhouse gas reductions (see
Attachment 2) and submit reporting information in accordance with the CARB's Funding
Guidelines (see Attachment 1). Highly rated projects will exhibit a low cost per ton of MTCO2e
reduction and will have strong documentation of the ridership and passenger mile impacts of the
project. 2. Increase ridership through expanded and improved rail and transit service (including
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connectivity to rail services through expanded and improved transit and/or feeder bus services,
or by improving the rider experience through universal GTFS travel information and contactless
open payments (such as through Cal-ITP)). Expanding service and improved connectivity includes
construction of new rail and transit infrastructure and facilities. Documentation of the
assumptions and approach to estimating ridership changes is a critical component of evaluating
greenhouse gas emission reductions. Highly rated projects will have significant ridership impacts
relative to the project cost and well documented methodologies for establishing ridership
forecasts. Projects must document the degree to which ridership growth expected over the life
of the project is supported by housing policies that will support such growth, including evidence
of compliance with state-required housing plans(such as an Adopted Housing Element), and may
include a designation of the community as Prohousing, as determined by the Department of
Housing and Community Development's Prohousing Designation Program. If multiple operators
benefit from or are impacted by a project, highly rated projects will documentspecific ridership
results specific to each operator, including any reductions impacting other operators.
Recognizing that transit-supportive land use decisions are a key influencing factor of ridership,
projects may capture additional ridership from entitled housing projects within a half mile of
transit stations that are expected to be delivered within required project outcome reporting
period, even if such delivery is following project completion. Investments in traveler information
and payment systems that are part of the application should also be evaluated for their impact
on project-level and/or system-wide ridership. 3. Integrate the services of the state's various rail
and transit operations, including integration with the high-speed rail system, and the associated
integration of services between agencies to support network-wide connectivity. Improving
integration will improve connectivity and the seamlessness of the travel experience for users by
eliminating points of friction during a public transportation journey. Highly rated projects will
identify and address through service design and/or capital project design the opportunities to
integrate services across multiple systems or corridors, where possible. 4. Improve safety.
Projects that include specific measures to address safety for users or nonusers of the transit or
rail service should specifically note such project elements and the 2022 TIRCP GUIDELINES
NOVEMBER 19, 202115 funding related to them. If the specific nature of safety-related projects
components is still being determined in collaboration with local agencies and input from
communities, applicants may discuss the broad location and types of investments being planned.
Such improvements may include grade separations, improved crossing protection at railroad
crossings, or elements in transit stations that reduce the likelihood of pedestrian fatalities and
injuries, among other safety elements. Such safety elements may also include elements that
increase the safety of disadvantaged and/or vulnerable populations, including safer circulation
for the elderly, mobility impaired, very young, and the vision impaired. Highly rated projects will
have significant project element related to safety and will not leave major safety considerations
unaddressed. 10.2 Secondary Evaluation Criteria Projects will also be evaluated based on the
following criteria: 1. If/how much projects contribute to the implementation of sustainable
communities strategies and the reduction of vehicle miles traveled and GHGs that may not be
quantitatively captured in CARB's Quantification Methodology(QM), discussed in Section 10.1.1.
A. Reducing vehicles milestraveledfromautomobiles and the number of automobile trips beyond
what will be achievable via transitridershipas captured in the QM and conveyed per#1 and #2 of
the Primary Evaluation Criteria. B. Coordinating with local governments to facilitate the location
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of additional employment and/or housing in the transit stop or station area (e.g., within %-mile
of the transit station or stop that will be affected by the project and the resulting low-carbon
impact of such location efficiency on statewide GHG emissions relative to the status quo). This
can be accomplished by using project funding to make station areas and neighborhoods walkable,
bikeable, and well-integrated with existing or planned shared mobility and transit services.
Evidence that will support this co-benefit will include: • Documentation showing the siting of
projects with rail stations and major transit centers located within % mile of existing or planned
future housing with densities that correlate with higher transit use and lower VMT per
household. • Documentation showing alignment with state housing policies and goals that seek
to increase access, reduce transportation costs, improve equity, and overcome the statewide
housing crisis. Applicants can demonstrate alignment in one of two ways: (a) The project will
serve a community within % mile of a transit station or stop that has received a positive
Prohousing Designation Program score, certified by the Department of Housing and Community
Development, for one or more of the following Prohousing Policies: • Policies that promote
development consistent with the state planning priorities pursuant to Government Code section
65041.1 (25 CCR 6606 [C][2]). • Density bonus programs which exceed statutory requirements
by 10 percent or more (Sec. 6606[b][1][D]). • Increasing allowable density in low-density, single-
family, residential areas beyond the requirements of state Accessory Dwelling Unit law (e.g.,
permitting more than one ADU orJADU per single-family lot) (25 CCR 6606 [b][1][E]). 2022 TIRCP
GUIDELINES NOVEMBER 19, 2021 16 • Documented practice of streamlining housing
development at the project level, such as by enabling a by-right approval process or by utilizing
statutory and categorical exemptions as authorized by applicable law (Pub. Resources Code, §§
21155.1, 21155.4, 21159.24, 21159.25; Gov. Code, § 65457; Cal Code Regs., tit. 14, §§ 15303,
15332; Pub. Resources Code, §§ 21094.5, 21099, 21155.2, 21159.28). (25 CCR 6606[b][2][C]). •
Zoning to allow for residential or mixed uses in one or more nonresidential zones (e.g.,
commercial, light industrial) (25 CCR 6606 [b][1][G]). • Reducing or eliminating parking
requirements for residential development as authorized by Government Code section 65852.2;
adopting vehicular parking ratios that are less than the relevant ratio thresholds at
subparagraphs (A), (B), and (C) of Government Code section 65915, subdivision (p)(1); or
adopting maximum parking requirements at or less than ratios pursuant to Government Code
section 65915, subdivision (p). (25 CCR 6606[b][1][F]). • Measures that reduce costs for
transportation-related infrastructure or programs that encourage active modes of transportation
or other alternatives to automobiles. Qualifying policies include, but are not limited to, publicly
funded programs to expand sidewalks or protect bike/micro-mobility lanes; creation of on-street
parking for bikes; transit-related improvements; or establishment of carshare programs. (25 CCR
6606[b][3][E]). • Modification of development standards and other applicable zoning provisions
to promote greater development intensity. Potential areas of focus include floor area ratio;
height limits; minimum lot or unit sizes; setbacks; and allowable dwelling units per acre (25 CCR
6606[b][1][H] • Rezoning and other policies that support high-density development in Location
Efficient Communities. (25 CCR 6606[c][5]). • Permitting missing middle housing uses (e.g.,
duplexes, triplexes, and fourplexes) by right in existing low-density, single-family residential
zones (25 CCR 6606[b][1][B]). • Establishment of a Workforce Housing Opportunity Zone, as
defined in Government Code section 65620, or a housing sustainability district, as defined in
Government Code section 66200 (25 CCR 6606[b][1][I]) • Policies that go beyond state law
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requirements in reducing displacement of lower income households and conserving existing
housing stock that is affordable to lower income households. (25 CCR 6606[c][4]). • Policy that
represents one element of a unified, multifaceted strategy to promote multiple planning
objectives, such as efficient land use, access to public transportation, affordable housing, climate
change solutions, and/or hazard mitigation (25 CCR 2022 TIRCP GUIDELINES NOVEMBER 19, 2021
17 6606[c][11). • Establishment of pre-approved or prototype plans for missing middle housing
types (e.g., duplexes, triplexes, and fourplexes) in low-density, single-family residential areas (25
CCR 6606[b][3][G]). • Adoption of ordinances or implementation of other mechanisms that result
in less restrictive requirements than Government Code sections 65852.2 and 65852.22 to reduce
barriers for property owners to create ADUs/JADUs. Examples of qualifying policies include, but
are not limited to, Development standards improvements, dedicated ADU/JADU staff, technical
assistance programs, and pre-approved ADU/JADU design packages (25 CCR 6606[b][3][B]). •
Priority permit processing or reduced plan check times for ADUs/JADUs, multifamily housing, or
homes affordable to loweror moderate-income households (25 CCR 6606[b][2][1]). (b)The
applicant engages in affordable, residential transit-oriented development on land owned or
leased by the transit agency, or in conjunction with another public agency or private investor
making such investments within % mile of one or more stations or stops served by the project.
Tobe considered "affordable," the development must have at least 20% of units reserved for
residents with 60% or less AMI. To be "transitoriented" the housing must be within % mile of a
transit station or stop and have a density of at least 20 dwelling units per acre. Special
consideration may be given to projects which convert surface parking facilities into housing and
or job centers, if they are located within % mile of a transit stop. C. Expanding existing rail and
public transit systems,to the extent not already captured in the project being applied for.Specific
items that could be covered here include the expected strengthening of the existing system in a
manner that will allow future investments in expansion to be considered, or the extent to which
additional service may be operated due to the ridership growth achieved throughout the system
due to the project,even if the specific location of the needed service increase is not yet identified.
The contribution of the project to the acceleration of later phases of rail and transit projects in
the region or service area may also be included in this category D. Enhancing the connectivity,
integration, and coordination of the state's various transit systems, including, but not limited to,
regional and local transit systems and the highspeed rail system.This category should be utilized
in particular if there are not specific capital investments or planning efforts called out in the
project budget that invest in integration, but these benefits are still a co-benefit of the project,
such as through contactless open payments or GTFS-RT traveler information systems. This
category can also address integration across other modes of transportation, such as connections
at/to: airports, bus terminals, ferry terminals, rail stations, active transportation infrastructure
and networks, and other shared mobility options (e.g. bikeshare, scootershare, carshare) that
help transit users overcome potential first- and last-mile barriers to transituse. E. Investing in
clean vehicle technology, including efforts that will accelerate the adoption of such technology
or provide valuable research or demonstration of such technology. When buses will be funded
as a part of this project, special consideration will be given to zero emission bus technology. 2022
TIRCP GUIDELINES NOVEMBER 19, 2021 18 F. Promoting active transportation, by investing in
infrastructure, amenities, education andoutreach,etc.thatwill increase the proportionoftrips
accomplished by biking and walking. This includes efforts and investments to increase the safety
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and mobility of bicyclists and pedestrians. Examples of how this can be accomplished includes
(but is not limited to) the following: • Bike parking/storage at transit stations andstops • Open
payment systems integrated with transit • Bike lanes and sidewalks to make station areas
accessible via active transportation • Traffic calming elements are transit stations to make
walking and biking a safer and more pleasant experience G. Improving public health, with
particular emphasis on elements benefiting the most impacted and disadvantaged communities,
low-income communities, and/or lowincome households. This category should include any air
quality impacts of the project not included in the reduction of greenhouse gas emissions,
including health benefits from improved regional air quality resulting from the project. The air
pollution reductions for this item should be documented using CARB's co-benefit assessment
methodologies. 2. Benefit to priority populations. The applicant must evaluate the criteria
detailed by CARB (see Attachment 1) and complete the CARB benefit criteria table,to determine
whether the project meets criteria for providing direct, meaningful, and assured benefits to a
disadvantaged community, low-income community, and/or low-income households and address
a community need pursuant the CARB's Funding Guidelines, and specifically document the
manner in which all or part of the project does so. Projects that will be used by residents of
disadvantaged communities, low-income communities, and/orlow-income households should
document the nature of such use and its degree of relevance to disadvantaged community, low-
income community, and/or low-income household residents in the service areas of the operators
benefiting from the project. A. Project applicants should be explicit on the deliberate steps they
take to achievea meaningful level of participation from disadvantaged communities, low-income
communities, and/or low- income households in the planning and design of projects that are
intended to address community identified priorities and needs. B. As detailed in the CARB
Funding Guidelines, Attachment 1, benefits to priority populations can also be demonstrated
through community workforce agreements or labor agreements with unions, community-based
organizations (CBOs), or other partners. The following are examples from around California that
provide more background and context for applicants: • For transit infrastructure, Community
Workforce Agreements (CWAs) are commonly used in California cities where local elected
officials see them as a mechanism to maximize the economic benefits of development projects
and create jobs for local residents. • For transit system expansion, the state's larger transit
agencies (e.g., Los Angeles County Metro, BART, SFMTA, and AC Transit) regularly establish
Project Labor Agreements (PLAs) for large construction projects. • CWAs and PLAs set standards
for wages and expand training opportunities for workers, because they include use of the state-
certified apprenticeship system and contributions to apprenticeship training trust funds for every
hour worked. Some agencies that require PLAs for major subsidized housing developments and
transit system expansion projects include targets for local hiring (turning the PLA into a
Community Workforce Agreement, or CWA), set goals for apprenticeship utilization, and codify
goals for participation of disadvantaged workers to expand access to women and other workers
underrepresented in the constructiontrades. 2022 TIRCP GUIDELINES NOVEMBER 19, 202119 3.
The project priorities developed through the collaborationof two ormore railoperators and any
memoranda of understanding between state agencies (including intercity rail joint powers
authorities) andlocal or regional railoperators. 4. Geographic equity, with particular attention by
applicants in identifying efforts to address underserved communities within an applicant's region
or service area.The Transportation Agencywill separatelyapply geographic equity considerations
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at a statewide level. 5. Consistency with a plan or strategy contained in an adopted Sustainable
Communities Strategy, as confirmedby the Metropolitan Planning Organization(MPO), or, innon-
MPO regions, a regional plan that includes policies and programs to reduce greenhouse gas
emissions. Especially in the case of large capital projects, inclusion in an applicable financially
constrained SCS will be noted as evidence of regional funding commitment and enhanced
likelihood of successful project delivery. Consistency with the 2018 State Rail Plan service and
connectivity goals, if applicable. Projects that are part of a regional network and are considered
regionally significant should be noted as such. All referenced documents should be included as
an attachment. 6. Benefitstofreightmovement, consistent withthe Sustainable Freight Action
Plan and the goals of the California Freight Mobility Plan, if applicable. In shared
passenger/freight rail corridors, use this category to document and discuss GHG reductions from
a greater volume of goods movement by rail if applicable. 7. The extent to which a project has
supplemental funding committed to it from non-state sources, withanemphasis
onprojectsthatleverage funding from private, federal, localor regional sources that
arediscretionary. 8. For expansions of service, the presence and quality of a financial plan that
analyzes the financial viability ofthe proposed service, including the availability of any required
operating financialsupport. Highly rated projects will address and score highly on multiple
secondary evaluation criteria, with clear documentation of claimed benefits. Clear
documentation will include data related to evaluating the claimed benefits to the extent
available. Agencies are encouraged to document in the secondary evaluation criteria categories
of verifiable greenhouse gas reducing activities associated witha project that are not specifically
captured in the primary evaluation categories and in the quantification tools provided by CARB.
10.3 Benefit to Priority Populations It is a goal of this program to maximize benefits to
disadvantaged communities and low-income communities and households. Pursuant to the
requirements of SB 535, as amended by AB 1550, the overall California Climate Investments
Program funded with Cap-and-Trade auction proceeds must result in: (1) a minimum of 25% of
the available moneys in the GGRF to projects located within, and benefiting individuals living in,
disadvantaged communities, (2) an additional minimum of 5% to projects that benefit low-
income households or to projects located within, and benefiting individuals living in, low-income
communities located anywhere in the state, and (3) an additional minimum of 5% either to
projects that benefit low-income households that are outside of, but within a 1/2 mile of,
disadvantaged communities, or to projects located within the boundaries of, and benefiting
individuals living in, low-income communities that are outside of, but within a 1/2 mile of,
disadvantaged communities. Information on California Climate Investments to Benefit
Disadvantaged Communities with background on SB 535, AB 1550 and the CaIEPA California
Communities Environmental Health Screening Tool 3.0 (CalEnviroScreen), can be found at:
https:Hcalepa.ca.gov/EnvJustice/GHGlnvest/2022 TIRCP GUIDELINES NOVEMBER 19, 202120 In
addition to contributing benefits towards meeting or exceeding the AB 1550 investment
minimums, the TIRCP has a statutory investment target for benefits to disadvantaged
communities required by SB 862 (a 25% minimum). This applies across the entire program
regardless of funding source. Agencies are responsible for documenting compliance with these
requirements. Investments that are eligible to be counted toward AB 1550 as projects within and
benefiting disadvantaged communities will also count toward meeting the SB 862 requirements.
Refer to criteria in Funding Guidelines (further referenced below) for how to demonstrate
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benefit. SB 862 requires CARB, in consultation with CaIEPA, to develop funding guidelines for all
agencies that are appropriated monies from the GGRF. These guidelines must include a
component for how administering agencies should maximize benefits for disadvantage
communities. The CARB funding guidelines are referenced in Attachment 1. Applicants must
complete and submit the CARB Benefit Criteria Table with their application. In reviewing efforts
to maximize benefits to disadvantaged communities, low-income communities, and/or low-
income households,CaISTA may request review of applications by an advisory panel representing
such stakeholders during the evaluation of applications. The primary goal of this panel will be to
review proposed efforts (both pre-application and those proposed for the post-award period)
and to either confirm that the applicant efforts will help align the proposed project with
stakeholder and community needs, or to recommend efforts that would allow such needs to be
addressed (see items 9 and 10 in section 9 describing how such efforts may be requested and
funded as part of project selection. 11 Project Selection Process CaISTA will evaluate applications
for compliance with the objectives of the program and rate them based on the Primary and
Secondary Criteria, assigning ratings such as "High," "Medium- High," "Medium," "Medium-
Low", and "Low"to the specific alignment of the project to each of the selectioncriteria, and also
considering the cost per ton of CO2e reduction and the risks of successful project delivery.
Because of the wide variety in the type and size of projects that can be funded from this program,
CaISTA may group projects for the purpose of comparing the ratings of like applications or for
purposes of comparing projects within a region. In addition, projects with clear phases or
scalability may be evaluated for the portion of the project that would receive the highest rating
if partial funding for the project is under consideration. The highest rated applications that meet
the program objectives will be selected for programming, except that CaISTA may make
adjustments to meet the AB 1550 goals of this program and to provide for geographic equity. In
addition to being evaluated on the aforementioned criteria and benefit to priority populations,
including addressing community needs, each application will also be assessed to determine the
risk associated with the project's capacity to generate, as planned, transportation and
greenhouse gas emission reduction benefits (including potential sensitivity to different project
benefit outcomes), and to be delivered within budget, on time, and as designed. Additional
factors to be considered include: 1. The overall need and benefit of the project in the context of
its contribution to advancing later phases ofthe project, other aspects of a region'slong-range
plans ortowardsimproving the state's interregional transportation network. 2. Projectreadiness
andreasonableness ofthe schedule for projectimplementation, including the following: A.
Progresstowards achieving environmentalprotectionrequirements. B. The comprehensiveness
andsufficiencyof agreements with keypartners(particularly infrastructure owning railroads)that
willbe involved inimplementing the project. C. For projects that are not fully funded through
construction due to funding contingencies (such as federal or local measure funds), the timing
and amount of the project's future non- 2022 TIRCP GUIDELINES NOVEMBER 19, 2021 21
committed investments. 3. The leveraging andcoordination of funding from other greenhouse
gasreductionprogramssuchas Caltrans' Low Carbon Transit Operations Program, the SGC's
Affordable Housing and Sustainable Communities Program or the CARB's Low Carbon
Transportation funding program. The leveraging and coordination of funding from other private,
federal, state (including S131 funding programs like State Rail Assistance), local or regional
sources, with consideration of those sources that are discretionary compared to those that are
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non- discretionary. 4. The alignment to the State Rail Plan, where relevant, which articulates a
vision and specific service and delivery goals for coordinating schedules and physical
infrastructure to deliver an integrated network by leveraging available resources. 5. The
coordination of project development and delivery efforts in a regional and megaregional context
to support an integrated, statewide rail and transit network. This should be articulated in the
context of network integration and those agencies applying specifically for network integration
funds or projects will be evaluated on their ability to describe the process for delivering an
integrated project and its associated benefits. Highly rated projects will clearly communicate a
compelling need for the project in terms of specific benefits for the public and will demonstrate
a high degree of project readiness with few risks related to proceeding into
constructionandoperating servicesthat achieve the proposed benefits once the project is
completed. Most highly ratedprojects willhave anapproved environmental document. Those
projects that are requesting TIRCP funds to complete the project's funding package (when
combined with already committed other funds) will clearly communicate the acceleration in
project delivery possible due to receipt of TIRCP funding even if the project may ultimately have
been advanced with future local and state resources at a later date. Highly rated projects will
quantify the benefits of such acceleration as part of the project application. CaISTA will
collaborate with other state entities when evaluating project proposals, including but not limited
to: CARB, CaIEPA, the California High-Speed Rail Authority, Caltrans, the Commission, the
Department of Housing and Community Development, and the Strategic Growth Council. CaISTA,
or Caltrans acting on CaISTA's behalf, may request additional documentation to support
statements or data provided in the applications. However, applicants should endeavor to be as
clear as possible in their applications and not assume that opportunity will be provided to clarify
or better support a submitted application. Supporting documentation should include
spreadsheets, reports and methodology descriptions (with sources noted) when available.
Applications will proceed through a multi-step review process: 1. Basic screening for
completeness andeligibility. 2. Reviewof applicationfor potentialsubdivision into project phases
or components, review and analysis of ridership and GHG quantification, and summarization of
project to assist technical panelreview. 3. Initialrating ofprojects oneach primaryandsecondary
evaIuationcriterion(see section 10) and other additional factors (above in this section) described
in the guidelines by multi-agency technical panels. 4. Consideration of technical panel ratings,
geographic equity and degree of disadvantaged and/or low-income community benefits by a
senior executive panel, with potential to request additional information from subject matter
experts that may result in a revised rating onone or more evaluationcriteria orfactors. 5. Project
selection by CaISTA, taking into consideration cross-cutting and comparative selection criteria
that consider overall program objectives, geographic equity andexceeding program goals for
benefits to disadvantaged communities, low-income communities, and/or low-income
households. 2022 TIRCP GUIDELINES NOVEMBER 19, 202122 12 Programming CaISTAwill publish
its updated 5-year Program of Projects as part of the Cycle 5 award announcement,as established
in the Call for Projects, and will present it to the Commission shortly thereafter. When CaISTA
releases the program, it will include a narrative for each approved project that describes that
project's rating for primary and secondary criteria as well as special considerations to achieve
disadvantaged and/or low-income community benefit and geographic equity. Subsequent 5-year
programs are expected to be approved by CaISTA biennially. CaISTA may call for additional
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applications, or adjust the existing Program of Projects between cycles, as warranted based on
the level of auction proceeds. CaISTA will develop and regularly update the Program Allocation
Plan to guide the allocation of funds for the current program. The Program Allocation Plan for
each fiscal year will include the amount to be funded from the TIRCP, and the estimated total
cost of each project. The yearly allocation amounts will be based on the needs of separable
project components and phases or based on the cash flow needs for projects that need multiple
years tocomplete. CaISTA will program and the Commission will allocate funding to projects in
whole thousands of dollars and will include a project or project component only if it is fullyfunded
from a combination of TIRCP and other committed funding. Funds will be considered as
committed when they are programmed by CaISTA, when the agency or other funding partner
with discretionary authority over the funds has made its commitment to the project by
ordinance, resolution or appropriate contract vehicle. In the case of the Federal Transit
Administration, recommendation of the project for funding in the Annual Report on Funding
Recommendations for the Capital Investment Programis considered a commitment of funding.
For federal formula funds, including Surface Transportation Program, Congestion Mitigation and
Air Quality Improvement Program, and federal formula transit funds, the funding commitment
may be by Federal approval of the Federal Statewide Transportation Improvement Program. For
projects seeking federal discretionary funds such as New Starts, Core Capacity, or Small Starts,
the commitment may take the form of federal acceptance into Accelerated Project Delivery and
Development (in the case of Small Starts)with the expectation offederaI approvalof
anExpeditedGrant Agreement, orfederal approvalof a project to enter Engineering (in the case of
NewStarts or Core Capacity) with the expectation of federal approval of a Full Funding Grant
Agreement, as long as all funding, excluding TIRCP funding, is committed to the project. A project
that is programmed prior to receiving federal approval for construction may be subject to
deletion from the program, if federal funds are not received, federal funding is reduced or the
scope of the federal commitment changes, unless other committed funding sources are
identifiedthatreplace federal funding not obtained. Applicants considering a requestfor
anawardbased on a commitment contingent on federal or local funds not yet awarded to the
project,as described above,should anticipate the call for 2022 TIRCP projects by November 2021.
For local funding, the funding commitment may be demonstrated by inclusion of the project in a
funding package, such as a sales tax measure,to be submitted to voters during this program cycle
and with sufficient funding specified for the project to achieve full funding. The applicant shall
provide evidence with the application that the project is included in a future funding package
with funds sufficient to meet the local funding commitment when combined with other already
available funds. A project that is programmed prior to receiving voter approval for project
funding must succeed in receiving the voter approval, or the project may be subject to deletion
from the program. For projects with other funding partners that have entered into a contract
vehicle committing their funding, access to the funding must occur before TIRCP funding will be
approved for allocation to the project. CaISTA may make an exception to its policy to only
program a project if it is fully funded, if the project may be funded from a combination of TIRCP
and other committed funding to allow a project to compete for funding from other greenhouse
gas reduction programs (such as Caltrans' Low Carbon Transit Operations Program, the SGC's
Affordable Housing and Sustainable Communities Program or the CARB's Low Carbon
Transportation funding program) or from the Commission's Active Transportation or State
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Transportation 2022 TIRCP GUIDELINES NOVEMBER 19, 2021 23 Improvement Programs. A
project intending to compete for funding in one of the aforementioned programs should indicate,
if applicable, the separable elements to be funded from that source. A project that is
programmed prior to receiving a commitment of funding from one of the aforementioned
programs must receive the funding commitment no later than in the fiscal year in which the
project is requesting a TIRCP allocation. If the project does not receive funding from that program
and the project does not have separable elements, the project may be subject to deletion from
the program. If a project does not receive their anticipated federal, local or other funding
commitments, CaISTA may delete the project from the program and consider selection of
projects or components of projects that were highly rated but not selected due to lack of
sufficient funds from previous rounds of TIRCP applications as long as the project is still viable
and deliverable consistent with prior cycle programming and demonstrates acceptable levels of
benefits with the most current quantification methodologies. If, prior to seeking a Commission
allocation, an award recipient does not make adequate progress to implement an awarded
project in a timely manner or incurs delays through the action or inaction of the recipient,
subrecipient or 3rd party associates, the project may be deleted from the TIRCP program. An
applicant may resubmit a deleted project for consideration in future funding cycle. All current
projects are subject to review prior to the Call for Projects to determine whether they are making
adequate progress towards implementing the originally awarded project scope. 13 Allocations
and ProjectDelivery When an agency is ready to implement a project or project component, the
agency will submit an allocation request through Caltrans' Division of Rail and Mass
Transportation (DRMT). Allocation requests are expected to adhere to the preparation schedule
established by Caltrans Office of California Transportation Commission Liaison (OCTCL) along
with any additional time required for CaISTA's review and approval of a recommendation to the
Commission for an allocation of funds. For planning by an award recipient, the time required
from the submittal and approval of an allocation request can range from 60 to 90 days prior to
date of a scheduled Commission meeting. Caltrans will review the request and determine
whether to recommend the request to the Commission for action.The Commission will consider
the allocation of funds for a project only when it receives an allocation request with a
recommendation from Caltrans and consistent with the TIRCP Program Allocation Plan. The
recommendation will include a determination of project readiness, completion of funded phases
that require completion prior to proceeding into the next phase, the availability of appropriated
funding, and the availability of all identified and committed funding needed to support the
specific allocation request. When Caltrans develops the project's construction allocation
recommendation(s),the Commission expects Caltrans to certify the project's plans,specifications
and estimates are complete, right-of-way clearances are achieved, and all necessary permits and
agreements (including railroad construction and maintenance) are executed. In compliance with
Section 21150 of the PRC, the Commission will not allocate funds for design, right-ofway, or
construction prior to documentation of environmental clearance under the California
Environmental Quality Act and all needed environmental documents are provided for a
Commission EResolution.As a matter of policy,the Commission will not allocate funds for design,
right-of-way, or construction of a federally funded project prior to documentation of
environmental clearance under the National Environmental Policy Act (NEPA). Exceptions to this
policy may be made in instances where federal law allows for the acquisition of right-of-way prior
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to completion of NEPA review. If requested by the Commission, Caltrans will assist Commission
staff in the preparation of agenda items presenting environmental documents to the
Commission. Projects that are awarded funding for network integration are to be allocated under
the construction phase, unless such efforts are part of a task within an earlier phase of work. If
allocated as a separable work effort, at the time of allocation, an agency must either
environmentally clear the network integration work, usually with a Notice of Exemption, or
provide a written statement certifying that the network integration project is exempt.2022 TIRCP
GUIDELINES NOVEMBER 19, 202124 CaISTA will request the Commission approve the allocation,
if the funds are available as determined by CaISTA and Caltrans, and the allocation is necessary
to implement the project as included in the adopted TIRCP Program Allocation Plan and Program
of Projects. If there are insufficient program funds to approve an allocation, CaISTA may delay
the recommendation to allocate funds to a project until a future fiscal year without requiring a
Commission action. Agencies should not request Commission allocations unless prepared to
award contracts related to the allocation within six months. Funds available following the
deletion of a project may be re-awarded and allocated to a programmed project advanced from
a future fiscal year or to a project amended into the program. Details and instructions for the
allocation, transfer and liquidation of funds allocated to implementing agencies are included in
the Procedures for Administering Local Grant Projects in the State Transportation Improvement
Program: https://dot.ca.gov/programs/local-assistance/forms/local-assistance-procedures-
manual-forms The TIRCP is a reimbursement program for costs incurred. Costs incurred prior to
Commission allocation and, for federally funded projects, federal project approval (i.e.
Authorization to Proceed),are not eligible for reimbursement. Moreover,contracts against which
reimbursements from TIRCP will be sought may not be awarded prior to funding allocation
without specific pre-approval by CaISTA and approval of a Letter of No Prejudice by the
Commission. For the procurement of rolling stock and buses, the exercising of an option or the
certification of funds for TIRCP funded contract elements after Commission action may be
considered to meet the milestone for contract award, provided that the agency is under no
contractual obligation to pay any funds or penalty if the option is not exercised or the funds not
certified. Confirmation of this approach should be sought prior to seeking an allocation of funds.
Caltrans will execute all appropriate contractual agreements with the implementing agency,
under its delegated authority from CaISTA. These agreements may include project specific
conditions required by CaISTA's award announcement and will be based on the awarded scope
of work, schedule for completion and expected outcome of the project. Prior to the completion
of project design, an agency may propose to CaISTA modifications to the proposed project in
order to achieve the same or greater level of benefits or reduced costs. Funds allocated for
project development or right-of-way costs must be expended by the end of the fiscal year of
allocation plus two additional fiscal years, unless a longer timeframe is requested at the time of
allocation or the Commission approves a time extension subsequent to the allocation.Allocations
for award are valid for six months from the date of allocation unless otherwise indicated at the
time of allocation. For funds allocated for construction phase contracts, including rolling stock
procurement, will have an expenditure timeline of 36 months after the award of a contract to
complete (accept) the contract unless a longer timeframe is requested at the time of allocation
or the Commission approves a time extension subsequent to the allocation. The implementing
agency must submit a final invoice to Caltrans no later than 180 days after contract acceptance.
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Additional details relevant to the Commission's Allocation Policy can be found in Resolution G-
20-61 on the Commission's website. 13.1 Letter of No Prejudice An agency may apply for a Letter
of No Prejudice (LONP) for a project or for any component of a project included in the approved
Program of Projects. Statutory authority is provided in Section 75225 of the PRC as added by SB
9.The Commission as authorized by statute adopted guidelines for approval of LONPs for specific
programs, including the Transit and Intercity Rail Capital Program.All LONP requests must follow
the Commission's currently adopted LONP guidelines. Any request for an LONP will be submitted
through Caltrans for concurrence by CaISTA and Commission approval. If an LONP is approved by
the Commission, it allows the implementing agency to award a 3rd party contract(s) and advance
a project by expending its own funds (incur reimbursable expenses) for any component of the
project that is the subject of the LONP prior to allocation. 2022 TIRCP GUIDELINES NOVEMBER
19, 202125 The amount will be reimbursed if all the following conditions are met: 1. The project
or project component for whichthe letter ofno prejudice was requested has commenced andthe
expenditures have beenincurred. 2. The expenditures are eligible for reimbursement in
accordance with applicable laws and procedures. If expenditures made by the lead applicant
agency are determined to be ineligible, the state has noobligationto reimburse those
expenditures. 3. The agency complies with all legal requirements for the project, including the
requirements ofthe California Environmental QualityAct(Division 13 (commencing with
Section21000)). 4. There are moneys in the GGRF or from SB 1 revenues designated for the
program that are sufficient to make the reimbursement payment. 13.2 Multiyear Funding
Agreement An agency may apply to CaISTA for a multiyear funding agreement. Statutory
authority is provided in Section 75224(d) of the PRC. Any such agreements shall be implemented
in cooperation with the Commissionby inclusion of the anticipated multi-year cash flow
commitment in the applicable allocation action at the time a project or project component is
allocated. If approved by CaISTA, the multiyear funding agreement would operate similar to a
federal Full Funding Grant Agreement, wherein an agency may receive an allocation and
implement a project at risk, with receipt of future state revenue dependent on legislative
appropriation and/or receipt of program SB 1 revenue or Cap-and-Trade auction proceeds. The
state would not be responsible for any borrowing costs an agency may incur, or other costs,
allocated with the timeline of state revenue availability. The most up-to-date cash flow
commitments to projects or project components are reflected in the Program Allocation Plan.
Pursuant to Section 75224,the multiyear funding agreement would be for an amount of program
money and for any duration, as determined jointly by the CaISTA and the applicant. CaISTA may
agree to a duration that exceeds the five-year programming cycle, if deemed helpful in
completing large transformative capital projects. Other requirements for the program will be
included in the multiyear funding agreement as determined by CaISTA in cooperation with the
applicant and the Commission. 13.3 Project Delivery Deadline Extensions and Timely Use of Funds
Once an awardee has been allocated TIRCP funding,funds are subject to the Commission's timely
use of funds policy and for the construction phase, awardees are expected to execute the third-
party contract within six months of the allocation. Under CaISTA concurrence and with
Commission action, an extension may be granted for the period of contract award, project
completion or project reimbursementif it finds that an unforeseen or extraordinary circumstance
has occurred that justifies the extension. The extension will not exceed the period of delay
directly attributable to the extraordinary circumstance. There are separate deadlines, for award
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of a contract, for project completion and project reimbursement and each project component
has its own deadlines. All requests for project delivery deadline extensions should be submitted
by the agency responsible for project delivery to Caltrans at least 60 days prior to the specific
deadline for which the particular extension is requested (e.g., 60 days prior to June 30 to request
the extension of allocation deadlines). The extension request should describe the specific
circumstance that justifies the extension and identify the delay directly attributable to that
circumstance. Caltrans will review extension requests and provide a recommendation to CaISTA
for concurrence and then submit to the Commission for formal approval. 2022 TIRCP GUIDELINES
NOVEMBER 19, 202126 After the Commission allocation, any costs incurred for eligible work will
not be reimbursed until the appropriate agreements (Master Agreement and Project
Supplement/Amendment) with the local agency have been executed and must remain in effect
over the time required to complete capital improvements, implement services and fulfill the
reporting requirements of benefits and outcomes associated with the award. 14
ProjectReporting As a condition of the project selection and allocation,the implementing agency
must submit to Caltrans quarterly reports on the activities and progress made toward
implementation of the project and a final delivery report.The purpose of the reports is to ensure
that the project achieves the goals of the program, is executed in a timely fashion, and is within
the scope and budget identified when the decision was made to fund the project. Recordkeeping
and reporting requirements will apply through the life of the project. All recordkeeping and
reports must be consistent with the reporting requirement, quantification methodologies and
records retention periods developed by CARB (see Attachments 1, 2 and 3). At a minimum,
agencies must report on all projects selected for funding, progress on each funded project, and
the benefits (GHG and co-benefits) achieved. Implementing agencies should note that additional
Project Outcome Reporting may be required and is subject to modification based on the evolving
needs of the program. Caltrans may provide assistance through Cal-ITP on real-time information
and payments to streamline reporting requirements. For projects benefiting disadvantaged
communities, low-income communities, and/or low-income households, reports must identify
and include metrics to demonstrate the benefits being achieved and how community needs are
being met, consistent with CARB's Funding Guidelines. Some reported project information will
be publicly available on the CARB website, including the amount of funding that is being spent
on projects that benefit disadvantaged communities, low- income communities, and/or low-
income households. Consistent with CARB's Funding Guidelines, local agencies will now be
required to report on job cobenefits, in addition to all other reporting requirements. Job co-
benefits refer to California jobs supported, not created, by California Climate Investments. Jobs
supported by California Climate Investments include direct, indirect, and induced employment.
At the time of application, applicants are required to submit a job co-benefit modeling tool,which
is based upon a co-benefit assessment methodology developed by CARB. Once an awarded
project has been implemented, funding recipients will also be required to report actual (not
modeled) jobs data via the semiannual reporting process. Within one year of the project
becoming operable, or a later time period if approved by CaISTA, the implementing agency must
provide a final delivery report to Caltrans which includes: 1. The scope of the completed project
as comparedto the programmed project. 2. Performance outcomes derived from the project as
compared to those described in the project application. This should include before and after
measurements and estimates (ridership/service levels, greenhouse
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gasreductionsincludedupdatedestimatesthe greenhouse gasreductions over the life of the
project, benefit to disadvantaged communities, low-income communities, and/or low-income
households, project co-benefits, etc.), andanexplanationof themethodology usedto quantify the
benefits. 3. Before and after photos documenting the project. 4. The final costs as compared to
the approved project budget by component and fund type, and an estimate of the TIRCP funds
spent to benefit disadvantaged communities, low-income communities, and/or low-income
households. S. Its durationas comparedtothe project schedule in the project application. For all
projects other than components that fund limited-term operations of new and expanded transit
service, annual reporting on outcomes will continue for 36 months after becoming operational
(i.e., vehicle 2022 TIRCP GUIDELINES NOVEMBER 19, 2021 27 or equipment is operational, or
construction is complete and transit service is operational). The metrics to be reported vary by
project type as shown in the table below. Capital Improvements that Result in New or Expanded
Transit Service or Increase Mode Share on Existing Transit Service Metric Unit Method Tracking
dates of data submission mm/dd/yyyy n/a Days of operation per year Days/year Evaluation of
service schedule Average daily ridership Unlinked trips/day Ridership survey (conducted by city,
county, district/authority, metropolitan planning organization, non-profit, or academia), ticket
and transit pass sales, automatic passenger counter, driver counts, etc. New Vehicle(s) for
Existing Transit Service Metric Unit Method Tracking dates of data submission mm/dd/yyyy n/a
Fuel/energy consumption or vehicle miles traveled Gallons/year by fuel type, kWh/year,scf/year,
or vehicle miles traveled/year Evaluation of fueling, utility, mileage, or other operating records
Range in fuel/energy consumption or annual vehicle miles traveled Upon request from the
implementing agency, Caltrans may consider requests to delay reporting on before and after or
other performance outcome data until two years after project operation if similar data is
requested by the Federal Transit Administration or if the agency deems such delay would
improve the reliability of the report. For the purpose of this section, a project becomes operable
when the construction contract is accepted or acquired equipment is received. The State of
California has the right to review project documents and conduct audits during project
implementation and over the life of the project. Caltrans or another State agency may audit a
sample of TIRCP projects to evaluate the performance of the project, determine whether project
costs incurred and reimbursed are in compliance with the executed project agreement or
approved amendments thereof; state and federal laws and regulations; contract provisions; and
program guidelines, and whether project deliverables (outputs) and outcomes are consistent
with the project scope, schedule, and benefits described in the executed project agreement or
approved amendments thereof. A report on the projects audited must be submitted by the
auditing agencyto CaISTA. 15 ProjectAdministration Caltrans will administer the TIRCP consistent
with these guidelines and all applicable Commission and Caltrans policies and procedures for the
administration of similar grant programs. Projects awarded funding from TIRCP are expected to
document and publicize the Transit and Intercity Rail Capital Program in proper context when
developing press releases and board documents, or in hosting public events such as project
groundbreakings. References should be made to TIRCP, the California State Transportation
Agency as the program sponsor, and the Greenhouse Gas Reduction Fund and SB 1 program as
fund sources, as applicable, in order to ensure transparency regarding the funding of the project.
Additional details will be provided to program award recipients. Agencies must encumber and
expend monies consistent with State law and ensure that GGRF monies are utilized consistent
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with the expenditure record submitted by Caltrans and required by SB 1018. A determination
that use of GGRF monies is not consistent with the expenditure record and does not further the
purposes of AB 32 may occur during legal proceedings or during an audit or program review
conducted by the Bureau of State Audits, Department of Finance, a third-party auditor, or the
CARB. 2022 TIRCP GUIDELINES NOVEMBER 19, 2021 28 Depending on the outcome of those
proceedings or review, agencies may be required to return monies to the state if expenditures
are not consistent with the statutory requirements (such as not furthering the purposes of AB
32). Audits and on-site monitoring can take place at any time at the discretion of CaISTA, without
prior warning given to the agency. CaISTA has the right to audit the project records, including
technical and financial data of the Project Applicant, the Implementing Agency, and any
consultant or sub-consultants at any time after award, during the course of the project and for
three years from the date of the final closeout of the project, therefore all project records shall
be maintained and made available at the time of request. The state may terminate the grant for
any reason at any time if it learns of or otherwise discovers that there are allegations supported
by reasonable evidence that a violation of any state or federal law or policy by the grantee which
affects performance of this or any other grant agreement or contract entered into with the State.
If a grant is terminated, the agency may be required to fully or partially repay funds from the
TIRCP. 16 ProjectExpenditures Caltrans and CaISTA reserve the right to ask any agency to
complete a Cash Flow projections form.The form includes collecting the subtotal for Greenhouse
Gas Reduction Fund, Project Approval & Environmental Document, Plans, Specifics & Estimates,
Right ofWay and Construction. For more information on retrieving the Cash Flow form, please
contact tircpcomments@dot.ca.gov. 2022 TIRCP GUIDELINES NOVEMBER 19, 2021 Attachment
1: CCI Funding Guidelines for Administering Agencies Investments to Benefit Disadvantaged
Communities and Low-Income Communities and Households The California Air Resources Board
(CARB) released the "Funding Guidelines for Agencies Administering California Climate
Investments" (Funding Guidelines) on August 30, 2018. The 2018 Funding Guidelines provide
flexibility in implementing a diverse set of investments while maintaining transparency of
outcomes and ensuring meaningful community benefits from these investments. These
guidelines align with the Legislature's priorities found in AB 398 and Fiscal Year (FY) 2017-18
appropriations. These guidelines reflect the increasingly important role of California Climate
Investments in facilitating the reduction of greenhouse gases while also reducing air pollution,
helping communities adapt to the impacts of climate change, and providing meaningful benefits
to disadvantaged communities, low-income communities, and low-income households (also
referred to as "priority populations"), among other statutory requirements. CARB collaborates
with agencies that administer California Climate Investments programs to develop individual
targets for each program to drive investments that achieve direct and meaningful benefits to
priority populations and help ensure thatstatutory requirements are met,which are described in
AB 1550. Additional information can be found at the following CARB websites:
https:Hww2.arb.ca.gov/resources/documents/cci-funding-guidelines-administering-agencies
2022 TIRCP GUIDELINES NOVEMBER 19, 2021 2022 TIRCP GUIDELINES NOVEMBER 19, 2021
Attachment 2: Quantification Methodology and Co-Benefit Assessment Methodology CC[
Quantification and Reporting Materials Administering agencies must use the Funding Guidelines
with the resources provided by CARB to develop effective programs and demonstrate compliance
with program requirements. Resources include Quantification Methodologies (QMs) and
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Calculator Tools for estimating greenhouse gas (GHG) emission reductions and co-benefits;
Benefit Criteria Tables (BCTs) for determining benefits to priority populations; and Reporting
Templates for reporting outcomes.CARB staff developed the TIRCP QM and associated Calculator
Toolto provide guidance for estimating the GHG emission reductions and selected co-benefits for
each proposed project type. The calculator tool automates methods described in the QM
document, outlines documentation requirements, and provides a link to a step-by-step user
guide with project examples. Projects will report the total project GHG emission reductions and
co-benefit estimated using the TIRCP Calculator tool as well as the total project GHG emission
reductions per dollar of GGRF funds. Using many of the same inputs required to estimate GHG
emission reductions, the TIRCP Calculator Tool will estimate the following co-benefits and key
variables from TIRCP projects • ROG emission reductions (lbs), • NOx emission reductions (lbs),
• PM2.5 emission reductions (lbs), • Diesel PM emission reductions (lbs), • Passenger VMT
reductions(miles), • Fossil fuel use reductions(gallons), • Fossil fuel energy use reductions(kWh),
• Passenger travel cost savings ($), and • Energy and fuel cost savings ($). Additional co-benefits
for which CARB assessment methodologies were not incorporated into the TIRCP Calculator Tool
may also be applicable to the project. Applicants should consult the TIRCP guidelines, solicitation
materials, and agreements to ensure they are meeting TIRCP requirements. All CARB co-benefit
assessment methodologies are available at:
https:Hww2.arb.ca.gov/resources/documents/ccimethodologies Reporting templates are
developed specifically for each program within California Climate Investments. These templates
are used by TIRCP staff to report on outcomes from all projects funded by TIRCP. Note:
Quantification methods have been developed specifically for each GGRF programs and are not
intended for use in other programs. Additional information can be found at the following CARB
website: https://ww2.arb.ca.gov/resources/documents/cci-quantification-benefits-and-
reporting-materials 2022 TIRCP GUIDELINES NOVEMBER 19, 2021 Co-benefit Assessment
Methodology California Climate Investments support the State's climate change goals and
provide many additional benefits to individuals, households, businesses, and communities.These
"cobenefits" include social, economic, and environmental benefits. CARB provides guidance on
quantification methods and reporting to administering agencies. CARB contracted with the
University of California, Berkeley (UC Berkeley) to help research and develop methods for
evaluating project co-benefits. Guidance on using the co-benefit assessment methodologies is
contained in CARB's Funding Guidelines.The co-benefits were prioritized based on administering
agency input and broad applicability to California Climate Investments programs. UC Berkeley
first reviewed the scientific data to determine if methods could be developed and summarized
the findings in literature reviews. Next, UC Berkeley and CARB developed Co-benefit Assessment
Methodologies where feasible. CARB solicited public comment on draft versions in Spring 2018
prior to posting final Co-benefit Assessment Methodologies. CARB may review and update
assessment methodologies periodically based on new or evolving project types; new legislation;
available resources; new scientific developments or tools, or modifications in the analytical tools
or approaches upon which the methodologies were based; or input from administering agencies
or the public. The California Air Resources Board is updating the Co-benefit assessment
methodology. See the following website for the final methodology.
https:Hww2.arb.ca.gov/resources/documents/cci-methodologies 2022 TIRCP GUIDELINES
NOVEMBER 19, 2021 Attachment 3: Benefit Criteria Tables CCI Benefit Criteria Tables TIRCP uses
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the Sustainable Transportation Benefit Criteria Table developed by CARB to ensure that programs
meet the minimum levels of investments to projects that benefit residents of disadvantaged
communities, low-income communities, and low-income households, collectively referred to as
"priority populations". All projects counting toward the statutory investment minimums must be
located within an identified community and benefit individuals living within that community, or
directly benefit residents of low-income households anywhere in the State. Administering
agencies must determine if a project meets the criteria for providing direct, meaningful, and
assured benefits to priority populations using the following evaluation approach: Step 1: Identify
the Priority Population(s). Be located within a census tract identified as a disadvantaged
community or low-income community, or directly benefit residents of a low-income household.
Step 2: Address a Need. Meaningfully address an important community or household need for
the disadvantaged community, low-income community, or low-income household. Step 3:
Provide a Benefit. Using the evaluation criteria, identify at least one direct, meaningful, and
assured benefit that the project provides to priority populations. The benefit provided must
directly address the identified need. Only investments that meet these criteria will be counted
toward achieving the statutory investment minimums identified for priority populations.
Administering agencies can fund projects that otherwise provide meaningful benefits, but do not
meet these criteria; however, those projects will not be counted toward investment minimums.
2022 TIRCP GUIDELINES NOVEMBER 19, 2021 Attachment 4: California Transportation
Commission — Transit and Intercity Rail Capital Program Allocation Policy Resolution G-20-61
CALIFORNIA TRANSPORTATION COMMISSION TRANSIT AND INTERCITY RAIL CAPITAL PROGRAM
ALLOCATION POLICY Resolution G-20-61 In accordance with Public Resources Code 75220(C),the
California Transportation Commission (Commission)shall allocate funding to applicants pursuant
to the program of projects approved by the California State Transportation Agency (CaISTA) for
the Transit and Intercity Rail Capital Program. The Commission recognizes that the approved
program of projects is expressed in more detail with regards to project component, phase and
fiscal year of implementation in the Transit and Intercity Rail Capital Program Allocation Plan
(which is regularly updated as approved projects progress through development). These two
documents are collectively referred to here as the "Program." Allocations made by the
Commission follow the timely use of funds provisions that are consistent across all funding
programs under the Commission's purview. To provide consistency in the programming of state
transportation funds, the total award to each project component should be listed in the Transit
and Intercity Rail Capital Program in the fiscal year(s) in which the project component will be
implemented. If a project is expected to require multiple contracts for any component, each
contract should be programmed separately. All project allocation requests that come before the
Commission must be consistent with the Program. The following describes how the Commission
intends to manage Transit and Intercity Rail Capital Program allocations: 1. Allocations will be
made to the full programmed amount for each project component. If a project will require
multiple construction contracts,allocations will be made to the full programmed amount for each
contract. The Commission will consider the allocation of funds for a project when it receives an
allocation request with a recommendation from the California Department of Transportation
(Caltrans). The recommendation should include a determination of project readiness, the
availability of appropriated Transit and Intercity Rail Capital Program funding, and the availability
of all other committed funding. Funds allocated for project development or right-of-way costs
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must be expended by the end of the fiscal year of allocation plus two additional fiscal years,
unless a longer time-frame is requested at the time of allocation or the Commission approves a
time extension subsequent to the allocation. Allocations for award are valid for six months from
the date of allocation unless otherwise indicated at the time of allocation or the Commission
approves a time extension subsequent to the allocation. For funds allocated for construction,
including rolling stock procurement, the implementing agency has up to 36 months after the
award of a contract, to complete (accept) the contract unless a longer time-frame is requested
at the time of allocation or the Commission approves a time extension subsequent to the
allocation. The implementing agency must submit a final invoice to Caltrans no later than 180
days after contract acceptance. 2. The Commission will approve the allocation if the funds are
available and the allocation is necessaryto implement the project or project component included
in CaISTA's approved 5-Year Transit and Intercity Rail Capital Program. For projects that are ready
to advertise, the Commission expects Caltrans to certify that a project's plans, specifications and
estimates are complete, environmental and right-of-way clearances are secured, and all
necessary permits and agreements (including railroad construction and maintenance) are
executed. For the procurement of rolling stock, the Commission may consider the 2022 TIRCP
GUIDELINES NOVEMBER 19, 2021 exercising of an option or the certification of funds for contract
elements as meeting the milestone for contract award provided that the agency is under no
contractual obligation to pay any funds or penalty if the option is not exercised or the funds not
certified. Construction allocations for projects or project components not ready for
advertisement will not be placed on the Commission's agenda for allocation approval. In
compliance with Section 21150 of the Public Resources Code, the Commission will not allocate
funds for design, right-of-way, or construction prior to documentation of environmental
clearance under the California Environmental Quality Act. As a matter of policy, the Commission
will not allocate funds for design, right-of-way, or construction of a federally funded project prior
to documentation of environmental clearance under the National Environmental Policy Act. The
implementing agency must not award the contract for a project or project component until the
Commission has allocated the funds for the project. Any changes to the scope of a project or
project component after the allocation of funds to the project or project component must be
approved in advance by the Commission. 3. CaISTA may change the timeline for the allocation of
a project component based on changes in project delivery needs. These changes will be
communicated in updates to the Program.The Commission may grant the extension of deadline
for award of a contract, for expenditures for project development or right-of-way, for project
completion, and for project reimbursement. The Commission may grant a deadline extension if
it finds that an unforeseen and extraordinary circumstance beyond the control of the agency has
occurred that justifies the extension. The extension will not exceed the period of delay directly
attributable to the extraordinary circumstance, and in no event will be longer than 20 months.
All requests for project delivery deadline time extensions shall follow the Caltrans time extension
process in order to be included in the Commission's agenda. The extension request should
describe the specific circumstance that justifies the extension and identify the delay directly
attributable to that circumstance. Caltrans will review all time extension requests and make a
recommendation to the Commission for approval. 4. Caltrans is responsible for managing the
cash flow needed to match the Transit and Intercity Rail Capital Program's resources to projects
or project components that have received Commission allocations, in accordance with the terms
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of CaISTA delegated authority and approval. 5. After allocation, Caltrans is responsible for
managing project delivery and reimbursements in cooperation with the implementing agencies,
in accordance with the terms of CaISTA delegated authority and approval.
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APPENDIX B
RECIPIENT'S RESO LUTIO N
Resolution No. 2023-XXX N.C.S.
of the City of Petaluma, California
AUTHORIZING THE EXECUTION OF THE MASTER AGREEMENT FOR THE TRANSIT AND
INTERCITY RAIL CAPITAL PROGRAM (TIRCP) FOR FLEET ELECTRIFICATION AND BUS STOP
FACILITY IMPROVEMENTS
WHEREAS, the City of Petaluma wishes to continue to improve the Transit and Paratransit
systems in order to help fulfill the Petaluma Climate Action Emergency Framework; and
WHEREAS, the City of Petaluma received $3,080,000 in state funding from the Transit and
Intercity Rail Capital Program (TIRCP) for three transit projects; and
WHEREAS, the statutes related to state-funded transit projects require a local or regional
implementing agency to abide by various regulations; and
WHEREAS, Senate Bill 862 (2014) named the Department of Transportation (Department)
as the administrative agency for the TIRCP; and
WHEREAS, the Department has developed guidelines for the purpose of administering and
distributing TIRCP funds to eligible project sponsors (local agencies); and
WHEREAS, any future action due to the use of the grant funds will receive its own analysis
under CEQA, however, purchasing transit facility and bus stop improvements and replacing
diesel buses with zero-emission buses, with no increase in service will likely be exempt
pursuant to CEQA Guidelines Section 15061, the commonsense exemption.
WHEREAS, the City of Petaluma has previously delegated authority to execute these
documents and any amendments thereto to Peggy Flynn, City Manager, or her designee; and
WHEREAS, the City of Petaluma wishes to implement the following TIRCP project(s) listed
above.
NOW,THEREFORE, BE IT RESOLVED that the City Council of the City of Petaluma hereby:
1. Declares the above recitals to be true and correct and are incorporated herein as
findings of this Resolution.
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2. Finds that the proposed action is exempt from the requirements of the California
Environmental Quality Act (CEQA) in accordance with CEQA Guidelines Section 15378, in
that applying for a grant does not meet CEQA's definition of a "project," because the
action does not have the potential for resulting in either a direct physical change in the
environment or a reasonably foreseeable indirect physical change in the environment,
and because the action does not commit the City to a definite course of action (See City
of Irvine v. County of Orange (2013) 221 Cal 4th 846, 865 County's decision to apply for
state funding for potential jail expansion was not project approval). Any future action
due to the use of the grant funds will receive its own analysis under CEQA. However,
purchasing one zero-emission bus to replace an existing diesel bus, with no increase in
service will likely be exempt pursuant to CEQA Guidelines Section 15061, the common-
sense exemption.
3. That the fund recipient agrees to comply with all conditions and requirements set forth
in the Certification and Assurances document and applicable statutes, regulations, and
guidelines for all TIRCP funded transit projects.
4. That it hereby authorizes the submittal of the following project nomination(s) and
allocation request(s) to the Department in FY 2022/23— FY 2026/27 TIRCP funds:
Project Name:Transit Facility Improvements (Electrification)— Phase 2
Amount of TIRCP funds requested: $940,000
Short description of the project:This project will replace 10 diesel and gasoline
fixed route and paratransit/microtransit buses, which will have reached the end
of their useful life, with zero-emission buses in FY 23/24.
Project Name: Bus Stop Improvements
Amount of TIRCP funds requested: $412,000
Short description of the project:The project will provide bus stop improvements
throughout
Petaluma in the form of more bus shelters, benches, trash cans, concrete
accessibility
and passenger waiting pads, solar security lighting, maps, etc.
Project Name: Bus Fleet Replacement and Electrification
Amount of TIRCP funds requested: $1,728,000
Short description of the project:This project provides fleet replacement and
expansion for fixed
route and paratransit service in order to offer more service and meet growing
demand.
Under the power and authority conferred upon this Council by the Charter of said City.
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DocuSign Envelope ID:85BC4550-14A7-4A37-BF2F-9075DC7E6E04
City of Petaluma
Master Agree me n t No. 64XXXXXIVIA
Program Sup p le m e nt No. )OOOOWS
REFERENCE: I hereby certify the foregoing Resolution was introduced and adopted by the Approved as to
Council of the City of Petaluma at a Regular meeting on the 15t day of May 2023,by form:
the following vote:
City Attorney
AYES:
NOES:
ABSENT:
ABSTAIN:
ATTEST:
City Clerk Mayor
Revised as of9/22/20 Page 63