Cycle 3 2017 REGIONAL COMPETITIVE ACTIVE TRANSPORTATION PROGRAM GUIDELINES Adopted by Fresno COG Policy Board on 5-26-16 Approved by the California Transportation Commission on 6-29-16 TABLE OF CONTENTS Introduction Background Program Goals Program Schedule and Funding Years Funding Source Distribution Matching Requirements Reimbursement Minimum and Maximum Funding Award Request Funding Set-Asides Eligibility Eligible Applicants Partnering with Implementing Agencies Eligible Projects Example Projects Project Type Requirements Disadvantaged Communities Project Selection Process Regional Competitive ATP Project Selection Project Application Screening Criteria Scoring Criteria Project Selection Between Project Applications with the Same Score Project Evaluation Committee Programming Contingency Project List Allocations Project Delivery Federal Requirements Design Standards Project Inactivity Project Reporting Roles and Responsibilities California Transportation Commission (CTC) California Department of Transportation (Caltrans) Metropolitan Planning Organizations (MPOs) with large urbanized areas Project Applicant Active Transportation Plans Program Evaluation Page 2 of 20 3 3 3 3 4 4 4 5 5 5 5 6 6 7 7 8 9 9 10 10 10 11 11 13 13 13 14 14 15 16 16 16 17 17 17 18 18 19 19 19 INTRODUCTION BACKGROUND The Active Transportation Program (ATP) was created by Senate Bill 99 (Chapter 359, Statutes of 2013) and Assembly Bill 101 (Chapter 354, Statutes of 2013) to encourage increased use of active modes of transportation, such as biking and walking. These guidelines describe the policy, standards, criteria, and procedures for the development, adoption, and management of the Regional Competitive Fresno Council of Governments (FCOG) ATP. The guidelines were developed in consultation with FCOG’s ATP Multidisciplinary Advisory Group (MAG). The MAG includes a representative from Caltrans, other government agencies, and active transportation stakeholder organizations with expertise in public health and pedestrian and bicycle issues, including Safe Routes to School programs. The California Transportation Commission (CTC) must approve these guidelines so that FCOG may carry out the ATP at the Metropolitan Planning Organization (MPO) level. PROGRAM GOALS Pursuant to statute, the goals of the ATP are to: Increase the proportion of trips accomplished by biking and walking. Increase the safety and mobility of non-motorized users. Advance the active transportation efforts of regional agencies to achieve greenhouse gas reduction goals as established pursuant to Senate Bill 375 (Chapter 728, Statutes of 2008) and Senate Bill 391 (Chapter 585, Statutes of 2009). Enhance public health, including reduction of childhood obesity through the use of programs including, but not limited to, projects eligible for Safe Routes to School Program funding. Ensure that disadvantaged communities fully share in the benefits of the program. Provide a broad spectrum of projects to benefit many types of active transportation users. PROGRAM SCHEDULE AND FUNDING YEARS The Cycle 3 Statewide guidelines for the 2017 two-year program of projects (covering state fiscal years 2019/20 and 2020/21) were adopted on March 17, 2016 by the CTC. Each program of projects must be adopted no later than April 1 of each odd-numbered year; however, the CTC may alternatively elect to adopt a program annually. The following schedule lists the major milestones for the development and adoption of the 2017 ATP: FCOG DRAFT ATP Regional Guidelines to TTC/PAC for approval – May 13, 2016 CTC adopts ATP Fund Estimate – May 18, 2016 FCOG DRAFT ATP Regional Guidelines to FCOG Policy Board for adoption – May 26, 2016 Submit FCOG ATP Regional Guidelines to CTC – June 1, 2016 CTC approves or rejects FCOG Final ATP Regional Guidelines – June 29-30, 2016 Regional Competitive FCOG ATP Call for Projects – July 1-September 15, 2016 Page 3 of 20 CTC staff recommendation for statewide portions of the ATP – October 28, 2016 FCOG Multidisciplinary Advisory Group reviews and scores regional level projects – November 2, 2016 CTC adopts statewide ATP program of projects – December 7-8, 2016 o Projects not selected in statewide program compete in the FCOG Regional ATP FCOG selected draft project list to TTC/PAC for recommendation of approval – January 13, 2017 FCOG selected draft project list to FCOG Policy Board for adoption – January 26, 2017 Deadline for MPO project programming recommendations to CTC – January 27, 2017 CTC adopts MPO selected projects – March 2017 FCOG programs selected ATP projects as an amendment to the 2017 FTIP--end of Spring/ early Summer 2017 FUNDING SOURCE The ATP is funded from various federal and state funds appropriated in the annual Budget Act. These are: 100% of the federal Transportation Alternative Program funds, except for federal Recreation Trail Program funds appropriated to the Department of Parks and Recreation. $21 million of federal Highway Safety Improvement Program funds or other federal funds. State Highway Account funds. In addition to furthering the goals of this program, all ATP projects must meet eligibility requirements specific to at least one ATP funding source. DISTRIBUTION ATP funds from the State of California provide an important funding source for active transportation projects. State and federal law segregate the ATP into multiple, overlapping components. The ATP Fund Estimate must indicate the funds available for each of the program components. Forty percent of ATP funds must be distributed to Metropolitan Planning Organizations (MPO) in urban areas with populations greater than 200,000. These funds must be distributed based on total MPO population. The 2017 ATP Fund Estimate is still pending as CTC will be taking it to the May 18, 2016 CTC meeting for adoption. Per the 2015 ATP Fund Estimate, $3.9 million was available in the second cycle, that is, $1.3 million per year for Fiscal Year 16/17, 17/18, and 18/19 for the Regional Competitive ATP for FCOG. Similarly, for Cycle 3, CTC is proposing to award Fresno COG with an additional $1.3 million per year for Fiscal Years 19/20 and 20/21. Per Senate Bill 99, ATP guidelines include a process to ensure that no less than 25% of overall program funds shall benefit disadvantaged communities. The funds programmed and allocated under this paragraph must be selected through a competitive process by the MPOs in accordance with these guidelines. Projects selected by MPOs may be in either large urban, small urban, or rural areas. Page 4 of 20 MATCHING REQUIREMENTS Although FCOG encourages the leveraging of additional funds for a project submitted to the regional competitive ATP, matching funds are not required to be eligible. However, if an agency chooses to provide match funds, points will be awarded based on the amount of the non‐ATP funding pledged to the project. Matching funds cannot be expended prior to the CTC allocation of ATP funds in the same project phase (permits and environmental studies; plans, specifications, and estimates; right-of-way; and construction). Matching funds must be expended concurrently and proportionally to the ATP funds. Matching funds may be adjusted before or shortly after contract award to reflect any substantive change in the bid compared to the estimated cost of the project. This is applicable to all project categories. The source of the matching funds may be any combination of local, private, state, or federal funds. REIMBURSEMENT The ATP is a reimbursement program for eligible costs incurred. Reimbursement is requested through the invoice process detailed in Chapter 5, Accounting/Invoices, Local Assistance Procedures Manual. Costs incurred prior to CTC allocation and, for federally funded projects, Federal Highway Administration project approval (i.e. Authorization to Proceed) are not eligible for reimbursement. MINIMUM FUNDING AWARD REQUEST There is no minimum ATP award request required for FCOG’s Regional Competitive ATP which is different than the statewide requirement. This applies to all project categories. MAXIMUM FUNDING AWARD REQUEST FCOG “encourages” ATP funding awards of $1,000,000 or less per project. FUNDING SET-ASIDES The Fresno COG Regional Competitive ATP does not include any set-aside funding for Safe Routes to School projects, Recreational Trails projects, or Active Transportation Plans. These infrastructure, NonInfrastructure and combined Infrastructure/Non-Infrastructure projects will compete within the same funding source and will be scored accordingly. Safe Routes to School projects must directly increase safety and convenience for public school students to walk and/or bike to school. Safe Routes to Schools infrastructure projects must be located within two miles of a public school or within the vicinity of a public school bus stop. Other than traffic education and enforcement activities, non-infrastructure projects do not have a location restriction. Trail projects that are primarily recreational should meet the federal requirements of the Recreational Trails Program as such projects may not be eligible for funding from other sources (http://www.fhwa.dot.gov/environment/recreational_trails/). A city, county, county transportation commission, regional transportation planning agency, MPO, school district, or transit district may prepare an active transportation plan (bicycle, pedestrian, safe-routes-toschool, or comprehensive). An active transportation plan prepared by a city or county may be integrated into the circulation element of its general plan or a separate plan which is compliant or will be brought into compliance with the Complete Streets Act, Assembly Bill 1358 (Chapter 657, Statutes of Page 5 of 20 2008). Funding for active transportation plans must be consistent with the plan requirements identified in the CTC adopted ATP Guidelines. Please refer to the section PROJECT APPLICANT on page 19 for more information regarding the funding of plans. ELIGIBILITY ELIGIBLE APPLICANTS The applicant and/or implementing agency for ATP funds assumes responsibility and accountability for the use and expenditure of program funds. Applicants and/or implementing agencies must be able to comply with all the federal and state laws, regulations, policies and procedures required to enter into a Local Administering Agency-State Master Agreement (Master Agreement). Refer to Chapter 4, Agreements, of the Local Assistance Procedures Manual for guidance and procedures on Master Agreements. The following entities, within the State of California, are eligible to apply for ATP funds: Local, Regional or State Agencies-Examples include city, county, MPO*, and Regional Transportation Planning Agency. Transit Agencies -Any agency responsible for public transportation that is eligible for funds under the Federal Transit Administration. Natural Resource or Public Land Agencies -Federal, Tribal, State, or local agency responsible for natural resources or public land administration. Examples include: o State or local park or forest agencies o State or local fish and game or wildlife agencies o Department of the Interior Land Management Agencies o U.S. Forest Service Public schools or School districts. Tribal Governments -Federally-recognized Native American Tribes. Private nonprofit tax-exempt organizations may apply for recreational trails and trailheads, park projects that facilitate trail linkages or connectivity to non-motorized corridors, and conversion of abandoned railroad corridors to trails. Projects must benefit the general public, and not only a private entity. Any other entity with responsibility for oversight of transportation or recreational trails that the CTC determines to be eligible. A project applicant found to have purposefully misrepresented information that could affect a project’s score may result in the applicant being excluded from the program for the current cycle and the next cycle. For funding awarded to a tribal government, a fund transfer to the Bureau of Indian Affairs may be necessary. A tribal government may also partner with another eligible entity to apply if desired. As noted above, all applicants must comply with the federal aid process. Agencies applying for infrastructure funding that are not familiar with the federal aid process and federal policies and procedures shall partner with a local agency that possesses expertise in these funding program requirements. See below for more information on partnering opportunities. Page 6 of 20 PARTNERING WITH IMPLEMENTING AGENCIES Eligible applicants that are unable to apply for ATP funds or that are unable to enter into a Master Agreement with the State must partner with an eligible applicant that can implement the project. In addition, eligible applicants that are unfamiliar with the requirements to administer a Federal-Aid Highway Program project are encouraged to partner with an eligible applicant that can implement the project. If another entity agrees to be the implementing agency and assume responsibility for the ongoing operations and maintenance of the facility, documentation of the agreement (e.g., letter of intent) must be submitted with the project application, and a copy of the Memorandum of Understanding or Interagency Agreement between the parties must be submitted with the request for allocation. The implementing agency will be responsible and accountable for the use and expenditure of program funds. ELIGIBLE PROJECTS All projects must be selected through a competitive process and must meet one or more of the program goals. Because the majority of funds in the ATP are federal funds, projects must be federal-aid eligible: Infrastructure Projects: Capital improvements that will further the goals of this program. This typically includes the environmental, design, right -of-way and construction phases of a capital (facilities) project. A new infrastructure project will not be programmed without a complete project study report (PSR) or PSR equivalent. The application will be considered a PSR equivalent if it defines and justifies the project scope, cost and schedule. The PSR or equivalent may focus on the project components proposed for programming, it must provide at least a preliminary estimate of costs for all components. PSR guidelines are posted on the CTC’s website: http://www.catc.ca.gov/programs/ATP.htm A capital improvement that is required as a condition for private development approval or permits is not eligible for funding from the ATP. Plans: The development of a community wide bicycle, pedestrian, safe routes to school, or active transportation plan in a disadvantaged community. Non-infrastructure Projects: Education, encouragement, and enforcement activities that further the goals of this program. The CTC intends to focus funding for non-infrastructure on start-up projects. A project is considered to be a start-up when no program currently exists. Start-up projects must demonstrate how the program is sustainable after ATP funding is exhausted. The ATP funds cannot fund ongoing program operations. Non-infrastructure projects are not limited to those benefiting school students. Program expansions or new components of existing programs are eligible for ATP funds as long as the applicant can demonstrate that the existing program will be continued with non-ATP funds. Infrastructure projects with non-infrastructure components. Page 7 of 20 EXAMPLE PROJECTS Below is a list of projects generally considered eligible for ATP funding. This list is not intended to be comprehensive; other types of projects that are not on this list may also be eligible if they further the goals of the program. Important—components of an otherwise eligible project may not be eligible. For information on ineligible components, see the Caltrans Local Assistance/ATP website. Development of new bikeways and walkways that improve mobility, access, or safety for nonmotorized users. Improvements to existing bikeways and walkways, which improve mobility, access, or safety for non-motorized users. o Elimination of hazardous conditions on existing bikeways and walkways. o Preventative maintenance of bikeways and walkways with the primary goal of improving the active transportation operations/usability and extending the service life of the facility. Installation of traffic control devices to improve the safety of pedestrians and bicyclists. Safe Routes to School projects that improve the safety of children walking and bicycling to school, in accordance with Section 1404 of Public Law 109-59. Safe routes to transit projects, which will encourage transit by improving biking and walking routes to mass transportation facilities and school bus stops. Secure bicycle parking at employment centers, park and ride lots, rail and transit stations, and ferry docks and landings for the benefit of the public. Bicycle-carrying facilities on public transit, including rail and ferries. Establishment or expansion of a bike share program. Recreational trails and trailheads, park projects that facilitate trail linkages or connectivity to non-motorized corridors, and conversion of abandoned railroad corridors to trails. Development of a community wide bike, pedestrian, safe routes to schools or active transportation plan in a disadvantaged community. Education programs to increase bicycling and walking, and other non-infrastructure investments that demonstrate effectiveness in increasing active transportation. Components may include but are not limited to: o Development and implementation of bike-to-work or walk-to-work school day/month programs. o Conducting bicycle and/or pedestrian counts, walkability and/or bikeability assessments or audits, or pedestrian and/or bicycle safety analysis. o Conducting pedestrian and bicycle safety education programs. o Development and publishing of community walking and biking maps, including school route/travel plans. o Development and implementation of walking school bus or bike train programs. o Components of open streets events directly linked to the promotion of a new infrastructure project or designed to promote walking and biking on a daily basis. o Targeted enforcement activities around high pedestrian and/or bicycle injury and/or fatality locations (intersections or corridors). These activities cannot be general traffic enforcement but must be tied to improving pedestrian and bicyclist safety. o School crossing guard training. o School bicycle clinics. o Development and implementation of programs and tools that maximize use of available and emerging technologies to implement the goals of the ATP. Page 8 of 20 PROJECT TYPE REQUIREMENTS As discussed in the Funding Distribution section (above), State and Federal law segregate the ATP into multiple, overlapping components. Below is an explanation of the requirements specific to these components. DISADVANTAGED COMMUNITIES For a project to contribute toward the Disadvantaged Communities funding requirement of 25%, the project must clearly demonstrate, with verifiable information, a direct, meaningful, and assured benefit to a disadvantaged community. To count as providing a benefit, a project must fulfill an important need of low-income people in a way that provides a significant benefit and targets its benefits primarily to low-income people while avoiding substantial burdens on a disadvantaged community. For a project to qualify as directly benefiting a disadvantaged community, the project must be located within or in reasonable proximity and have a direct connection, to the disadvantaged community served by the project; or the project must be an extension or a segment of a larger project that connects to or directly adjacent to that disadvantaged community. It is incumbent upon the applicant to clearly articulate how the project benefits the disadvantaged community; there is no presumption of benefit, even for projects located within a disadvantaged community. To qualify as a disadvantaged community the community served by the project must meet at least one of the following criteria: The Median Household Income (Table ID B19013) is less than 80% of the statewide median based on the most current Census Tract (ID 140) level data from the 2010-2014 American Community Survey (<$49,191). Communities with a population less than 15,000 may use data at the Census Block Group (ID 150) level. Unincorporated communities may use data at the Census Place (ID 160) level. Data is available at: http://factfinder2.census.gov/faces/nav/jsf/pages/index.xhtml An area identified as among the most disadvantaged 25% in the state according to the CalEPA and based on the California Communities Environmental Health Screening Tool 2.0 (CalEnviroScreen 2.0) scores (scores must be greater than or equal to 36.62). This list can be found at the following link under SB 535 List of Disadvantaged Communities: http://www.calepa.ca.gov/EnvJustice/GHGInvest/ o At least 75% of public school students in the project area are eligible to receive free or reducedprice meals under the National School Lunch Program. Data is available at: http://www.cde.ca.gov/ds/sd/sd/filessp.asp. Applicants using this measure must indicate how the project benefits the school students in the project area. Project must be located within 2 miles of the school(s) represented by this criteria. Other: o If a project applicant believes a project benefits a disadvantaged community but the project does not meet the aforementioned criteria due to a lack of accurate Census data or CalEnviroScreen data that represents a small neighborhood or unincorporated area, the applicant must submit for consideration a quantitative assessment to demonstrate that the community’s median household income is at or below 80% of that state median household income. o Regional definitions of disadvantaged communities as adopted in a Regional Transportation Plan (RTP) by an MPO or RTPA per obligations with Title VI of the Federal Civil Rights Act of 1964, such as “environmental justice communities” or “communities Page 9 of 20 o of concern,” may be used in lieu of the options identified above. Projects located within Federally Recognized Tribal Lands (typically within the boundaries of a Reservation or Rancheria). PROJECT SELECTION PROCESS REGIONAL COMPETITIVE ATP PROJECT SELECTION The project applications received in this competitive process will be considered along with those not selected through the statewide competition. In administering a competitive selection process, FCOG will use a multidisciplinary advisory group (MAG) to assist in evaluating project applications. Following the competitive selection process, FCOG will submit its programming recommendations to the CTC along with: Project applications that were not submitted through the statewide program List of the members of its multidisciplinary advisory group Description of unbiased project selection methodology Program spreadsheet with the following elements • All projects evaluated • Projects recommended with total project cost, request amount, fiscal years, phases, state only funding requests, amount benefitting disadvantaged communities • Project type designations such as non-infrastructure, Safe Routes to School, etc. Board resolution approving program of projects Updated Project Programming Requests (PPRs) PROJECT APPLICATION The FCOG Regional Competitive ATP project applications and supporting information will be made available at: www.fresnocog.org/ftip. Projects not selected for programming in the statewide competition must be considered in the FCOG Regional Competitive ATP and must include a supplemental application. Per the CTC’s guidelines, a copy of the application submitted to the state MUST be submitted to FCOG at the same time. A project application must include the signature of the Chief Executive Officer or other officer authorized by the applicant’s governing board. Where the project is to be implemented by an agency other than the applicant, documentation of the agreement between the project applicant and implementing agency must be submitted with the project application. A project application must also include documentation of all other funds committed to the projects. All letters of support and resolutions must be included with the application and not mailed separately. Project applications should be addressed or delivered to: Fresno Council of Governments Attn: Chelsea Gonzales 2035 Tulare Street Suite 201 Fresno, CA 93721 Page 10 of 20 Please submit 7- hard copies and one electronic copy (via cd or portable hard drive) of a complete application. Applications must be postmarked by the application deadline. For questions or concerns, please contact Chelsea Gonzales at [email protected] or Melissa Garza at [email protected]. You may also contact us by phone at 559-233-4148. SCREENING CRITERIA Before evaluation, project applications will be screened for the following: Consistency with an adopted regional transportation plan: Applicants should provide the supporting language cited from the adopted RTP, such as the specific goal, objective, or RTP project number, to show that the submitted project is consistent with the plan. Supplanting Funds: A project that is already fully funded will not be considered for funding in the Active Transportation Program. ATP funds cannot be used to supplant other committed funds. Eligibility of project: Project must be one of the four types of projects listed in Section 11 of the state CTC ATP Cycle 3 guidelines. Applications will be screened for eligibility. Applications will be removed from the competitive process if found ineligible based on the guidelines/criteria, and if the project application is incomplete. Projects not selected for programming in the statewide competition, but deemed eligible for the regional program will be considered; however, applicants will be required to complete and attach the FCOG supplemental application. SCORING CRITERIA Proposed projects will be scored and ranked on the basis of applicant responses to the below criteria. Project programming recommendations may not be based strictly on the rating criteria given the various components of the ATP and requirements of the various fund sources. 1. Benefit to “disadvantaged communities”. (0 to 10 points) Applicants must: a. Provide a map that delineates the specific disadvantaged census tract(s) or school(s) that will benefit from the project in relationship to the project site. Scores will be scaled in relation to the severity of and the benefit provided to the disadvantaged community affected by the project. 2. Potential for increased walking and bicycling, especially among students, including the identification of walking and bicycling routes to and from schools, transit facilities, community centers, employment centers, and other destinations; and including increasing and improving connectivity and mobility of non-motorized users. Applicants may describe how the project would address significant gap closures. (0 to 35 points) 3. Potential for reducing the number and/or rate or the risk of pedestrian and bicyclist fatalities and injuries, including the identification of safety hazards for pedestrians and bicyclists. Applicants may describe qualitative safety barriers that deter people from walking/biking if their Page 11 of 20 community lacks quantitative safety data and how the project would address the community’s safety concerns. (0 to 25 points) 4. Public participation and Planning. (0 to 10 points) a. Identification of the community-based public participation process that culminated in the project proposal, which may include noticed meetings and consultation with local stakeholders. Project applicants must clearly articulate how the local participation process (including the participation of disadvantaged community stakeholders) resulted in the identification and prioritization of the proposed project. b. For projects costing $1 million or more, an emphasis will be placed on projects that are prioritized in an adopted city or county bicycle transportation plan, pursuant to Section 891.2, pedestrian plan, safe routes to school plan, active transportation plan, trail plan, or circulation element of a general plan that incorporated elements of an active transportation plan. In future funding cycles, the CTC expects to make consistency with an approved active transportation plan a requirement for large projects. 5. Improved public health through the targeting of populations with high risk factors for obesity, physical inactivity, asthma or other health issues, with a description of the intended health benefits of the proposed project. (0 to 10 points) 6. Cost-effectiveness. (0 to 5 points) a. A project’s cost effectiveness will be evaluated on the relative costs of the project in comparison to the project’s benefits as defined by the purpose and goals of the ATP. This includes the consideration of the safety and mobility benefit in relation to both the total project cost and the funds provided. The Cal-B/C benefit-cost model is being updated to incorporate active transportation projects. When this update is complete, applicants must use this model to quantify the costeffectiveness of their project. 7. Leveraging of non-ATP funds (excluding in-kind contributions) on the ATP project scope proposed. (0 to 5 points) 8. Use of the California Conservation Corps or a qualified community conservation corps, as defined in Section 14507.5 of the Public Resources Code, as partners to undertake or construct applicable projects in accordance with Section 1524 of Public Law 112-141. Points will be deducted if an applicant does not seek corps participation or if an applicant intends not to utilize a corps in a project in which the corps can participate. (0 or -5 points) The California Conservation Corps can be contacted at [email protected]. Qualified Community conservation corps can be contacted at [email protected]. Page 12 of 20 Direct contracting with the California Conservation Corps or a qualified community conservation corps without bidding is permissible provided that the implementing agency demonstrates cost effectiveness per 23 CFR 635.204 and obtains approval from Caltrans. A copy of the agreement between the implementing agency and the proposed conservation corps must be provided to Caltrans. 9. Applicant’s performance on past ATP projects. Point reduction for non-use of the Corps as committed to in a past ATP award or project failure on any past ATP project. (0 or -10 points) PROJECT SELECTION BETWEEN PROJECT APPLICATIONS WITH THE SAME SCORE If two or more project applications receive the same score that is the funding cut-off score, the following criteria will be used to determine which project(s) will be funded: Construction ready infrastructure projects Highest score on Question 1 Highest score on Question 2 PROJECT EVALUATION COMMITTEE FCOG formed a Multidisciplinary Advisory Group (MAG) to assist in the development of the guidelines, scoring criteria, and will participate in the evaluation of the project applications. In forming the MAG, staff sought participants with expertise in bicycling and pedestrian transportation, including Safe Routes to Schools type projects, and in projects benefiting disadvantaged communities. The representatives are geographically balanced representing tribal agencies, state agencies, FCOG, local jurisdictions in Fresno County, and non-governmental organizations. Priority for participation in the MAG was given to those who would not represent a project applicant, or would not benefit from projects submitted by others; if they do, they must recuse themselves from scoring their application. In addition, members are not allowed to provide input, verbally or in writing, regarding their project/plan/program during the evaluation period. The MAG will prioritize, rank the applications, and ensure that 25% of available funds are dedicated to projects and programs benefiting Disadvantaged Communities as identified in the CTC ATP guidelines. The MAG will then present the recommended project list to the Programming Subcommittee, TTC, PAC, and to the Policy Board for approval before requesting final approval from the CTC of the program of projects. PROGRAMMING The ATP must be developed consistent with the fund estimate and the amount programmed in each fiscal year must not exceed the amount identified in the fund estimate. The program of projects for each fiscal year will include, for each project, the amount to be funded from the ATP, and the estimated total cost of the project. In the case of a large project delivered in segments, include the total cost of the segment for which ATP funds are requested. Project costs in the ATP will include costs for each of the following components: Page 13 of 20 (1) Permits and environmental studies; (2) Plans, specifications, and estimates; (3) Right-of-way; and (4) Construction. The cost of each project component will be listed in the Federal Transportation Improvement Program (FTIP) no earlier than in the fiscal year in which the particular project component can be implemented. When proposing to fund only preconstruction components for a project, the applicant must demonstrate the means by which it intends to fund the construction of a useable segment, consistent with the regional transportation plan. FCOG will program and allocate funding to projects in whole thousands of dollars and will include a project only if it is fully funded from a combination of ATP and other committed funding. FCOG will regard funds as committed when they are programmed by the CTC or when the agency with discretionary authority over the funds has made its commitment to the project by ordinance or resolution. For federal formula funds, including Surface Transportation Program, Congestion Mitigation and Air Quality Improvement Program, and federal formula transit funds, the commitment may be by Federal approval of the Federal Statewide Transportation Improvement Program. For federal discretionary funds, the commitment may be by federal approval of a full funding grant agreement or by grant approval. If the program of projects adopted by FCOG does not program the full capacity identified in the fund estimate for a given fiscal year, the balance will remain available to advance programmed projects. Subject to the availability of federal funds, a balance not programmed in one fiscal year will carry over and be available for projects in the following fiscal year. CONTINGENCY PROJECT LIST FCOG will adopt a list of projects for programming the Regional Competitive ATP that is financially constrained with the amount of ATP funding available (as identified in the CTC’s approved ATP Fund Estimate). In addition, FCOG will include a list of contingency projects, ranked in priority order based on the project’s evaluation score. FCOG intends to fund projects on the contingency list should there be any project failures in the Cycle 2 Regional Competitive ATP. This will ensure that the regional competitive ATP will fully use all ATP funds. ALLOCATIONS The CTC will consider the allocation of funds for a project when it receives an allocation request and recommendation from Caltrans in the same manner as for the STIP (see section 64 of the STIP guidelines). The recommendation will include a determination of project readiness, the availability of appropriated funding, and the availability of all identified and committed supplementary funding. Where the project is to be implemented by an agency other than the applicant, the allocation request must include a copy of the Memorandum of Understanding or Interagency Agreement between the project applicant and implementing agency. Page 14 of 20 The CTC will approve the allocation if the funds are available and the allocation is necessary to implement the project as included in the adopted ATP. In order to ensure the timely use of all program funds, the CTC will, in the last quarter of the fiscal year, allocate funds to projects programmed in a future fiscal year on a first-come, first served basis. If there are insufficient funds, the CTC may delay the allocation of funds to a project until the next fiscal year without requiring an extension. Should requests for allocations exceed available capacity; the CTC will give priority to projects programmed in the current-year. Allocation requests for all ATP projects must include a recommendation by the MPO. In compliance with Section 21150 of the Public Resources Code, the CTC will not allocate funds for a non-infrastructure project or plan, or for design, right-of-way, or construction of an infrastructure project, prior to documentation of environmental clearance under the California Environmental Quality Act. As a matter of policy, the CTC will not allocate funds, other than for the environmental phase, for a federally funded project prior to documentation of environmental clearance under the National Environmental Policy Act. Exceptions to this policy may be made in instances where federal law allows for the acquisition of right-of-way prior to completion of National Environmental Policy Act review. If an implementing agency requests an allocation of funds in an amount that is less than the amount programmed, the balance of the programmed amount may be allocated to a programmed project advanced from a future fiscal year. Any amount allocated for environmental may also be expended for design. In addition, a local agency may expend an amount allocated for environmental, design, right of way, or construction for another allocated project component, provided that the total expenditure shifted to a component in this way is not more than 20 percent of the amount actually allocated for either component. This means that the amount transferred by a local agency from one component to another may be no more than 20 percent of whichever of the components has received the smaller allocation from the Commission. Any scope changes must be presented to Caltrans for consideration prior to allocation. Caltrans will make a recommendation of approval to the Commission for final approval. Scope changes that result in a decrease of active transportation benefits may result in removal from the program. PROJECT DELIVERY ATP allocations must be requested in the fiscal year of project programming, and construction allocations are valid for award for six months from the date of allocation unless the CTC approves an extension. Applicants may submit and the CTC will evaluate extension requests in the same manner as for STIP projects (see section 66 of the STIP guidelines) except that extension to the period for project allocation and for project award will be limited to twelve months. Extension requests for all ATP projects must include a recommendation by FCOG, consistent with the preceding requirements. If there are insufficient funds, the CTC may delay the allocation of funds to a project until the next fiscal year without requiring an extension. Page 15 of 20 Whenever programmed funds are not allocated within the fiscal year they are programmed or within the time allowed by an approved extension, the project will be deleted from the ATP. Funds available following the deletion of a project may be allocated to a programmed project advanced from a future fiscal year. FCOG, in administering its competitive portion of the ATP, must determine which projects to advance and make that recommendation to the CTC. Unallocated funds in one fiscal year will not carry over and be available for projects in the following fiscal year. The implementing agency must enter into a cooperative agreement with Caltrans and, if the project is federally funded, obligate the federal funds within six months. Funds allocated for project development or right of way costs must be expended by the end of the second fiscal year following the fiscal year in which the funds were allocated. After the award of a contract, the implementing agency has up to 36 months to complete (accept) the contract. At the time of fund allocation, the CTC may extend the deadline for completion of work and the liquidation of funds if necessary to accommodate the proposed expenditure plan for the project. The implementing agency has six months after contract acceptance to make the final payment to the contractor or vendor, prepare the Final Report of Expenditures and submit the final invoice to Caltrans for reimbursement. It is incumbent upon the implementing agency to develop accurate project cost estimates. If the amount of a contract award is less than the amount allocated, or if the final cost of a component is less than the amount allocated, the savings generated will not be available for future programming. Caltrans will track the delivery of ATP projects and submit to the CTC a semiannual report showing the delivery of each project phase. FEDERAL REQUIREMENTS Unless programmed for state-only funding, project applicants must comply with the provisions of Title 23 of the U.S. Code of Federal Regulations and with the processes and procedures contained in the Caltrans Local Assistance Procedures Manual and the Master Agreement with Caltrans. Refer to the CTC guidelines; section VII, for examples of federal requirements that must be met when administering ATP projects. DESIGN STANDARDS Streets and Highways Code Section 891 requires that all city, county, regional, and other local agencies responsible for the development or operation of bikeways or roadways where bicycle travel is permitted utilize all minimum safety design criteria established by Caltrans, except that an agency may utilize other minimum safety design criteria if specific conditions are met, as described in Streets and Highways Code Section 891(b). Refer to the CTC guidelines; section VII, for specific requirements. PROJECT INACTIVITY Once funds for a project are encumbered, project applicants are expected to invoice on a regular basis (for federal funds, see 23 CFR 630.106 and the Caltrans' Inactive Obligation Policy). Failure to do so will result in the project being deemed "inactive" and subject to de-obligation if proper justification is not provided. Page 16 of 20 PROJECT REPORTING As a condition of the project allocation, the CTC will require the implementing agency to submit semiannual reports on the activities and progress made toward implementation of the project and a final delivery report. An agency implementing a project from the FCOG Regional Competitive ATP must submit copies of its semi-annual reports and of its final delivery report to FCOG. The purpose of the reports is to ensure that the project is executed in a timely fashion and is within the scope and budget identified when the decision was made to fund the project. Within one year of the project becoming operable, the implementing agency must provide the following information to Caltrans to be included in a final delivery report to the CTC which includes: The scope of the completed project as compared to the programmed project. Before and after photos documenting the project. The final costs as compared to the approved project budget. Its duration as compared to the project schedule in the project application. Performance outcomes derived from the project as compared to those described in the project application. This should include before and after pedestrian and/or bicycle counts, and an explanation of the methodology for conduction counts. Actual use of the California Conservation Corps or qualified community conservation corps as compared to the use described in the project application. Please note that the final delivery report required by this section is in addition to the aforementioned Final Report of Expenditures. For the purpose of this section, a project becomes operable when the construction contract is accepted or acquired equipment is received, or in the case of non-infrastructure activities, when the activities are complete. Caltrans must audit a random selection of ATP 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 CTC 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 to the CTC annually. ROLES AND RESPONSIBILITIES CALIFORNIA TRANSPORTATION COMMISSION (CTC) The CTC responsibilities include: Adopt guidelines, policies, and application for the ATP. Adopt ATP Fund Estimate. Evaluate, score and rank projects, including forming and facilitating the Project Evaluation Committee. Page 17 of 20 Recommend and adopt a program of projects, including: o The statewide component of the ATP, o The small urban and rural component of the ATP and, o The MPO selected portion of the program based on the recommendations of the MPOs. o Ensure that at least 25% of the funds benefit disadvantage communities. Post recommendations and final adopted list of approved projects on the Commission’s website Allocate funds to projects. Evaluate and report to the legislature. CALIFORNIA DEPARTMENT OF TRANSPORTATION (CALTRANS) Caltrans has the primary responsibility for the administration of the adopted ATP. Responsibilities include: Assist in the Project Evaluation process as a member of the MAG. Perform eligibility and deliverability reviews of ATP projects and inform the CTC of any identified issues as they arise. Recommend project allocations (including funding type) to the Commission. Track and report on project implementation, including project completion. Perform audits of selected projects in accordance with generally accepted government auditing standards. Serve as the main point of contact in project implementation. METROPOLITAN PLANNING ORGANIZATIONS (MPOS) WITH LARGE URBANIZED AREAS MPOs with large urbanized areas, such as FCOG, are responsible for overseeing a competitive project selection process in accordance with these guidelines. The responsibilities include: Ensure that at least 25% of the funds in the FCOG call for projects benefit disadvantaged communities. FCOG is using a different definition of a disadvantaged community, project selection criteria, weighting, and minimum project size for its regional competitive ATP selection process than the statewide guidelines. Therefore, FCOG must obtain CTC approval prior to the regional call for projects. The projects within FCOG boundaries that were not selected through the statewide competition must be considered along with those received in the supplemental call for projects. FCOG must notify the CTC of their intent to have a supplemental call no later than the application deadline. In administering a regional competitive ATP selection process, FCOG must use a multidisciplinary advisory group to assist in evaluating project applications. In administering a regional competitive ATP selection process, FCOG must explain how the projects recommended for programming include a broad spectrum of projects to benefit pedestrians and bicyclists. The explanation must include a discussion of how the recommended projects benefit students walking and cycling to school. FCOG elects to have a contingency list of projects to be amended into the program in the event a programmed project is delivered for less or fails. FCOG will approve and recommend such amendments for Commission approval. This contingency list will be provided to the Commission and will be in effect only until the adoption of the next statewide program. Page 18 of 20 Recommend allocation requests for a project in the FCOG regional competitive ATP. Determine which projects to advance and make that recommendation to the CTC in consultation with Commission staff and Caltrans. Submit an annual assessment of FCOG’s regional competitive ATP in terms of its effectiveness in achieving the goals of the overall ATP. PROJECT APPLICANT Project applicants nominate ATP projects for funding consideration. If awarded ATP funding for a submitted project, the project applicant (or partnering implementing agency if applicable) has contractual responsibility for carrying out the project to completion and complying with reporting requirements in accordance with federal, state, and local laws and regulations, and these guidelines. For infrastructure projects off the state highway system, the project applicant will be responsible for the ongoing operations and maintenance of the facility. If another entity agrees to assume responsibility for the ongoing operations and maintenance of the facility, documentation of the agreement must be submitted with the project application, and a copy of the Memorandum of Understanding or Interagency Agreement between the parties must be submitted with the request for allocation. ACTIVE TRANSPORTATION PLANS The ATP provides for the creation of Active Transportation Plans. Funding from the ATP may be used to fund the development of community wide active transportation plans within or, for area-wide plans, encompassing disadvantaged communities, including bike, pedestrian, safe routes to schools, or comprehensive active transportation plans. A list of the components that must be included in an active transportation plan can be found in Section 13, subsection E of the statewide guidelines. Please note: The statewide guidelines state that a large MPO, in administering its portion of the program, may make up to 2% of its funding available for active transportation plans in disadvantaged communities within the MPO boundaries. Although Fresno COG does not intend to set-aside funding for active transportation plans, no more than 2% of the total ATP regional funds can be used to fund active transportation plans in disadvantaged communities. Furthermore, the CTC intends to reassess the set aside for plans in future program cycles. Refer to section 7 of the statewide guidelines for detailed information on “Funding for Active Transportation Plans” and the funding priorities that will be used when evaluating the potential to fund active transportation plan in disadvantaged communities. PROGRAM EVALUATION The ATP will be evaluated for its effectiveness in increasing the use of active modes of transportation in California. Applicants that receive funding for a project must collect and submit data to Caltrans as described in the "Project Reporting" section. The CTC will include in its annual report to the Legislature a discussion on the effectiveness of the program in terms of planned and achieved improvement in mobility and safety and timely use of funds, and will include a summary of its activities relative to the administration of the ATP including: Projects programmed, Projects allocated, Page 19 of 20 Projects completed to date by project type, Projects completed to date by geographic distribution, Projects completed to date by benefit to disadvantaged communities, and Projects completed to date with the California Conservation Corps or qualified community conservation corps. Page 20 of 20 ATP ‐ CYCLE 3 – Application Instructions & Guidance April 2_, 2016 Summary of Changes for the APPLICATION INSTRUCTIONS & GUIDANCE List of Changes: Original Page # Topic Description of Change Initials 19 Q‐#8 Corps Clarified the use of Tribal Corps TM 22 Attachments Fix Attachment references for NI and Plans TD Page 1 of 25 ATP ‐ CYCLE 3 – Application Instructions & Guidance April 2_, 2016 APPLICATION INSTRUCTIONS & GUIDANCE FOR ACTIVE TRANSPORTATION PROGRAM (ATP) CYCLE 3 These instructions are expected to be used on step‐by‐step basis for the preparation of ATP Cycle 3 Applications. Failure to follow these instructions may result in incomplete applications, which could result in a loss of points, ineligible project elements, and/or disqualification. APPLICATION INSTRUCTIONS & GUIDANCE General Instructions Page 2 Part A‐ Applicant Information Page 4 Part B‐ Questions 1‐9 Page 16 Part C‐ Attachments Page 19 Page 1 of 25 ATP ‐ CYCLE 3 – Application Instructions & Guidance April 2_, 2016 GENERAL ‐ INSTRUCTIONS NO EXCEPTIONS Final Filing Date: Electronic Applications must be submitted June 15, 2016 by 11:59 PM. and Hardcopies must be postmarked June 15, 2016. ONLY Applications with on‐time submittals of Electronic and Hard copies will be scored and evaluated! All applications submitted after this date will not be scored. QUESTIONS CONCERNING THE APPLICATION If you have questions on how to fill out the application, please contact your Caltrans Local Assistance ATP coordinator or District Local Assistance Engineer (DLAE). A list of the DLAEs is available at: http://www.dot.ca.gov/hq/LocalPrograms/dlae.htm SUBMISSION REQUIREMENTS 1. Electronic Submittal: The new ATP Application includes an automated submittal process for submitting the electronic application. Applicants must take extra precaution to ensure all application data is accurate and final prior to hitting the ‘submit’ button (its equivalent to dropping off a package in a public mail box. There is not getting it back!) Save a copy of the form prior to submitting. Once the form has been submitted the Submit button will disappear and you will not be able to re‐submit the form again if you need to make changes after the form has been submitted. By saving a copy, you will still have a version that has the Submit button. 2. The automated submittal process includes the following elements: a. The applicant should “Save” the file, prior to hitting the “Submit” button. b. The “Submit” button is located at the top of the “Index” page. c. The form‐functionality checks to ensure all required application data is contained in the application, including data fields, check boxes and attachments. d. The form automatically assigns the official application number to the application. Prior to submittal, the form will show “null” for the application number. The form assigns the application number by first checking the Caltrans online database to determine the number of applications the implementing agency has already submitted and then it adds one to the number. e. The form automatically saves the application and all corresponding attachments to the online data base. f. As part of this process, the form will email back the applicant the official PDF copy of the final application. (NOTE: The Implementing Agency’s “Contact Person’s Email Address” will be used). This file is considered the official application form and will include the final application number and the “submit” button will be removed. This file cannot be edited and resubmitted. The applicant should save this version in their filing system as the official/final version. Hard‐Copy Submittal to Caltrans: a. Submit five (5) hard copies: 1 original and 4 copies. All copies shall be securely bound, e.g. spiral or comb bound (no clips, clamps, ringed binders, or rubber bands). Page 2 of 25 ATP ‐ CYCLE 3 – Application Instructions & Guidance April 2_, 2016 The original application must be marked "ORIGINAL COPY". All documents contained in the original application package must have original signatures. The 4 copies of the application may contain photocopies of the original package (so long as the maps, photographs and other detailed exhibits are in color and/or high resolution that clearly depict of all relevant information.) The hard copies of each application must be submitted using the following format: o Applicant‐created Cover Sheets are NOT allowed: The pre‐formatted, auto‐ generated cover sheet must be the visible cover of the submitted application. Applications shall not include a specialty cover sheet. This requirement is intended to assist with application consistency, reviewing and filing. o The use of TABS is required: All applications must provide separation “tabs” in the hard‐copies of the applications to identify the beginning location of each of the following application sections: “Part 5 Project Schedule”, “Part 7 Application Questions”, “Questions 1‐9” (with attachments as they occur throughout the application) and each separate attachment under Part 8 “Attachments”. Additional tabs are allowed. o Placement of Attachments: Attachments are to be inserted in the hardcopy following the page that they were referenced on, except for the attachments in Part 8, which are attached at the back of the application in the order shown. o Paper Size and formatting: In general, the hard‐copies of the applications are to be on 8 ½” x 11” paper, single‐sided. Attachments are not required to be 8 ½” x 11”. If attachments are larger than a standard page, they must be folded to 8 ½” x 11”. APPLICATIONS SHALL BE MAILED TO CALTRANS AT THE FOLLOWING ADDRESS: CALTRANS Division of Local Assistance, 1120 N Street, MS 1 Attn: Office of Active Transportation and Special Programs Sacramento, CA 95814 3. To Regional Transportation Planning Agency (RTPA) or County Transportation Commission: a. The California Transportation Commission – Guidelines for ATP require that the applicant submit an additional application copy to the Regional Transportation Planning Agency (RTPA) or County Transportation Commission and to the Metropolitan Planning Organization (MPO) within which the project is located by the final filing date. (An MPO contact list can be found at www.dot.ca.gov/hq/tpp/offices/orip/) The copy may be hard copy or electronic – check with your regional agency and/or county commission for their preference. READ THIS BEFORE STARTING YOUR APPLICATION Prior to filling out the application, applicants are expected to review the information and guidance provided on the CTC and Caltrans ATP websites at: CTC Website: http://www.catc.ca.gov/programs/ATP.htm Caltrans Website: http://www.dot.ca.gov/hq/LocalPrograms/atp/index.html Applicants must download the application form (PDF “fillable” form) from the Division of Local Assistance ATP website at: http://www.dot.ca.gov/hq/LocalPrograms/atp/cycle‐3.html. Applicants must prepare their electronic and hard‐copy applications as defined in these instructions above. Page 3 of 25 ATP ‐ CYCLE 3 – Application Instructions & Guidance April 2_, 2016 Applicants are expected to download and save the application form to their local‐computer and/or flash drive. Once this is done, they may open, edit and save this file as needed. Applicants can work on the file ‘off‐line’, but some of the application’s (i.e. drop‐down menus and submission) will not work without the applicant’s computer being connected to the internet. The application form must be completed on a computer with Adobe Acrobat Reader 8.0 or later. Adobe Reader 8.0 can be downloaded for free at: https://get.adobe.com/reader/ In order for the application forms functionality to work properly, the security settings on the applicant’s computer may need to be adjusted. If they are prompted of security issues with their application file, applicants will need to turn off the “Enhanced Security” features under preferences and applicants will need to ‘trust’ the document and resave the document. Applicants are encouraged to read the entire Application Instructions and ATP Guidance before attempting to prepare and submit the application. Applicants are expected to utilize and follow these instructions in a step‐by‐step process as they complete their application(s). Completing an application without adhering to these instructions may result in an incomplete application or an application with fatal flaws that will be excluded from the ranking and selection process. If an applicant has questions relating to their application, they should seek assistance from their Caltrans DLAE before submitting their application. APPLICATION INSTRUCTIONS NAVIGATING THE APPLICATION: Cover Sheet: The first page in the application form is the “Cover Sheet” for the application. This page in NOT editable. All data shown on this page will be auto‐populated from information the applicant enters throughout the application. Reminder: the “Project Application No.” will show “null” for the application number and this will not change until the application is formally submitted. The second page of the application starts with the Application Index Page. In the upper right hand corner of each page of the application there is an button which can be clicked at any time to navigate back to the index page and then navigate directly to another part or page of the application. ATTACHMENTS: Throughout the application there are fields to attach documentation. Unless otherwise noted, these documents must be attached in PDF format (When available and appropriate, use Adobe Acrobat to first save‐as “Reduced Size PDF. . .”). If the attachment is made up from multiple documents; the documents must be combined into a single PDF document, then attached. APPLICATION PART 1: APPLICANT INFORMATION IMPLEMENTING AGENCY: The Implementing Agency must enter into a Master Agreement (MA) with Caltrans and will be responsible for all requirements under the MA, including but not limited to, the use and expenditure of the program funds, delivery of the project within all pertinent Federal and State funding requirements and future operational and maintenance needs. An Implementing Agency could be a Page 4 of 25 ATP ‐ CYCLE 3 – Application Instructions & Guidance April 2_, 2016 city, county, tribal government, public health department, transit agency, school district, natural resources agency, public lands agency, Metropolitan Planning Organization (MPO), or Regional Transit Planning Agency (RTPA). Note: Private nonprofit tax exempt organizations may only apply for eligible Recreational Trails Projects that facilitate trail linkages or connectivity to non‐motorized corridors, and conversion of abandoned railroad corridors trails. The project must benefit the general public and not only a private entity. Throughout the ATP application and application instructions, “Applicant” may be used to refer to the “Implementing Agency.” The application form includes a Drop‐Down Menu List of Implementing Agencies. The list has been populated with all Cities and Counties and all agencies who have previously applied for ATP funding. To see the list click on the arrow on the right side of the field, type in the first letter of your agency’s name then scroll down to your agency and click. Example: Alameda is the City of Alameda. If your agency’s name is not showing up on the list‐ e‐mail [email protected], [email protected], or [email protected] to request your agency name be added. It may take 1 to 3 days for the new name to show up. The applicant can continue entering information into their application(s) and return to this field prior to submitting their application. Enter the name, address and contact information for the Implementing Agency. Applicants have the opportunity to customize the application cover sheet with a unique image. Interested applicants can attach their image just after the contact person’s information. MASTER AGREEMENTS (MAs): The application must confirm if the Implementing Agency currently has a MA and if so, must include the Federal and/or State MA number. Successful applicants must be able to meet the requirements of and enter into a Master Agreement (MA) with Caltrans if their application is awarded funding. Caltrans encourages applicants to submit their applications through Implementing Agencies with existing approved MAs. Agencies that do not currently have a MA with Caltrans must be able to enter into an MA with Caltrans prior to funds allocation. For more information on the requirements to enter into a Master Agreement with Caltrans visit the links listed below: General policies and procedures are discussed in the Caltrans Local Assistance Procedures Manual (LAPM) Chapter 4 at: http://www.dot.ca.gov/hq/LocalPrograms/lam/LAPM/ch04.pdf. A sample Master Agreement is also located at this site. Information concerning the auditing and accounting requirements can be found at: http://www.dot.ca.gov/hq/audits/documents/auditbrochure.pdf For those agencies that are not familiar with the local Federal Aid process, Caltrans strongly encourages seeking an “Implementing Agency” such as a City, County, Regional Transportation Planning Agency (RTPA) or Metropolitan Planning Organization (MPO) to act as the applicant for Page 5 of 25 ATP ‐ CYCLE 3 – Application Instructions & Guidance April 2_, 2016 their application. These agencies should note: The MA approval process can take 6 to 12 months to complete and there is no guarantee the agency will meet the requirements necessary for the State to enter into a MA with the agency. Delays could result in a failure to meet the CTC Allocation timeline requirements and the loss of ATP funding. Click ‘Yes’ if your agency has a Federal or State Master Agreement with Caltrans. Enter Federal and/or State MA number(s). Click ‘No’ if your agency does not have either a State or Federal Master Agreement with Caltrans. PROJECT PARTNERING AGENCY: Eligible applicants that are unable to apply for Active Transportation Program funds or that are unable to enter into a Master Agreement with the State must partner with an eligible applicant that can implement the project. In addition, eligible applicants that are unfamiliar with the requirements to administer a Federal‐Aid Highway Program project are encouraged to partner with an eligible applicant that can implement the project. (NOTE: For these projects, if the Partnering Agency does not accept responsibility for the operation and maintenance of the completed projects, they are not expected to sign the application (Attachment A) or provide contact information in this section of the application.) If an eligible applicant, other than the Implementing Agency, agrees to assume responsibility for the ongoing operations and maintenance of the facility, documentation of the agreement (e.g., letter of intent) must be submitted with the project application, and a copy of the Memorandum of Understanding or Interagency Agreement between the parties must be submitted with the first request for allocation. (NOTE: For these projects, the Partnering Agency who accepts responsibility for the operation and maintenance of the completed projects must sign the application (Attachment A) and provide contact information in this section of the application.) This partnering role is not required for ATP projects/applications and no points will be allocated on the basis of projects identifying a Project Partnering Agency. The “Partnering Agency” will not enter into a Master Agreement with Caltrans and will not be financially and contractually responsible. Only the Implementing Agency is required to inter into a Master Agreement with Caltrans and becomes financially and contractually responsible. Entities listed in the application as “Partnering Agencies” shall have no implied tie to the ATP funding and are still required to meet all competitive bidding requirements. These entities shall not expect that being a as Partnering Agency entitles them to quality for being part of a Public Interest Finding (PIF) for a sole source contract for future work under the application. If there is a Partnering Agency for the project, as defined above, enter the name, address and contact information for the Partnering Agency. Click ‘Yes’ if the project will have a Project Partnering Agency. Enter the name, address and contact information for the Project Partnering Agency. Attach a “letter of intent” or other Partnering Agency documentation. Click ‘No’ if your project will not have a Project Partnering Agency. Page 6 of 25 ATP ‐ CYCLE 3 – Application Instructions & Guidance April 2_, 2016 APPLICATION PART 2: GENERAL PROJECT INFORMATION PROJECT NAME, DESCRIPTION, AND OTHER GENERAL INFORMATION: Project Name: Enter a brief project name. (Max of 10 words) If funded, this name will be used in the CTC project listing. Good Example: Grand Avenue Bike Route Improvements, Lakeside Bad Example: Bike Route Improvements Summary of Project Scope: Enter a brief summary of the project scope (Max 200 words) The Summary of the Project Scope is intended to provide a clear and concise explanation of all the elements of the proposed project that are expected to benefit active transportation users and provide a general understanding on why these elements are needed. This summery should clearly demonstrate how the project meets the purpose of the ATP, including the corresponding goals as appropriate. Project Description: Enter a brief project description (Max of 50 words) The project description should convey the types of work and/or the major elements that are proposed – without going into details like construction quantities. If the application is an infrastructure project that is only requesting preconstruction (PA&ED, PS&E and/or ROW) funds, this must be stated in the Project Description. If funded, this description will be used in the FSTIP programming document. Example: “Install Rectangular Rapid Flashing Beacons, pavement markings and signing” or “PS&E and ROW funding for the eventual construction of curb, gutter, sidewalk, and curb ramps” Project Location: Enter a brief project location (Max of 50 words) The project location should convey the road names, intersection cross street names, and/or geographical references of where the project is located – without defining the limits of work in terms of “feet” offsets. For projects with multiple locations, it may be appropriate to list each location or simply state “Various locations . . .” If funded, this location will be used in the FSTIP programming document. Example: “On Elm St. between Oak Ave. and Cherry Blvd.” or “The intersection of Elm St. with Oak Ave.” or “Various locations along Oak Ave” or “Various locations throughout the County.” Attach the project location map Project Coordinates: Enter the Project Coordinates (in decimal format) All applications are required to include one set of GPS latitude and longitude coordinates for the approximate central location of the project. These coordinates are expected to be used on a statewide basis (i.e. a statewide heat‐map showing number of projects). For further assistance search online for “Get the coordinates of a location”. The numbers should be entered in decimal degrees. Negative latitude numbers mean “South” and negative longitude numbers mean “West”. Example: the coordinates of the State Capital are 38.576572°N, -121.493411°W Page 7 of 25 ATP ‐ CYCLE 3 – Application Instructions & Guidance April 2_, 2016 Congressional, State Senate and State Assembly District(s): Enter the Congressional District(s), State Senate District(s) and State Assembly District(s) that your project will be located in. For reporting purposes, all applications are required to include each of the Congressional, State Senate and State Assembly Districts where the project work is taking place. If more than 3 districts are impacted, only list the 3 where the majority of the work will occur. Caltrans District: Use the drop down menu to select the Caltrans district in which the project will occur. If more than one district is impacted, select the district where the majority of the work will occur. See http://www.dot.ca.gov/hq/construc/districtmap.htm to determine which district your project is in. County: Use the drop down menu to select the county in which the project will occur. Select the county in which the project will occur. If the project covers multiple counties, select the county where the majority of the work will occur. MPO/RTPA: Use the drop down menu to select the MPO/RTPA in which the project will occur. Input the MPO (Metropolitan Planning Organization) that will be involved with the programming of the project in the FTIP. Input “Caltrans” for Small Urban and Rural projects. For information about MPOs, visit http://www.dot.ca.gov/hq/transprog/federal/mpo_ftip_links.htm. RTPA: Use the drop down menu to select the RTPA in which the project will occur. Urbanized Zone Area (UZA) Population: Use the drop down menu to select the population size of the community in which the project will occur. Past Projects: Click ‘Yes’ if within the last 10 years, there has been any previous State or Federal ATP, TE, SRTS, SR2S, BTA, HSIP, or other pedestrian/bike funding awards for project(s) that are adjacent to or overlap the limits of the project. Enter the number of projects, press enter. Enter the Project # (i.e. Federal Project #, PPNO, or other Caltrans unique project identifier), Funding Type, Funding Amount ($1,000s), Project Type, and Select the Type of overlap/connection from the drop down menu. Click ‘No’ if within the last 10 years, there has not been any previous State or Federal ATP, SRTS, SR2S, BTA or other pedestrian/bike funding awards for project(s) that are adjacent to or overlap the limits of the project. APPLICATION PART 3: PROJECT TYPE PROJECT TYPE: Use the drop down menu to select Combination (I/NI), Infrastructure (I), Non‐ Infrastructure (NI) or Plan. The ATP encompasses three distinct project types: Infrastructure (I), Non‐Infrastructure (NI) and Plans. These projects types are defined in the CTC 2017 Active Transportation Program Guidelines (CTC Guidelines) Section 11. The CTC Guidelines can be found at: http://www.catc.ca.gov/programs/ATP.htm Infrastructure (I): See the CTC Guidelines referenced above. Non‐Infrastructure (NI): See the CTC Guidelines referenced above. Non‐Infrastructure projects and/or project components are eligible for all ATP applications and are not Page 8 of 25 ATP ‐ CYCLE 3 – Application Instructions & Guidance April 2_, 2016 limited to those only benefiting school students. The ATP program will focus funding for non‐infrastructure projects on pilot and start‐up projects that can demonstrate funding for ongoing efforts. The ATP program funds are not intended to fund ongoing program operations. Non‐infrastructure project applications must include a workplan (Form 22‐R) with distinct tasks and deliverables that define the scope of the project. This information will be utilized in the evaluation process. See the attachments section for more information on Form 22‐R. Combination (I/NI): Projects that include Infrastructure and Non‐Infrastructure elements. Plan: Funding from the Active Transportation Program may be used to fund the development of community‐wide active transportation plans within or, for area‐wide plans, encompassing disadvantaged communities, including bike, pedestrian, safe routes to schools, or comprehensive active transportation plans. The expectations and requirements of Active Transportation Plans are defined in the CTC Guidelines in Sections 7 and 13‐E. o For Plan projects, agencies must document all of the plans types they will be addressing. (Check all that apply) Note: If Plan is selected, several of the standard inputs in the following parts of the application will not be required, and will not be visible o An active transportation plan must include, but is not limited to, the components listed in Section 13‐E of the CTC guidelines (at the link above) or explain why the component is not applicable. Plan deliverables may contain rough estimates, but not detailed estimates or construction plan sheets. Attach the Exhibit 22‐PLAN o Applicants must also document all of the existing plans they have previously approved relating to active modes of transportation. (Check all that apply) Bicycle Plan, Pedestrian Plan, Safe Routes to School Plan, and/or Active Transportation Plan. This information is required for all applications. PROJECT SUB‐TYPE: (check all Project Sub‐Types that apply): All Projects: Projects need to define the ‘rough approximation’ for the percentage of the project‐ costs that is Bicycle Transportation focused and Pedestrian Transportation focused – with the total percentage equaling 100%. Projects where all elements of the scope ONLY benefit one mode (either bicycle or pedestrian) of transportation should mark the appropriate box. Projects with elements of the scope that benefit both bicycle and pedestrian modes of transportation should mark both boxes. Bicycle Transportation box if the project will benefit bicycling. Pedestrian Transportation box if the project will be benefiting pedestrians. NOTE: For projects benefitting both bicycles and Pedestrians, once the applicant enters the % for bicycle box, the pedestrian % will automatically calculate. Page 9 of 25 ATP ‐ CYCLE 3 – Application Instructions & Guidance April 2_, 2016 All Projects: In addition to estimating the percent of the project benefiting bicycles vs. pedestrians, document whether the project is to be considered Safe Routes to School or Recreational Trails project. Safe Routes to School Projects: For a project to qualify for Safe Routes to School designation, the project must directly increase safety and convenience for public school students to walk and/or bike to school. Click on the Safe Routes to School box if your project is a Safe Routes to School Project. Enter the number of schools the project will impact/serve, and press enter. Enter all of the following for each school: School Information: enter the Full School name(s) and Address(s) for the school(s) that will benefit from the project. School District Information: enter the School District Name(s) and School District Address(s) for the schools. School type drop down menu: o Based on CTC Guidelines: K‐8 schools are the only schools that qualify for the Safe Routes to School designation. o If the school is “9 thru 12” or higher, it does not qualify for the Safe Routes to school designation and should not be included in the list of projects. The ‘distance’ from school should be inputted in terms of ‘miles’ to the nearest tenth. o As stated in the application form, the distance requirement does not apply to all project types. Total Student enrollment Total # of students that currently walk or bike to school Approximate # of students living along route proposed for improvement Projected # of students that will walk/bike to school after the project Percentage of students eligible for free or reduced meals program Attach A. a map which shows: 1) the Student enrollment area, 2) the locations and limits of the proposed project improvements, B. the contact information/person, and a short statement of support and affirming that the school(s) benefited by this application is not on a school closure list combined with the signature of the school official. Trails (Recreational and Multi‐Purpose Trails): (Only trails projects should fill out this section.) Trails Projects constructing multi‐purpose trails are generally eligible in the Active Transportation Program. (See the CTC guidelines for more information.) If the applicant believes all or part of their project meets the federal requirements of the Recreational Trails Program they are encouraged to seek a determination from the California Department of Parks and Recreation on the eligibility of their project to complete for this funding. This is optional, but recommended because some trails projects may compete better under this additional funding program. The federal requirements can be found at: http://www.fhwa.dot.gov/environment/recreational_trails/ NOTE: Recreational Trails funded projects are the only ATP project type that Non‐Profit agencies may apply for as an implementing agency. For Non‐Profit’s to submit an application as the Implementing Agency, the project must be 100% eligible for Recreational Trails funding. Page 10 of 25 ATP ‐ CYCLE 3 – Application Instructions & Guidance April 2_, 2016 Applicants intending to pursue “Recreational Trails Program funding” must submit the information noted below to the California Department of Parks and Recreation prior to the ATP application submissions deadline. (Note: The Department’s response does not have to be included in the application.) The following information must be included in the submittal: Project Name, Project Scope, Location Map, Cost Estimate, & Photos The submittal must be addressed to: To: California Department of Parks and Recreation Attention: Richard Rendón Office of Grants and Local Services 1416 9th Street Sacramento, CA 95814 Click on the Trails (Multi‐use and Recreational) box if your project is eligible for this funding. Do you feel a portion of your project is eligible for Recreational Trail funding‐ Select ‘Yes’ or ‘No’ If Yes, estimate the total project cost that are eligible for Recreational Trail funding If Yes, estimate the % of the total project costs that serve “transportation” uses? APPLICATION PART 4: PROJECT DETAILS INFRASTRUCTURE TYPE: (Only Intended for Infrastructure Projects) For overall program management purposes, all infrastructure projects are being asked to quickly estimate the active transportation infrastructure improvements that are included in the project. The estimations must be consistent with the plan sheet and cost estimates included in the application. When quantifying the amount of Active Transportation improvements proposed by the project, do not double‐count the improvements that benefit both Bicyclists and Pedestrians (i.e. new RRFB/Signal should only show as a Pedestrian or Bicycle Improvement). Click on any that are applicable and fill in all the applicable quantities: Bicycle Improvements Pedestrian Improvements Multi‐use Trail Improvements Vehicular‐Roadway Traffic‐Calming Improvements RIGHT OF WAY (R/W) IMPACTS: (Check all that apply) Project, including all work necessary to build the project, is 100% within the Implementing Agency’s R/W (or within their control at the time of this application submittal) Project will likely require R/W and/or easements from private owners or will require utility relocations from ‘non‐public’ utility companies Projects that will likely require R/W and/or easements from private owners or will require utility relocations from ‘non‐public’ utility companies are reminded that the Federal R/W process involving private property takes and/or private utility relocations can often take 18 to 24 months; and that the project schedule is expected to reflect the necessary time to complete the federal R/W process. Page 11 of 25 ATP ‐ CYCLE 3 – Application Instructions & Guidance April 2_, 2016 Project will likely require R/W easements, encroachment and/or approval involving Governmental, Environmental, or Railroad owner’s property Attach a letter of support or neutrality for each separate agency. Combine all letters in one pdf attachment. For encroachments on the State right‐of‐way: If the applicant’s project proposes improvements and/or construction easements within a freeway or state highway right‐of‐ way, whether it affects the safety or operations of the facility or not, it is required that the proposed improvements be reviewed by the district traffic operations office and either a letter of support or acknowledgement from the traffic operations office be attached or the signature of the traffic manager be secured in the application. The Caltrans letter and/or signature does not imply approval of the project, but merely acknowledges that Caltrans District staff is aware of the proposed project, and that, upon initial review, the project appears to be acceptable. o Maps (in their final form) clearly defining the proposed encroachments on state right‐of‐way must be available to the Caltrans District staff at the time of their review prior to the submittal of the application. For encroachments on other agencies/railroad: Applicants are expected to follow a similar process to that for “State right‐of‐way” listed above. APPLICATION PART 5: PROJECT SCHEDULE PROJECT STATUS and EXPECTED DELIVERY SCHEDULE: This section of the application documents the current delivery phase of a project and the applicant’s proposed schedule for the project, including proposed CTC allocation dates. The agency is responsible for including all standard project delivery timeframes for the development and completion of the project, including but not limited to: Program Supplemental Agreement, CTC Allocations, FHWA E76 Approvals, and Caltrans processing of delivery documentation and approvals, consultant selection, environmental studies, right‐of‐way coordination & certification. Agencies not familiar with the federal and state delivery requirements are strongly encouraged to review the appropriate chapters of the Local Assistance Procedures Manual (LAPM) at http://www.dot.ca.gov/hq/LocalPrograms/lam/lapm.htm and contact their Caltrans DLAE for assistance. When completing the expected delivery schedule remember the following special instructions: o Per CTC Guidelines, all project applications must be submitted with the expectation of receiving federal funding. Therefore, the project schedules has 2 months built in to account for the extra time needed for federal project delivery requirements and approvals between each CTC allocation and FHWA Authorization. It is the applicant’s responsibility to ensure their schedule properly accounts for other federally required items, including: federal contracting requirements; federal environmental requirements (NEPA); and federal right‐of‐ way condemnation process. o If the “Implementing Agency” designated in the beginning of this application does not have an existing federal Master Agreement (MA) with Caltrans, this schedule must include the additional 9 to 12 months needed to execute the MA prior to their first CTC allocation. o All Infrastructure projects require an environmental certification and Right‐of‐way certification. The efforts may be minimal and ATP funding may not be requested for this phase of work, but the time and milestone need to be accounted for in the schedule. Page 12 of 25 ATP ‐ CYCLE 3 – Application Instructions & Guidance o April 2_, 2016 All CTC Allocation dates need to fall within the available ATP programming years for this call for projects, which are: 19/20 and 20/21, i.e. July 1, 2019 through June 30, 2021. Based on the “Project Type” selected earlier in the application, the standard project Milestones/Phases will appear and the applicants are expected to provide the past or expected schedule information. (I.e. NI and Plan projects will only see NI/Plan Construction Phase) For all project phases, applicants are expected to address the following: Will Cycle 3 ATP funds be used in this phase of the project? Select: ‘Yes’ or ‘No’ If ‘Yes’ is selected, enter the Proposed Date of the CTC allocation. The application form has date‐constraints based on the funding years for Cycle 3 and ties to prior delivery phases. (i.e. A PA&ED allocation cannot occur earlier than July 1, 2019) If ‘Yes’ is selected, enter the Start Date for activities to be funded with the CTC allocation. The application form has date‐constraints that force this date to be after the estimated “Notice to Proceed with Federally Reimbursable ATP Work” If ‘No’ is selected, enter the Start Date for activities to be funded with non‐ATP funds. The application form has no date‐constraints for these start dates as they could have already happened prior to the application submittal or they could be happening after the completion of the Cycle 3 funded activities. For ‘Yes’ and ‘No”: enter the time to complete the activities. Applications showing the PA&ED, PS&E, and/or R/W phase already completed must attach key signature pages from the appropriate documents to prove all required approvals/deliverables are already complete. These documents must include project descriptions covering the full ATP project scope of work. Proposed Date for “Before” and “After” Counts (As required by the CTC and Caltrans guidelines) Enter the Expected Date for “Before” and “After” counts. These dates must be consistent with the project schedule shown in the application. APPLICATION PART 6: PROJECT FUNDING Per the ATP Guidelines, the minimum request for ATP funds is $250,000. This minimum does not apply to non‐infrastructure projects, Safe Routes to Schools projects, Recreational Trail projects, or Plans. Funding amounts in these sections of the application are expected to be for all phases of the project and are to be shown in thousands of dollars. For infrastructure projects, the applicant must ensure they are following the LAPM relating to the maximum Preliminary Engineering and Construction Engineering levels in relation to the total construction costs (25% and 15% respectively). Page 13 of 25 ATP ‐ CYCLE 3 – Application Instructions & Guidance April 2_, 2016 The applicant MUST complete the Engineer’s Estimate (Attachment F) prior to filling in the funding table. The information highlighted in yellow will be needed to fill in the Project Funding table. Based on the “Project Type” selected earlier in the application, applicants will be expected to enter project funding information for each of the standard project delivery phases associated with the selected Project Type. For each project phases, applicants are expected to address the following: (Note: All funding information is entered in $1,000s) Total Project Costs: This must represent the total funding required to complete all activities and improvements of all phases of the project. This amount is expected to include all funding types connected to the project which are required to deliver the project as presented in the application. Total ATP Funding: Applicants are required to document the ATP Cycle 3 funding needed for each phase of their project. Total Non‐ATP Funding: The application form automatically calculates this value. For each phase, applicants must enter all the various types of non‐ATP Cycle 3 funding, which must equal the value automatically calculated for Non‐ATP funding. Page 14 of 25 ATP ‐ CYCLE 3 – Application Instructions & Guidance April 2_, 2016 Non‐participating Funding for ATP: These are local funds required to complete the ineligible elements of the overall project – as defined in Caltrans ATP guidelines. “Prior” ATP Funding: These are ATP funds that have been previously been awarded to the project during previous ATP funding cycles. This funding must not be mixed with the ATP funding being requested for Cycle 3. Local funds leveraging (and potentially matching) the ATP funds: Per CTC Guidelines, local matching funds are not required for any ATP Cycle 3 projects, but local leveraging funds are strongly encouraged. For local funding to be considered leveraging, it must be for ATP eligible activities and costs. (i.e. Local funding going towards the costs of decorative landscaping over the maximum % set by the Caltrans ATP guidelines cannot be considered leveraging funds) For each federally funded project delivery phase, if the leveraging funds equal 11.47% or more of the ATP funds for that phase, then the leveraging funding can also be shown as a potential match for the federal ATP funding. If the proposed leveraging funds for the phase are less than 11.47%, no matching funding can be shown. When CTC, Caltrans and/or MPOs program the projects, federal funded phases with no local match shown will utilize toll credits, state funds, and/or another mechanism to do cover the federal match requirement. Future Local identified Funding: Applicants must identify and include all funding necessary to fully construct the entire project presented in the application. If funding for the Construction Phase (and any others as appropriate) is not known at the time of the application submittal, the applicant must show these future costs/funds as “Future Local Identified Funding”. Applicants can apply for ATP funding in the future, but they must have an alternative funding sources available if they are not successful in future ATP funding cycles. ATP FUNDING TYPE REQUESTED: Per the CTC Guidelines, All ATP projects must be eligible to receive federal funding. Most ATP projects will receive federal funding, however, some projects may be granted State‐only funding (SOF) for all or part of the project. This section of the application provides the applicant the opportunity to explain why they believe their project (if funded) requires a specific type(s) of ATP funding or document why they believe their project is a good candidate to receive a specific type of funding. All applicants requesting State Only Funding must attach an “Exhibit 22‐f.” Exhibit 22‐f can be found on the Caltrans ATP website with the application attachments for Cycle 3. All applicants requesting special funding must briefly explain their reason(s) in 250 characters or less. If they feel a longer explanation is needed, they can attach their explanation. ATP Project Programming Request (PPR): The application form automatically generates the project’s PPR based on the Project Schedule, Project Funding, and General Project information provided in the application. The PPR is not complete until the applicant enters in the Non‐ATP funding information on the second page of the PPR. Applicants must review all the information shown in the PPR and confirm that it matches their expectations and commitment for the project. Once the project is programmed with ATP funding, the project phases with ATP funding will not be awarded additional ATP funding in the future and the implementing agency will be expected to fund all cost increases with non‐ATP funding. Page 15 of 25 ATP ‐ CYCLE 3 – Application Instructions & Guidance April 2_, 2016 APPLICATION PART 7: APPLICATION QUESTIONS GENERAL GUIDANCE FOR PART 7 – Screening Criteria and Application Scoring Questions: It is the applicant’s responsibility to ensure all information included in each part of the application is fully consistent with the corresponding sections in the other parts. Failure to provide consistent data may result in a lower score/ranking, a lower level of ATP funding, or disqualification. Applicants are expected to give special attention to the following overall instructions and guidance as they complete this Part of the application: 1. Applicants are encouraged to answer the questions as concisely as possible. 2. Combined Infrastructure (I) and Non‐Infrastructure (NI) projects: For I projects with NI components, the answers to each of the questions/sub‐questions should clearly document the I & NI components of the projects. 3. If applicants desire to provide additional supporting maps, photographs, and excerpts from relevant documents/reports in the appropriate Part 8 attachment as needed. Each attachment should be clearly referenced in the narrative answers. Full copies of supporting documents and reports should not be included. Provide only the relevant page(s) of larger documents and highlight/underline the applicable information. 4. Applicants shall ensure their representation of their proposed project’s purpose, goals, improvements, and/or impacts are reasonable and probable. 5. The answers to the Narrative Questions must be consistent with and fully support the project’s scope, cost, and schedule as shown project plans, estimate and PPR. SCREENING CRITERIA The California Transportation Commission – Guidelines for the Active Transportation Program require applications to meet certain screening criteria. These criteria and corresponding questions are presented in this section of the application and must be completed by the applicant. Failure to answer these criteria/questions may result in the application being disqualified. In addition to the screening criteria defined in the CTC guidelines, Caltrans will also be screening the applications to ensure they have fully‐eligible scopes of work, are deliverable and constructible, and are consistent with the CTC and Caltrans Guidelines. Where inconsistencies are found, Caltrans will document and make recommendations to the CTC relating to the removal of ineligible project costs or projects (the goal is for the removal to occur prior to final selection and programming of the Statewide and SU&R ATP projects.) In addition, Caltrans will present their recommendations to the corresponding MPO for their consideration and action prior to their selection and programming of their projects. At a minimum, the following application elements are expected to be confirmed by Caltrans: o All applications submitted must follow the CTC Guidelines and must be completed using the latest version of the Caltrans ATP application, the application instructions, and Chapter 22 of the Local Assistance Program Guidelines. All applications must include all required attachments and signatures as required by these guidance documents. o Applications must demonstrate that the primary purpose of the project matches the defined purpose of the Active Transportation Program of “encouraging increased use of active modes of transportation, such as biking and walking.” Applications that appear to have a primary focus on vehicular capacity increases, vehicular operational improvements, urban forestry, or environmental mitigation will be identified. Page 16 of 25 ATP ‐ CYCLE 3 – Application Instructions & Guidance o o o o April 2_, 2016 The scope of work shown in the application must be eligible and be constructible per accepted design standards. A Civil Engineer must sign and stamp the application for all infrastructure projects and the application must be at a PSR‐equivalent level. See the CTC’s PSR‐equivalent requirements and Attachment B for more details. NI Applications must demonstrate they meet the NI eligibility guidelines. See additional instructions under Form 22‐R NI Workplan. See Attachment H. Plan Applications must demonstrate they meet the PLAN eligibility guidelines. See additional instructions under Form 22‐PLAN Plan Detail‐Estimate. APPLICATION QUESTIONS The California Transportation Commission (CTC) – Guidelines for the Active Transportation Program establish general topic/questions and corresponding scores. These questions and sub‐questions are presented in this section of the application and must be completed by the applicant. The general scoring information and instructions for each of these questions will be made available to applicants in a separate document prepared by the CTC. The following instructions outline how to properly enter data into a few of the application questions. These instructions are intended to clarify various data entry needs or expectations. QUESTION 1‐ DISADVANTAGED COMMUNITIES B. Identification of Disadvantaged Community (0 points) Select the option that best shows the community’s disadvantaged status. Median Household income (MHI)‐ MHI less than $49,191 is disadvantaged CalEnviroScreen‐ CalEnviroScreen score greater than 36.62 is disadvantaged Free or Reduced Priced School Meals (FRPM)‐ At least 75% of public school students in the project area are eligible to receive FRPM, to be considered disadvantaged. Other If Median Household income is selected the following table will pop‐up: Instructions for determining the Census Tract/Block Group/Place # can be found on the ATP webpage: http://www.dot.ca.gov/hq/LocalPrograms/atp/cycle‐3.html. MHI information must be shown for each of the census areas that the project is located in and also any tracts that the application claims benefits from the project. To add additional rows to the table click on the ‘+’ at the end of the MHI column If CalEnviroScreen is selected the following table will pop‐up: Page 17 of 25 ATP ‐ CYCLE 3 – Application Instructions & Guidance April 2_, 2016 Instructions for determining the Census Tract/Block Group/Place # can be found on the ATP webpage: http://www.dot.ca.gov/hq/LocalPrograms/atp/cycle‐3.html. The CalEnviroScreen score information can be found in the SB535 list of Disadvantaged Communities at: http://www.calepa.ca.gov/EnvJustice/GHGInvest/ CalEnviroScreen information must be shown for each of the census areas that the project is located in and also any tracts that the application claims benefits from the project. To add additional rows to the table click on the ‘+’ at the end of the CalEnviroScreen column If FRPM are selected the following table will pop‐up: The FRPM option can only be used if Safe Routes to School was selected in application Part 3 Project Sub‐Type. This table is auto populated from the information entered in Part 3 Project Sub‐Type QUESTION 2‐ POTENTIAL FOR INCREASING WALKING AND BICYCLING . . . The Safe Routes to School projects and Programs table is auto populated from application Part 3 Project Sub‐Type. Please see the example in Question 1. QUESTION 3‐ REDUCING PEDESTRIAN AND BICYCLIST FATALITIES AND INJURIES 1A. All applicants must fill out the Crash Data Table, even if the values are zero. The application shall only include data for events that the project can reasonably expect to mitigate. Page 18 of 25 ATP ‐ CYCLE 3 – Application Instructions & Guidance April 2_, 2016 QUESTION 7‐ LEVERAGING OF NON‐ATP FUNDS The leveraging and matching amounts shown on this page are auto filled from Part 6 “Project Funding” of the application. Points received for leveraging funding will not be shown in the application. Points will be determined from the scoring rubrics. QUESTION 8‐ USE OF CORPS Tribal Corps coordination is only applicable if the Implementing Agency is a Tribal Government. Tribes that do not have a Corps must still coordinate with the CCC and CalCC. QUESTION 9‐ APPLICANT’S PERFORMANCE OF PART ATP FUNDED PROJECTS Applicants are not expected to provide any information relating to this application question. It is included in the application as a reminder to applicants that this process will be conducted separately by Caltrans during the application review and selection process. APPLICATION PART 8: ATTACHMENTS The attachment names and order must be maintained for all applications as shows in Part 8 of the Application form and in these instructions. Depending on the Project Type (I, NI or Plans) some attachments will be intentionally left blank. Many of the required attachments in Part 8 must follow Caltrans’ documents and formats. These include, but may not be limited to: The Signature Page, Engineer’s Checklist, Engineer’s Estimate, and NI Workplan (Form 22‐R). These forms/documents can be found on the ATP website at: http://www.dot.ca.gov/hq/LocalPrograms/atp/cycle‐3.html Page numbers are not required for attachments; but either page numbers or the attachment letter should be provided in the footer of all attachments. For convenience, clear hand‐written numbers/letters are acceptable. If an attachment is not “required” and it is more than 10 pages, do not attach it to the application. Make it available via a link, place it on the electronic submittal, or place only the relevant pages (10 maximum) in the application attachment. The maps, photographs and other detailed exhibits must be in color and/or a high enough resolution to clearly depict all relevant information. ATTACHMENT A: APPLICATION SIGNATURE PAGE Applicants must use Caltrans template at http://www.dot.ca.gov/hq/LocalPrograms/atp/cycle‐3.html Per the CTC Guidelines: “A project application must include the signature of the Chief Executive Officer or other officer authorized by the applicant’s governing board. Where the project is to be implemented by an agency other than the applicant, documentation of the agreement between the project applicant and implementing agency must be submitted with the project application.” Some applications will require multiple approving signatures prior to submittal of the application to Caltrans. Read each signature statement carefully and obtain all required signatures for your project Page 19 of 25 ATP ‐ CYCLE 3 – Application Instructions & Guidance April 2_, 2016 application. Failure to obtain signatures from all required parties prior to application submittal to Caltrans will cause your application to be rejected as incomplete. For all Projects: The Chief Executive Officer, Public Works Director, or other officer authorized by the governing board for the Implementing agency must affirm that they are authorized by their governing board with the authority to commit the agency’s resources and funds and that the statements contained in this application package are true and complete to the best of their knowledge. For Infrastructure Projects: For these projects, the agency officer signing the application must also affirm that they are the manager of the public right‐of‐way facilities (responsible for their maintenance and operation) or they have authority over this position. For projects where the Implementing Agency will not be the agency responsible for operation of maintenance of the proposed project improvements: For these projects, the agency officer signing the application must affirm that their agency is committed to partner with the “Implementing Agency” and agrees to assume the responsibility for the ongoing operations and maintenance of the facility upon completion by the implementing agency and they intend to document such agreement per the CTC guidelines. The undersigned also affirms that they are the Chief Executive Officer or other officer authorized by their governing board with the authority to commit the agency’s resources and funds. They are also affirming that the statements contained in this application package are true and complete to the best of their knowledge. Encroachments on the State right‐of‐way: If the application’s project proposes improvements within a freeway or state highway right‐of‐way, whether it affects the safety or operations of the facility or not, it is required that the proposed improvements be reviewed by the district traffic operations office and either a letter of support/acknowledgement from the traffic operations office be attached or the signature of the traffic manager be secured in the application. The Caltrans letter and/or signature does not imply approval of the project, but instead only acknowledges that Caltrans District staff is aware of the proposed project, and, upon initial review, the project appears to be acceptable. ATTACHMENT B: ENGINEERS CHECKLIST FOR INFRASTRUCTURE PROJECTS (only) Applicants must use Caltrans template at http://www.dot.ca.gov/hq/LocalPrograms/atp/cycle‐2.html. The Engineer’s Checklist is to be used by the engineer in “responsible charge” of the preparation of this ATP application to ensure all of the primary elements of the application are included as necessary to meet the CTC’s requirements for a PSR‐Equivalent document (per CTC’s ATP Guidelines and CTC’s Adoption of PSR Guidelines ‐ Resolution G‐99‐33) and to ensure the application is free of critical errors and omissions; allowing the application to be accurately ranked in the statewide ATP selection process. Resolution G‐99‐33 is available at the following link: http://www.dot.ca.gov/hq/LocalPrograms/lam/forms/acrobat/LAPG23J.pdf ATTACHMENT C: PROJECT LOCATION MAP The application reviewers and the Program Managers must be able to quickly pinpoint the project's location in the California and local community. This map needs to show where the project is located within the agency’s overall jurisdiction. At a minimum, it needs to include/show: o North Arrow o Label all relevant street names and highway route numbers o Project location in relationship to the applicants overall jurisdictional boundary. Page 20 of 25 ATP ‐ CYCLE 3 – Application Instructions & Guidance April 2_, 2016 ATTACHMENT D: Project Map/Plans showing existing and proposed conditions Preliminary Plans or scaled aerial maps are required for all Infrastructure projects. These plans/maps need to show the limits of the proposed improvements and sufficient detail to show that the proposed improvements are technically feasible using generally accepted design standards. The application reviewers must be able to confirm whether the proposed improvements fall within the Implementing Agency’s existing right‐of‐way or if they require new right‐of‐way acquisition. If the project encroaches on Caltrans’, Railroad, or other agencies’ right‐of‐way, include a copy of an email or letter of support from the owner. As part of a PSR‐Equivalent document, these maps/plans are not intended to represent 60% plans or final plans, but at a minimum they need to include the following: o North Arrow and Scale o High resolution and/or color ‐ as needed to convey project details o Layout sheet(s) or scaled aerial photo(s) depicting the complete length of the project & improvements. The scale must allow for a visual depiction of all of the primary project elements, including their intended final widths. o Typical cross‐section(s) showing changes to vehicular lane widths, active transportation facilities widths, right‐of‐way widths, new facilities, etc. These cross sections must be to scale and must include each of the controlling locations. o Label relevant street names and highway route numbers. o Label right‐of‐way lines – as appropriate. At the PSR‐Equivalent level, these lines can be approximated on aerial photos by physical features. Projects that have no reasonable expectation of encroaching past the implementing agency’s right‐of‐way do not need to show these lines. o Plans/maps should be no larger than 11” x 17”, and must be folded to 8 ½” x 11” o Final Plans (Title, Layout Plans, Cross‐sections and only other sheets as needed to document the general scope of the project) are ONLY expected for projects being presented in the application as “Shovel Ready.” ‘Non‐Infrastructure’ and ‘Plan’ applications are not required to attach engineering maps/plans. However, if they propose education, enforcement or other programs on specific corridors or locations, these locations should be identified on maps. ATTACHMENT E: PHOTOS OF EXISTING CONDITIONS All applications must include pictures showing the existing conditions, including a general representation of the project area, safety issues, barriers, public outreach, etc. that are identified in the narrative answers. Applicants are encouraged to insert photos in the appropriate narrative answers. Extra photos can be included in this attachment. At a minimum, the overall application photos need to include: o one or more photos of the existing project location(s) o one or more photos for each of the major types of existing safety, barriers or other active transportation related issues within the project limits and presented in the application. o high resolution and/or color ‐ as needed to convey project details o Label all photos with details on the specific locations/hazards/needs being depicted Page 21 of 25 ATP ‐ CYCLE 3 – Application Instructions & Guidance April 2_, 2016 Non‐Infrastructure and Plan project photos are not required and are only recommended to be included as they relate to the project elements, activities and deliverables as presented in the narrative questions. ATTACHMENT F: PROJECT ESTIMATE Project estimates are required for ALL projects and must define the project’s overall costs. The project estimate must allow application evaluators to easily review how the total costs are split, including but not limited to: project delivery (soft) cost, construction cost, eligible item costs, and ineligible costs (non‐participating). The required type and format for project estimates vary based on the project type, as follows: Infrastructure Projects: Applicants must use Caltrans’ cost estimate template for estimating the cost of construction items and the overall project costs. If they chose to use another form(s) to estimate these costs, they must ensure they convey the same level of detail and overall scope of information. The Caltrans’ template can be found at: http://www.dot.ca.gov/hq/LocalPrograms/atp/cycle‐3.html Instructions for completing the estimate, including the details required for ATP applications, are included in the Caltrans template. The detailed Engineer’s Estimate must meet the following expectations: o Identify all items that the ATP will be funding; broken down by bid items and unit cost. Lump Sum may only be used per industry standards. o Construction contingency can be used ‐ as appropriate at the level expected for a PSR‐ Equivalent. o Estimate must be true and accurate – as appropriate at the level expected for a PSR‐ Equivalent. o If appropriate, designate which items (or percentage of items) the applicant expects to be completed by the Corps. This information must be consistent with the applicant’s answers to Narrative Question number 8. o Designate any non‐participating items (or percentage of items) that are being included on the project. Non‐Infrastructure Projects: Attachment G F is not required for NI projects. See Attachment H G for NI projects. Plans: Attachment G F is not required for PLAN projects. See Attachment H G for NI and PLAN projects. ATTACHMENT G: NON‐INFRASTRUCTURE WORK PLAN (22‐R FORM) Non‐Infrastructure Projects: Applicants must refer to eligibility guidelines “Active Transportation Program Eligible Non‐ Infrastructure (NI) Activities” found at http://www.dot.ca.gov/hq/LocalPrograms/atp/cycle‐ 3.html. This NI Work Plan is a critical element of NI applications as it defines the scope, cost and schedule, and deliverables. The program details in the NI Work Plans allow applications to be Page 22 of 25 ATP ‐ CYCLE 3 – Application Instructions & Guidance April 2_, 2016 considered PSR Equivalents and define the scope deliverables the agency is committing to if their application receives funded. Plans: For Plan projects, applications must provide an estimate with a cost breakdown for the major elements of the work necessary to complete the “Plan” as required in the CTC Guidelines and as defined in this application. Applicants must use Caltrans’ Plan Cost Estimate template for estimating the cost of the overall Plan project found at http://www.dot.ca.gov/hq/LocalPrograms/atp/cycle‐3.html. (If desired, applicants can also attached their own estimate in an alternative format.) The estimate must define the scope, cost and deliverables the agency is committing to complete if their application receives funded. This is needed to meet the CTC’s expectation that ATP applications are to be considered PSR Equivalents. ATTACHMENT H: LETTERS OF SUPPORT ONLY LETTERS OF SUPPORT ATTACHED TO THE APPLICATION WILL BE CONSIDERED. Letters of support must not be mailed directly to Caltrans or the CTC. Maximum to 10 Letters of Support. All projects are encouraged to provide letters of support. See Narrative Question #3 for more details. ATTACHMENT I: EXHIBIT 22‐F STATE FUNDING Applicants requesting special funding that want to provide additional justification, over what is allowed in the form’s text box, have the opportunity to attach their explanation here and include a reference to this attachment in the box provided in form. ATTACHMENT J: ADDITIONAL ATTACHMENTS The following list represents some of the additional application attachments that are required, recommended, or optional, based on the type of project and its individual project elements. Additional School data: For projects impacting more than one school, appropriate school details for each school need to be attached. (Required when applicable) Exhibit 22‐F “Request for State‐Only ATP Funding” (Required if State‐only funds are being requested). The Commission will determine projects with State funds at time of program adoption. For those not designated state‐only at time of program adoption, the department will have discretion in recommending allocation. If an entity other than the Implementing Agency is going to assume responsibility for the operation and maintenance of the facility, provide documentation of the partnering maintenance agreement. (Required when applicable) Must have at least a letter of intent attached to the application and a copy of the Memorandum of Understanding or Interagency Agreement between the parties must be submitted with the request for allocation. Warrant studies: (Required when applicable) Required when the project includes an improvement that requires an engineering study to warrant the installation of certain traffic control devices (e.g. traffic signals). When applications include traffic control features like these, it is the applicants’ responsibility to ensure all requirements of the latest California Page 23 of 25 ATP ‐ CYCLE 3 – Application Instructions & Guidance April 2_, 2016 MUTCD are met. Failure to include required warrants completed per California MUTCD will result in the project or project elements being disqualified. If applicable, portions of a plan or report that support the proposed project. i.e., illustrating barriers, safety concerns and other ATP project elements within the project limits. (Copy of cover page and pages with the relevant text highlighted/underlined). Page 24 of 25
© Copyright 2026 Paperzz