HomeMy WebLinkAboutAGENDA REPORT 2024 1002 CCSA REG ITEM 10ICITY OF MOORPARK, CALIFORNIA
City Council Meeting
of October 2, 2024
ACTION APPROVED STAFF
RECOMMENDATION INCLUDING
ADOPTION OF RESOLUTION NO. 2024-
4277. (ROLL CALL VOTE: UNANIMOUS)
BY A. Hurtado.
I. Consider Resolution Amending Fiscal Year 2024/25 Budget for the Receipt of Low
Carbon Transit Operations Program (LCTOP) Funds and Consider Interagency
Agreement with Ventura County Transportation Agency for the Disbursement and
Administration of those Funds. Staff Recommendation: 1) Authorize the City
Manager to sign the Cooperative Agreement subject to final language approval by
the City Manager and City Attorney; and 2) Adopt Resolution No. 2024-4277.
(Staff: Michelle Woomer, Senior Management Analyst) (ROLL CALL VOTE
REQUIRED)
Item: 10.I.
MOORPARK CITY COUNCIL
AGENDA REPORT
TO: Honorable City Council
FROM: Daniel Kim, City Engineer/Public Works Director
BY: Michelle Woomer, Senior Management Analyst
DATE: 10/02/2024 Regular Meeting
SUBJECT: Consider Resolution Amending Fiscal Year 2024/25 Budget for the
Receipt of Low Carbon Transit Operations Program (LCTOP) Funds
and Consider Interagency Agreement with Ventura County
Transportation Agency for the Disbursement and Administration of
those Funds
BACKGROUND
The Low Carbon Transit Operations Program (LCTOP) was established by the California
Legislature in 2014 by Senate Bill 862. The LCTOP was created to provide operating
and capital assistance for transit agencies to reduce greenhouse gas (GHG) emissions
and improve mobility.
In 2023 Ventura County Transportation Commission (VCTC) submitted the Battery
Electric Charging Infrastructure (BECI) Project to the California Department of
Transportation (Caltrans) to be used for construction of electrical charging infrastructure
components. On October 27, 2023, Ventura County Transportation Commission (VCTC)
received authorization for funding of its Fiscal Year (FY) 2022/23 LCTOP allocation for
the BECI Project. This Project will help fund the construction, purchase equipment
acquisition, and installation of BECI throughout Ventura County. This Ventura County
BECI Project will help provide the resources to transit agencies in the County to help
transition their fleet to zero-emission bus (ZEB) fleet by 2040, as mandated by the
California Air Resources Board. VCTC has agreed to distribute $200,000 of LCTOP
funds it received to the City of Moorpark for the construction of BECI for its future fleet of
electric buses.
Item: 10.I.
85
Honorable City Council
10/02/2024 Regular Meeting
Page 2
DISCUSSION
The City intends to use the LCTOP funding for the construction of BECI that will power
Moorpark City Transit’s (MCT) future ZEB fleet. This Project meets the projected goal of
reducing GHG emissions. MCT’s fixed route buses are stored and maintained by the City
of Thousand Oaks at their Municipal Service Center (MSC). The City has coordinated
with Thousand Oaks to build the electric charging infrastructure needed to power its future
zero-emission bus fleet at the Thousand Oaks MSC. While Thousand Oaks is building
their electric charging infrastructure for their own fleet of electric buses, they will
concurrently build three electric charging stations for MCT’s future fleet of three ZEBs.
The cost estimate for the construction of MCT’s electric charging infrastructure is
$300,000 which will be funded by LCTOP funds and Transportation Development Act
(TDA) funds.
ENVIRONMENTAL DETERMINATION
This Agreement is not subject to the California Environmental Quality Act (CEQA) as it
does not constitute a project, as defined by Section 15378 of the State CEQA Guidelines.
Therefore, no environmental review is required.
FISCAL IMPACT
A budget amendment in the amount of $200,000 is requested for the unanticipated
revenue receipt of $200,000 in LCTOP funds in FY 2024/25. This grant funding will be
used for the construction of electric charging infrastructure for our future fleet of electrical
buses. Upon execution of the Agreement, VCTC will distribute the LCTOP funding to the
City. The funds received through this grant will be deposited into account 2409-000-
G0033-46350.
COUNCIL GOAL COMPLIANCE
This action does not support a current strategic directive.
STAFF RECOMMENDATION (ROLL CALL VOTE REQUIRED)
1. Authorize the City Manager to sign the Cooperative Agreement subject to final
language approval by the City Manager and City Attorney; and
2. Adopt Resolution No. 2024-____.
Attachment 1: Cooperative Agreement
Attachment 2: Draft Resolution 2024-____
86
ATTACHMENT 1
INTERAGENCY AGREEMENT
BETWEEN
VENTURA COUNTY TRANSPORTATION COMMISSION
AND
CITY OF MOORPARK
THIS AGREEMENT is entered into between Ventura County Transportation
Commission (VCTC) and the City of Moorpark (AGENCY) regarding the disbursement
and administration of funds from the State of California’s Fiscal Year (FY) 2022-2023
Low Carbon Transit Operations Program (LCTOP) as of _______day of
______________, 2024 (“Effective Date”).
WHEREAS Senate Bill 862 of the 2014 Statutes appropriates funds from the
Greenhouse Gas Reduction Fund to the Low Carbon Transit Program (LCTOP),
administered by Caltrans; and,
WHEREAS, on October 27, 2023, VCTC received authorization for funding of its
FY2022-2023 LCTOP Battery Electric Charging Infrastructure Project (“Grant Funds”) for
the construction, equipment acquisition, and installation of battery electric charging
infrastructure projects; and
WHEREAS, CITY OF MOORPARK intends to implement Electric Bus Charging
Infrastructure (Project), which will further the purposes of the 2023 LCTOP Battery
Electric Charging Infrastructure Project and is an eligible project for Grant Funds;
WHEREAS, pursuant to VCTC’s LCTOP funding allocation, VCTC is authorized
to allocate LCTOP funding to sub-recipient agencies as necessary in order to implement
eligible projects; and
WHEREAS, CITY OF MOORPARK has agreed to implement the Project
pursuant to a contract with the City of Thousand Oaks for the installation of the Project at
the City of Thousand Oaks’ Municipal Services Center, and VCTC desires to allocate
funds for implementation of the Project.
NOW, THEREFORE, THE PARTIES DO AGREE AS FOLLOWS:
I. FUNDING/PROGRAM MANAGEMENT
1. Assignments of Participants: VCTC hereby agrees to engage the AGENCY
and the AGENCY hereby agrees to carry out the work outlined in the Scope
of Services, attached hereto and incorporated herein as Exhibit A, in
connection with the administration of the Grant Funds. The AGENCY will be
responsible for assuring that the AGENCY meets all grant requirements
placed on LCTOP recipients (“Grant Requirements”) as detailed in Section II
of this Agreement and in Exhibit B, attached hereto and incorporated herein.
87
2. Scope of Services:
a. Grant Administration: As the original fund recipient, VCTC shall be
responsible for distributing the Grant Funds to the AGENCY project.
VCTC has agreed to distribute $200,000 of Grant Funds to the Project.
b. Project Implementation: The AGENCY will implement Project in
accordance with the Grant Requirements to the extent that funds from
VCTC are available pursuant to this Agreement. The AGENCY
anticipates implementing the Project under an agreement with the City of
Thousand Oaks for the installation of the Project at the City of Thousand
Oaks’ Municipal Services Center.
3. Title and Ownership: The title to and ownership of all equipment, tools,
materials, and supplies (hereinafter referred to as "Equipment") purchased or
otherwise acquired for use in connection with the Project shall vest in the
AGENCY upon delivery to the Project site, unless otherwise specified in
writing by VCTC, and unless otherwise agreed to between the parties and
with the City of Thousand Oaks.
4. Operations and Maintenance Responsibility: The AGENCY shall be
responsible, at its sole cost and expense, for the proper operations and
maintenance (O&M) of all Equipment and infrastructure related to the Project
as specified in the Original Equipment Manufacturer’s (OEM) contract
manuals. This responsibility extends to all phases of the Project, including but
not limited to installation, commissioning, testing, and operational use. The
AGENCY shall perform all O&M activities in accordance with the
manufacturer’s recommendations, industry best practices, and all applicable
laws and regulations.
5. Duration of Agreement and Authorization to Proceed: This Agreement shall
begin on the Effective Date and shall continue until June 30, 2026. Upon
execution and allocation of Grant Funds, AGENCY is authorized to proceed
with implementation of Project.
6. Entire Agreement; Integration: This Agreement constitutes the entire
agreement between the parties hereto with respect to the administration of
Grant Funds and obligations described herein for the [Project] and
supersedes as of the date hereof any prior agreement(s) and amendments
between the parties, written or oral, concerning the subject matter of this
Agreement.
7. Amendments to the Agreement: The provisions of this Agreement may be
amended upon written acceptance and ratification of any such amendment by
both VCTC and the AGENCY.
8. Method of Payment: AGENCY must keep the unexpended Grant Funds in a
separate interest-bearing account. Any interest that is accrued shall be
accounted for and used for the Project. Any Grant Funds or accrued interest
earned received in excess of the final Project cost, or those Grant Funds
found to be owed back to VCTC as a result of a final, independent review or
88
audit, must be returned to VCTC within thirty (30) days of Project closeout or
expiration of this Agreement. AGENCY shall provide supporting
documentation that shows the reconciliation of all Project expenditures and
any remaining unused funds.
9. Costs: VCTC shall have no liability for cost deficits for the Project. AGENCY
shall have no authority to incur cost overruns for the Project and under no
circumstances will VCTC be responsible for funding the Project in excess of
the distributed funds and the interest earned thereon. Prior to the
commencement of any charging infrastructure installation or modification, the
AGENCY shall provide VCTC with a detailed cost estimate for the proposed
work. The cost estimate shall include breakdowns of labor, materials,
equipment, and any additional expenses associated with the Project.
II. CALTRANS LCTOP REQUIREMENTS
The AGENCY shall note the following provisions apply to LCTOP grants and shall take
all necessary action to ensure its compliance as though it was the grantee directly.
1. Reports: In addition to any other reports required by the Grant
Requirements, Annual performance reports shall be prepared and submitted
to VCTC, no later than October 1st each year, for the duration of the Project
performance period, or until all activities are completed and the Project is
formally closed. Failure to submit performance reports could result in the
reduction of Project funds, termination, or suspension of this Agreement.
2. Other Provisions: The AGENCY is subject to all Grant Requirements, any
and all policies and regulations of Caltrans with regard to the FY 2022-23
LCTOP grant, and all applicable laws regarding California public agency
procurements, including but not limited to public works requirements,
transportation agency specialized rail equipment procurements, contract bid
procedures, and the payment of prevailing wages.
3. Grant Performance Period: Funds allocated under this grant shall be
expended by June 30, 2026 (“Grant Performance Period”). Funds remaining
unexpended beyond the Grant Performance Period of the Grant Funds
approved by Caltrans shall revert to Caltrans.
4. Audits/Recordkeeping: AGENCY shall provide VCTC with any data, records,
or documentation necessary for compliance with audit procedures required
by the Grant Requirements and shall cooperate with VCTC in the preparation
of any audit to the extent necessary. Audits shall be performed on an annual
basis. AGENCY shall retain all Project cost records for a minimum of three
(3) years after completion of the Project or such other period of time as may
be required by law. To the extent that any inappropriate or unallowable
expenditures by AGENCY are identified and Caltrans requests repayment,
AGENCY shall refund such funds to VCTC for transmission back to Caltrans
in accordance with Section I.6.
89
III. OTHER PROVISIONS
1. Indemnification: To the fullest extent permitted by law, AGENCY shall
protect, defend, indemnify, and hold harmless VCTC, its officers, agents,
servants, and employees, from any and all liability arising out of, or caused
by, any act or omission of AGENCY or its officers, agents, or servants as a
result of any act or omission by AGENCY in its performance pursuant to this
Agreement.
The obligations of the AGENCY in these indemnity provisions survive the
expiration or earlier termination of this Agreement.
2. Insurance: AGENCY shall procure and maintain for the duration of this
Agreement insurance against claims for injuries to persons or damages to
property which may arise from or in connection with the performance of the
work hereunder and the results of that work by AGENCY, its agents,
representatives, employees or subcontractors. The insurance required by this
Section may be satisfied by a program of self-insurance upon satisfactory
documentation provided to VCTC that such self-insurance program meets the
requirements outlined herein.
a. MINIMUM SCOPE AND LIMIT OF INSURANCE Coverage shall be at
least as broad as:
i. Commercial General Liability (CGL): Insurance Services Office
Form CG 00 01 covering CGL on an “occurrence” basis, including
products and completed operations, property damage, bodily
injury and personal & advertising injury with limits no less than
$3,000,000 per occurrence/$6,000,000 general aggregate. If a
general aggregate limit applies, either the general aggregate limit
shall apply separately to this project/location or the general
aggregate limit shall be twice the required occurrence limit.
ii. Automobile Liability: ISO Form Number CA 00 01 covering any
auto (Code 1), or if Contractor has no owned autos, hired,
(Code 8) and non-owned autos (Code 9), with limit no less than
$2,000,000 combined single limit, per accident for bodily injury
and property damage.
iii. Workers’ Compensation: as required by the State of California,
with Statutory Limits, and Employer’s Liability Insurance with limit
of no less than $1,000,000 per accident for bodily injury or disease.
iv. If AGENCY maintains higher limits than the minimums shown
above, VCTC requires and shall be entitled to coverage for the
higher limits maintained by AGENCY. Any available insurance
proceeds in excess of the specified minimum limits of insurance
and coverage shall be available to the VCTC.
b. Other Insurance Provisions: The insurance policies are to contain, or
be endorsed to contain, the following provisions:
i. Additional Insured Status: VCTC, their officers, officials,
employees, agents and volunteers are to be covered as additional
insureds on the CGL policy with respect to liability arising out of
90
work or operations performed by or on behalf of the Contractor
including materials, parts, or equipment furnished in connection
with such work or operations. General liability coverage can be
provided in the form of an endorsement to the Contractor’s
insurance (at least as broad as ISO Form CG 20 10 11 85 or if not
available, through the addition of both CG 20 10, CG20 26, CG 20
33, or CG 20 38; and CG 20 37 if a later edition is used).
ii. Primary Coverage: For any claims related to this Agreement, the
AGENCY’s insurance coverage shall be primary insurance as
respects VCTC, its officers, officials, employees, and volunteers.
Any insurance or self-insurance maintained by VCTC, its officers,
officials, employees, or volunteers shall be excess of the
AGENCY’s insurance and shall not contribute with it.
iii. Notice of Cancellation: Each insurance policy required above
shall provide that coverage shall not be canceled, except with 30
days’ notice to VCTC.
iv. Waiver of Subrogation: AGENCY hereby grants to VCTC a
waiver of any right to subrogation which any insurer of said
AGENCY may acquire against the VCTC by virtue of the payment
of any loss under such insurance. AGENCY agrees to obtain any
endorsement that may be necessary to affect this waiver of
subrogation, but this provision applies regardless of whether or
not the VCTC has received a waiver of subrogation endorsement
from the insurer.
v. Self-Insured Retentions: Self-insured retentions must be
declared to and approved by VCTC. VCTC may require AGENCY
to purchase coverage with a lower retention or provide proof of
ability to pay losses and related investigations, claim
administration, and defense expenses within the retention.
Further, if the AGENCY’s insurance policy includes a self-insured
retention that must be paid by a named insured as a precondition
of the insurer’s liability, or which has the effect of providing that
payments of the self-insured retention by others, including
additional insureds or insurers do not serve to satisfy the self-
insured retention, such provisions must be modified by special
endorsement so as to not apply to the additional insured
coverage required by this agreement so as to not prevent any
of the parties to this agreement from satisfying or paying the self-
insured retention required to be paid as a precondition to the
insurer’s liability.
vi. Acceptability of Insurers: Insurance is to be placed with
insurers with a current A.M. Best’s rating of no less than A:VII,
unless otherwise acceptable to VCTC.
c. Verification of Coverage: AGENCY shall furnish VCTC with original
certificates and amendatory endorsements or copies of the applicable
91
policy language effecting coverage required by this clause. All certificates
and endorsements are to be received and approved by VCTC before work
commences. However, failure to obtain the required documents prior to
the work beginning shall not waive AGENCY’s obligation to provide them.
In the event a claim is filed against VCTC as a result of AGENCY’s
actions, AGENCY shall provide VCTC a copy of AGENCY’s insurance
policies upon request.
d. Subcontractor: AGENCY shall require and verify that all subcontractors
working on Project maintain insurance meeting all requirements stated
herein, and AGENCY shall ensure that VCTC is an additional insured on
insurance required from subcontractors. For CGL coverage,
subcontractors shall provide coverage with a form at least as broad as
CG 20 38 and CG 20 40.
3. Termination: The AGENCY may terminate this Agreement upon written notice to
VCTC if Grant Funds are canceled or otherwise unavailable for the Project.
AGENCY may terminate this Agreement for cause after giving written notice to
VCTC of VCTC's default under this Agreement at least thirty (30) calendar days
before the termination is to be effective. Within thirty (30) calendar days after
receipt of the AGENCY's written notice of the default, VCTC may cure the
default, or, if the default cannot be reasonably cured within that time period, if
VCTC has not commenced the cure within that time period, diligently continued
to pursue that cure, and completed it within one hundred eighty (180) calendar
days after receipt of the notice. The AGENCY may not terminate this Agreement
if VCTC cures the default in accordance with this Section 3. If the VCTC does not
cure the default and AGENCY terminates this Agreement, AGENCY shall return
any funds that are unused as of the date of the termination and that are not
necessary for payment for services provided prior to the termination date.
VCTC may terminate this Agreement upon written notice to AGENCY if Grant
Funds are canceled or otherwise unavailable to the Project. VCTC may terminate
this Agreement for cause after giving written notice to AGENCY of AGENCY's
default under this Agreement at least thirty (30) calendar days before the
termination is to be effective. Within thirty (30) calendar days after receipt of
VCTC's written notice of the default, the AGENCY may cure the default, or, if the
default cannot be reasonably cured within that time period, if the AGENCY has
not commenced the cure within that time period, diligently continued to pursue
that cure, and completed within one hundred eighty (180) calendar days after
receipt of the notice. The VCTC may not terminate this Agreement if AGENCY
cures the default in accordance with this Section 3. If the AGENCY does not cure
the default and VCTC terminates this Agreement, the AGENCY may expend
Grant Funds to pay contractors for Project work satisfactorily completed through
the last working day this Agreement is in effect or committed to be spent by that
date.
Neither party shall have any other claim against the other party by reason of an
early termination of this Agreement.
4. Changes to Agreement: This Agreement may only be amended by written
agreement signed by all parties.
92
5. Availability of Grant Funds: The Parties understand and agree that VCTC’s
obligation to allocate funds to the Project is expressly conditioned on the
availability of Grant Funds. In the event that the Grant Funds are not allocated to
VCTC or are otherwise canceled, terminated or unavailable, VCTC shall have no
obligation to allocate funds to the Project. Under no circumstances is VCTC liable
for any costs of the Project that are in excess of or ineligible for Grant Funds.
6. Notices of Notification: Any notice required to be given in writing under this
Agreement, or other notifications, shall be given to the parties at the following
addresses:
to VCTC:
Martin R. Erickson
VCTC
Executive Director
751 E. Daily Drive
Camarillo, CA 93010
to AGENCY:
CITY OF MOORPARK
City Manager
799 Civic Center Dr
Moorpark, CA 93021
93
CITY OF MOORPARK VENTURA COUNTY TRANSPORTATION
COMMISSION
___________________________ __________________________________
Troy Brown Martin Erickson
City Manager Executive Director
APPROVED AS TO FORM:
______________________________ ___________________________
Kevin G. Ennis Steven T. Mattas
City Attorney General Counsel
94
EXHIBIT A
Scope of Work
Moorpark City Transit is anticipating a total fleet of 3 EV buses. Thousand Oaks
shall provide the City of Moorpark space at their Municipal Service Center, located
at 1993 Rancho Conejo Boulevard, for the charging infrastructure for the City of
Moorpark fleet. Funding shall be used to support the construction of dedicated
charging stations for City of Moorpark buses. Construction shall include necessary
trenching, conduit installation, wiring, and charging pedestals.
95
FY 2022-2023
LOW CARBON TRANSIT
OPERATIONS PROGRAM
GUIDELINES
CALTRANS
DIVISION OF RAIL AND MASS TRANSPORTATION
EXHIBIT B
Grant Requirements
96
Low Carbon Transit Operation Program FY 2022-2023 Guidelines
Page 2 of 32
Table of Contents
Eligible Recipients 3
Lead Agency 4
Contributing Sponsor 4
Project Eligibility 6
Allocation Request and Award Requirements 9
Allocation Request Form 9
SB-942 Free & Reduced Transit Programs 10
Authorized Agent Form 11
Certifications and Assurances Form 11
Board Resolutions 11
LCTOP Benefits Calculator Tool 11
CARB Job Co-Benefit Assessment Methodology 12
Bank Account 12
Funding Plan 12
Rollover Projects 13
Allocation Request/Project Award 13
Expending Funds 14
Funds Expiration Calendar 14
Corrective Action Plan 14
Reassigning Funds to a New or Existing Eligible LCTOP Project 15
Interest Earned 17
Letter of No Prejudice 18
LCTOP Annual Calendar 19
LCTOP Allocation Request Submittal 19
Program Compliance and Reporting Obligations 20
Annual Expenditure Record (Caltrans) 20
Project Activity Report 20
Close-Out Report (Lead Agencies) 21
Expenditure Package/Close Out Report 22
Jobs Reporting (Lead Agencies) 23
Project Outcome Reporting 24
Project Audit 24
Site Visits 24
Vision Statement 25
Appendix A 26
Evaluation Criteria for Providing Benefits to Priority Populations 26
Appendix B 27
Alternative Approach D. Common Needs of Priority Populations 27
Appendix C 29
Co-Benefit Assessment Methodology Community Engagement Questionnaire 29
LCTOP Timeline 32
97
Low Carbon Transit Operation Program FY 2022-2023 Guidelines
Page 3 of 32
Summary
The Low Carbon Transit Operations Program (LCTOP) is one of several programs that are part of
the Transit, Affordable Housing, and Sustainable Communities Program established by the
California Legislature in 2014 by Senate Bill 862.
The LCTOP was created to provide operating and capital assistance for transit agencies to
reduce greenhouse gas emissions and improve mobility, with a priority on serving
disadvantaged communities. Approved projects in LCTOP will support new or expanded bus or
rail services, expand intermodal transit facilities, and may include equipment acquisition, fueling,
maintenance and other costs to operate those services or facilities, with each project reducing
greenhouse gas emissions. For agencies whose service area includes disadvantaged
communities, at least 50 percent of the total money received shall be expended on projects
that will benefit disadvantaged communities. Senate Bill 862 continuously appropriates five
percent of the annual auction proceeds in the Greenhouse Gas Reduction Fund (Fund) for
LCTOP, beginning in 2015-16.
This program will be administered by the California Department of Transportation (Caltrans) in
coordination with California Air Resource Board (CARB) and the State Controller's Office (SCO).
Caltrans is responsible for ensuring that the statutory requirements of the program are met in
terms of project eligibility, greenhouse reduction, disadvantaged community benefit, and other
requirements of the law.
The 2022-2023 Low Carbon Transit Operations Program Guidelines (LCTOP) has separated the
legislation pertaining to LCTOP to a separate document. If you need a legislative primer, please
refer to the LCTOP Legislation Document. Please note that the LCTOP Guidelines are
programmatic requirements that apply to all previously awarded projects, projects awarded
within the concurrent year of the guidelines, and qualified lead agencies. Current guidelines
supersede previously published guidelines. Failure to adhere to the administrative requirements
of the LCTOP program due to delinquent reporting, missing financial records, or inability to
complete projects can result in temporary suspension from receiving future appropriations until
all outstanding delinquencies associated with the agencies are resolved. All awarded LCTOP
funds administered from the Greenhouse Gas Reduction Funds (GGRF) are required to be
quantified as stated in the CARB’s funding guidelines prior to the recipient agency being
awarded any funds from LCTOP.
Eligible Recipients
Eligible recipients are transportation planning agencies and transit operators eligible for State
Transit Assistance (STA) funds per Public Utilities Code 99313 or 99314. The State Controller’s Office
(SCO) provides the list of eligible entities and available funding levels each year. (Refer to SCO’s
apportionment announcement here). If an eligible agency cannot use their apportionment for
any reason, please notify a LCTOP Liaison before the Allocation Request deadline. After the
98
Low Carbon Transit Operation Program FY 2022-2023 Guidelines
Page 4 of 32
deadline, any appropriated funds not utilized by an agency will need to be redistributed to
operators within the regional service area. If, after due diligence, there are no other agencies
in the region that can use those funds, then the funds may be allocated to agencies outside of
the regional service area. All recipient agencies, both the Lead Agency and Contributing
Sponsor, must comply with the California Air Resources Board (CARB) Funding Guidelines. The
Funding Guidelines include requirements for reporting, recordkeeping and other activities
designed to provide accountability and transparency.
Lead Agency
The Lead Agency is an eligible recipient of LCTOP funds that is responsible for overseeing or
performing all work on a project from request to final reporting. The lead agency receives all
funds directly from the State Controller’s Office (SCO) and is accountable for all project and
program reporting requirements. These include but are not limited to the following tasks:
1. Submitting completed allocation request packages during the open call for projects that
meet all statutory disadvantaged community, low-income community, and/or low-
income household requirements, where applicable.
2. Oversight and/or performance of all work from the receipt of funding through the
completion of the project.
3. Submitting all required project reporting including the annual Project Activity Report,
Close-Out Report, Expenditure Report, Jobs Reporting, and Outcome Reporting.
4. All required program documentation includes but not limited to: Corrective Action Plans,
Project Audits, Transportation Development Act Audits, and any additional information
requested. Please review the Reporting section for greater detail.
5. Attend annual LCTOP Guidelines Workshops and Allocation Request Workshops, either in
person or virtually.
Contributing Sponsor
The Contributing Sponsor(s) is an agency that redirects funds to the Lead Agency to support a
project. The Contributing Sponsor(s) may be either the regional entity (PUC 99313) redirecting
funds to a recipient agency within their region or a recipient agency (PUC 99314) redirecting
funds to either a regional entity or another recipient agency within their region. If a Contributing
Sponsor(s) has a DAC within its jurisdiction, at least 50% of the transferred funds must be utilized
within a DAC and meaningfully address an important community transit need.
The California Department of Transportation (Caltrans) is not responsible for tracking funding
agreements (borrowing, loaning, delegating, relinquishing funds, etc.) between Lead Agencies
and Contributing Sponsors(s). Contributing Sponsors must transmit a letter on agency letterhead
stating how much funding and which funding type (99313 or 99314) will be contributed to the
Lead Agency for use. Caltrans will track allocation amounts to ensure funding is accurate per
regional apportionment and track the Contributing Sponsor(s) letter of agreement to pass their
funds to the Lead Agency who will carry out the project requirements.
All recipient agencies, both the Lead Agency and Contributing Sponsor, must comply with the
California Air Resources Board (CARB) Funding Guidelines. The CARB Funding Guidelines include
99
Low Carbon Transit Operation Program FY 2022-2023 Guidelines
Page 5 of 32
requirements for reporting, recordkeeping and other activities designed to provide
accountability and transparency. Please note CARB Funding Guidelines are mandated
administrative requirements for LCTOP.
100
Low Carbon Transit Operation Program FY 2022-2023 Guidelines
Page 6 of 32
Project Eligibility
The Low Carbon Transit Operations Program (LCTOP) was created to provide operating and
capital assistance for transit agencies to reduce Greenhouse Gas (GHG) emissions and improve
mobility, with a priority on serving disadvantaged communities (DACs). Per Public Resource
Code 75230 (f) (1-3), monies for the program shall be expended to provide transit operating or
capital assistance that meets any of the following:
1. Expenditures that directly enhance or expand transit service by supporting new or
expanded bus or rail services, new or expanded water-borne transit, or expanded
intermodal transit facilities, and may include equipment acquisition, fueling, and
maintenance, and other costs to operate those services or facilities.
2. Operational expenditures that increase transit mode share.
3. Expenditures related to the purchase of zero-emission buses, including electric buses,
and the installation of the necessary equipment and infrastructure to operate and
support these zero-emission buses.
The California Department of Transportation (Caltrans), in coordination with California Air
Resources Board (CARB) will review each project to determine if the project supports at least
one of the above-listed criteria, decreases GHG emissions, and benefits low-income households,
low-income communities and/or a DAC (also known as Priority Populations).
Please note any request or expense specifying a stage prior to construction will not be accepted
under the program. Agencies that attempt to submit projects before planning or design phases
are finished will not be approved.
NEW! Removal of Five-Year Limit on Operations Projects (Effective as of 2023)
Previous cycles only allowed LCTOP funding for new or expanded bus or rail services, new or
expanded water-borne transit, free-fares, reduced fares, or expanded intermodal transit
facilities for the first five (5) years from the date of its implementation. This restriction has been
removed.
Agencies are allowed to resubmit an operation project Allocation Request with the same
project scope as a prior year without having to change its specifications. This rule applies for
operations projects awarded prior to the new announcement. For any operations project that
is consistent year over year, please ensure project names (i.e., title on the Allocation Request)
are consistent and labeled with the corresponding year it is in (e.g., Year 1, Year 2, etc.).
Agencies must expend all their operating funds and obtain confirmed proof of a close-out report
from an LCTOP staff member before submitting a new application for funds on their operations
project. Priority should be given to finishing projects that date back to the earliest fiscal year.
The same rules and conditions apply to SB-942 projects.
101
Low Carbon Transit Operation Program FY 2022-2023 Guidelines
Page 7 of 32
Priority Population Identification
The priority populations in California are disadvantaged communities, low-income communities,
and/or low-income households. Senate Bill (SB) 535 and Assembly Bill (AB) 1550 direct State and
local agencies to make investments that benefit these populations. Residents of the following
"priority populations" are included: (1) census tracts identified by the CalEPA as being
disadvantaged under SB 535; (2) census tracts identified as being low-income under AB 1550;
or (3) a low-income household under AB 1550. The Lead Agency will document and select the
appropriate information to show their project meets all DAC and AB 1550 population
requirements by:
● Being physically located in an AB 1550 community census tract or benefit a low- income
household; and
● Meaningfully address an important community or household need; and
● Providing direct, meaningful, and assured benefits to an AB 1550 population, consistent
with the criteria in the California Air Resources Board (CARB) Funding Guidelines (see
Appendix A).
● Provide a map(s)depicting their project in relation to the AB 1550 Population; identify
the latitude and longitude coordinates of their specific project location in the Allocation
Request
● In an effort to meet SB 535 and AB 1550 requirements, maps identifying a DAC and or
low-income community are available at: SB 535 Interactive Map 4.0
https://oehha.ca.gov/calenviroscreen/report/calenviroscreen-40 A “look-up” tool and
list of Housing and Community Development’s “low- income” threshold by county and
household size are available at https://www.hcd.ca.gov/docs/grants-and-
funding/inc2k22.pdf
Addressing an Important Need for a Community or Household
LCTOP’s goal of funding projects that provide direct, meaningful, and assured benefits towards
Priority Populations extends beyond the legislative requirements of SB 535, AB 1550, and SB 862.
(For evaluation criteria of benefits, see Appendix A and Appendix B.) Program staff encourage
recipient agencies to coordinate internally with their planning, outreach, or marketing staff to
provide comprehensive qualitative or quantitative information that details (including but not
limited to) community engagement, prioritized planning towards Priority Populations, or any
other internal process or procedures that capture the intentional efforts dedicated towards
funding the project. Applicable projects shall specify how the investment will result in benefits
that meaningfully address an important community or household need(s).
Compliant with CARB’s Funding Guidelines, project leads must use at least one of the four
approaches as described in Step 2 of the Sustainable Transportation Benefit Criteria Tables
(Appendix A) to determine community or household need. These approaches include:
102
Low Carbon Transit Operation Program FY 2022-2023 Guidelines
Page 8 of 32
1. Recommended Approach: Host virtual or in-person community meetings, workshops,
outreach efforts, or public meetings as part of the planning process to engage residents and
community groups for input on community or household needs, and document how the
received input was considered in the design and/or selection of projects to address those
needs.
2. Recommended Approach: Receive documentation of support from local community-based
organizations and/or residents (e.g., letters, emails) identifying a need that the project addresses
and demonstrates that the project has broad community support;
3. Alternative Approach: Where direct engagement is infeasible, look at the individual factors
in CalEnviroScreen 4.0 that are most impacting an identified disadvantaged or low-income
community (i.e., factors that score above the 75th percentile), and confirm that the project will
reduce the impacts of at least one of those factors; or
4. Alternative Approach: Where direct engagement is infeasible, refer to the list of common
needs for Priority Populations in CARB’s Funding Guidelines Table 5 and confirm that the project
addresses at least one listed need.
LCTOP staff advises eligible agencies to utilize the second or third recommended approaches
above to determine the needs of the Priority Populations. The program funds should result in
benefits that either address an important need commonly identified by DAC and/or low-
income residents or address a key factor that caused the area(s) to be identified as a DAC or
low- income community, as described above. Please refer to CARB’s Funding Guidelines for a
detailed description of the need’s identification process.
In addition, Lead Agencies must utilize the Community Engagement Co-Benefit Assessment
Methodology. This is provided as Appendix C within these guidelines, as well as the Allocation
Request Supplemental Guidance, and online at the California Climate Investments Co-Benefits
website: https://www.cdfa.ca.gov/oefi/ddrdp/docs/final_communityengagement_am.pdf
Lead Agency would assess their level of community engagement as High, Medium or Low
based on a series of questions and then assess the response.
103
Low Carbon Transit Operation Program FY 2022-2023 Guidelines
Page 9 of 32
Allocation Request and Award Requirements
This section will highlight how an agency should submit their allocation request and the
requirements for the awarded projects that the Lead Agency and Contributing Sponsor(s) must
comply with. Please note: The allocation request will be treated in accordance with the Public
Records Act requirements and that certain information, subject to those requirements, may be
publicly disclosed. To further support these requirements, the initial Awarded Project List is posted
annually to the Low Carbon Transit Operations Program (LCTOP) website. LCTOP is a formulaic
program and LCTOP staff provide technical assistance to lead agencies on a first-come-first-
serve basis when preparing allocation requests during the optional draft review period. If
agencies intend to submit draft Allocation Requests, they should first consult with their liaison.
LCTOP staff will also host workshops for agencies on how to complete the Allocation Request
and post sample project types for reference.
Allocation Request Form
The Lead Agency must submit an Allocation Request annually to the California Department of
Transportation (Caltrans) for each proposed project it intends to fund with LCTOP. The LCTOP
Allocation Request is the basis for Caltrans’ verification that the project is consistent with LCTOP
requirements. The Allocation Request package consists of an Excel document containing
multiple worksheets (Allocation Request, QM-Tool, Lat-Long, Map), a Word document that
includes the Signature Pages (Authorized Agent, Certifications and Assurances, and sample
Board Resolution).
Within the Allocation Request form, agencies must provide project information, project sponsors,
detailed description of the project’s major benefits, project schedule, etc. This also includes a
detailed account of the project funding with an itemized list of all funding sources depicting the
full scope of project costs. If the Lead Agency is leveraging or pursuing funds from multiple
sources of Greenhouse Gas Reduction Fund (GGRF) dollars, the sources should be described in
detail and by fiscal year to ensure benefits are attributed accurately to each program. To ensure
that LCTOP expenditures are not supplanting existing transit funding sources, a recipient agency
receiving LCTOP funds shall certify that the funds will not be used to pay for existing expenditures.
Caltrans may audit recipient agencies to determine whether LCTOP funds are being used to
supplant funding. If Caltrans determines that an agency is in fact supplanting with LCTOP funds
or using funds beyond what is permissible, agencies will be notified via certified mail.
A complete Allocation Request must be submitted annually to receive an apportionment
except for Allocation Requests formerly submitted under SB 942. A Lead Agency may only
submit the Allocation Request during the annual call for projects and must be submitted by the
final due date. This will allow the State to release funds annually to the Lead Agency’s bank
account where funds could potentially accrue interest. Agencies who do not submit an
Allocation Request will not have apportionments held or carried over into the following year for
them. LCTOP will not accept late submissions of Allocation Requests. Agencies will have two
options if they miss the deadline or do not submit an Allocation Request: (1) LCTOP has the
104
Low Carbon Transit Operation Program FY 2022-2023 Guidelines
Page 10 of 32
discretion to redistribute the apportionment to an eligible agency within or outside their region
that has submitted their Allocation Request on time or (2) become a Contributing Sponsor.
LCTOP will communicate with the agency regarding the two options above. All unallocated
funds in the award year will be repurposed back to LCTOP for the following year.
Contributing Sponsors must transmit a signed letterhead to accompany the Lead Agency’s
Allocation Request indicating the dollar amounts to be contributed to the project. If there are
multiple Contributing Sponsors, each sponsor must submit a signed letter with the required
information as described above.
SB-942 Process for Free or Reduced Fare Transit Programs
The LCTOP Guidelines designates the program and reporting requirements that agencies must
adhere to and the time of the guidelines being published.
The new precedent for agencies using the SB 942 Allocation Request process allows transit
agencies to use an alternative application submittal procedure for eligible free fare and
reduced fare projects.
SB 942 allows transit agencies to apply for three years of funding for free/reduced fare projects,
with just one initial Allocation Request. The bill allows transit agencies using funds from a previous
fiscal year to use the subsequent funding to support operational assistance for a future fiscal
year as long as the transit agency can demonstrate reductions in emissions of greenhouse gasses
and without any restrictions to the length of time. The bill does not allow for agencies to bypass
using the CARB QM tool, Jobs Calculator, or GHG Calculator to quantify the benefits of a lead
agency’s project to receive their new apportionments for concurrent or future fiscal years. Per
CARB’s funding guidelines, all GGRF funds must be quantified prior to award. The LCTOP
program cannot allocate non-quantified GGRF funds directly to a transit agency. For SB 942
projects, transit operators must commit all their LCTOP funds up front in their initial submittal for
their free or reduced fare project, and then provide subsequent reporting information for the
remaining three years.
Currently auction proceeds are not announced three years in advance and all allocated GGRF
funds administered from LCTOP must be quantified by the CARB GHG Calculator tool and
Quantification Methodology.
For SB 942 projects, the recipient transit agency shall submit to liaisons an initial Allocation
Request that meets all requirements in terms of project eligibility, GHG reductions, improved
mobility, and DAC benefits. After submission, the recipient transit agency will not be required to
submit additional Allocation Requests for the next three fiscal years but shall still be required to
provide reporting documentation necessary to meet program qualifications and to begin the
operating subsidies within 6 months of the award date.
105
Low Carbon Transit Operation Program FY 2022-2023 Guidelines
Page 11 of 32
Agency Requirements specific to SB 942:
1. Authorized Agent Form Agencies have 3 years including the initial year of allocated
funds to expend their LCTOP funds.
2. Only eligible to use the requested total of LCTOP funds in their initial Allocation Request
submittal.
3. In the Allocation Request, specify ‘Yes’ if the operation project uses SB 942.
The executive authority of an eligible recipient of LCTOP funds must submit to Caltrans a signed
and dated Authorized Agent form that is Board-approved, identifying the agent(s) given
authority to act for the executive authority to submit the Allocation Request form and all
reporting documents. If there is a change in the Authorized Agent(s), the eligible recipient must
submit a new form. Otherwise, a previous year Authorized Agent form may be submitted. This
form is required even when the Authorized Agent is the executive authority.
Certifications and Assurances Form
The Authorized Agent for the Lead Agency must sign and submit, with their Allocation Request,
a self-certification that the Lead Agency will meet all requirements of the LCTOP Guidelines,
including all reporting deadlines.
Board Resolutions
The Resolution must include a description of the project, the amount of LCTOP funds requested,
identification of any DAC and/or Low-Income communities project requirements, and a list of
Contributing Sponsors in the publicly approved project Board Resolution. This Resolution is crucial
and demonstrates the project was publicly reviewed. LCTOP staff strongly recommends utilizing
the sample Project Board Resolution to ensure all language is captured. A Lead Agency may
combine multiple LCTOP projects on one resolution, however, each project must be listed
separately or bulleted with the allocated dollar amounts and project name. If the project is an
approved roll-over from the previous year, an updated Resolution is required annually per
project. Only Allocation Request packets with all required and completed signature forms will
be accepted. Draft Board Resolutions are acceptable in the interim of official Board approval.
LCTOP Benefits Calculator Tool (QM)
Allocation Requests must use the corresponding California Air Resources Board (CARB)
approved Benefits Calculator Tool (QM) to calculate the estimated greenhouse gas (GHG)
emission reductions associated with a proposed LCTOP project. This tool will provide a uniform
approach to quantify GHG emission reduction in metric tons of carbon dioxide equivalent. All
projects must net a positive emissions reduction to qualify for approval.
This tool will use project level data specified within the Allocation Request for estimated ridership
increases and corresponding Vehicle Miles Traveled (VMT) reductions. The QM also estimates
the following selected co-benefits and key variables from LCTOP projects: reductions in
criteria and toxic air pollutants (in tons), including diesel particulate matter (PM), nitrogen
oxide (NOx), reactive organic gasses (ROG), fine PM less than 2.5 micrometers, passenger
106
Low Carbon Transit Operation Program FY 2022-2023 Guidelines
Page 12 of 32
VMT reductions (in miles), fossil fuel use reductions, renewable energy generated in kilowatt
hours (kWh), fossil fuel energy use reductions (kWh), travel cost savings ($), energy savings,
and fuel cost savings ($). LCTOP staff will integrate the QM into the Allocation Request for a
streamlined approach to submit project requests. Please find the QM (as a stand-alone) and
corresponding documents (PDF instructions and Excel based tool) online at:
www.arb.ca.gov/cci-quantification.
CARB Job Co-Benefit Assessment Methodology
Allocation Requests must utilize the CARB Job Co-Benefit Assessment Methodology to estimate
jobs supported by California Climate Investments (CCI) projects. A job is defined as a full-time
equivalent (FTE) employment of one person for one year. These jobs supported by an LCTOP
project include direct, indirect, and induced employment. This tool will be integrated by LCTOP
staff into the Allocation Request to provide a uniform approach to model jobs support for all
CCI. LCTOP staff integrated this tool into the Allocation Request to streamline the submittal
process. The tool can be found as a stand-alone tool at:
https://ww2.arb.ca.gov/resources/documents/cci-methodologies.
Bank Account
Once an Allocation Request is approved, the State Controller’s Office (SCO) will release the
allocation amount to the Lead Agency. The Lead Agency must deposit funds into a dedicated
bank account that will hold only LCTOP funds. If a separate account is not possible, the agency
must show documents of a line item or subaccount dedicated to LCTOP funds.
Funding Plan
Within the Funding Plan of the Allocation Request, recipients must certify that each project
seeking LCTOP funds does not supplant another source of funds and that the project must begin
expending LCTOP funds within 6 months of award (for rollover projects, within 6 months of final
award). Lead Agencies cannot expend LCTOP funds on cost incurred before LCTOP
award/approval without an approved Letter of No Prejudice. If LCTOP identifies a project that
has not abided by the above terms after it has been awarded funds, delinquent reporting can
lead to a hold on future allocations until outstanding reporting issues are addressed. Therefore,
it is incumbent upon agencies to thoroughly plan projects prior to submitting a request for LCTOP
funds. Any request or expenditure identifying a phase before construction will not be eligible for
the program. Agencies that attempt to submit projects before planning or design are
completed, will not be accepted and are subject to having their allocated funds transferred if
they do not have a project that meets the eligibility requirements. The program is not based on
reimbursements.
SB-942 projects are required to commit their apportionment concurrent to the initial submittal of
their SB-942 project and spend all LCTOP funds within three (3) years.
● Apart from projects accumulating rollover funds, all projects are to start within 6 months
of the award date. Anything that initiates a project (e.g., place a bid/order, procurement
of equipment, routes begin services, ready for construction or new installations)
107
Low Carbon Transit Operation Program FY 2022-2023 Guidelines
Page 13 of 32
constitutes a start to a project.
Rollover Projects
If the Lead Agency is not prepared to initiate a fully planned project in the current fiscal year, it
may roll funds over into a subsequent fiscal year, accruing a maximum of 4 years of LCTOP funds
for a more substantial project. Regardless of the number of years, agencies have a maximum of
4 years that an agency plans to accrue or rollover funds for a project; each project ID is viewed
as one project. Rollover projects must be completed and fully expend funds within the
subsequent 4 years from the final rollover year. Please note that the clock does not restart when
rollover funds are transferred. The money allocated to the new project must be expended within
the time frames stipulated in the initial funding allocation.
If the Lead Agency intends to roll over funds or hold funds for a more substantial project, a
complete Allocation Request package must be submitted during each fiscal year. If the Lead
Agency fails to submit an allocation for a planned rollover, the project must begin immediately
without further LCTOP funding. Unrequested funds will not be held by the State for a future
request. The Allocation Request must list any prior year’s funds, the current year funds, and the
estimated additional year(s) so the total LCTOP fund use is documented. The total project cost
must be identified in the first year of roll over, with the total LCTOP contribution determined. Any
request to increase the project costs must be justified with increased GHG benefits via a
Corrective Action Plan (CAP). After a project is fully reviewed and approved, the SCO will
release the requested funds to the Lead Agency to be deposited in the dedicated LCTOP bank
account. Upon receipt of the final year’s funding, whether 4 years or less, the agency will have
six months to begin the project.
Allocation Request/Project Award
LCTOP staff will review submitted Allocation Requests and contact Lead Agencies as needed
for clarification and/or revisions. CARB staff concurrently review each request. If CARB staff have
comments or concerns, LCTOP staff will work with Lead Agencies to address these and make
necessary revisions. If Lead Agencies do not make necessary revisions to the submitted
Allocation Request, the project will not be awarded. LCTOP staff will document and
communicate early on with the Lead Agency on why Allocation Requests are not moving
forward for award. Allocation Requests will be awarded if they meet all criteria after the review
and approval from LCTOP and CARB staff.
LCTOP staff will compile and send the final project list to the State Controller’s Office (SCO) for
award. The SCO will announce the awarded projects and transmit direct payment to Lead
Agencies. Following SCO’s announcement, Caltrans will post a press release and send award
letters to Lead Agencies. This award letter will detail the project information and include the
LCTOP assigned project identification number. Lead Agencies will use this number for the life of
the project for all reporting.
108
Low Carbon Transit Operation Program FY 2022-2023 Guidelines
Page 14 of 32
Expending Funds
Lead Agencies must expend funds on approved final projects in a timely manner. Awards for
fiscal years 15/16 and 16/17 had three years to be expended. As of FY 17/18 and beyond, Lead
Agencies have 4 fiscal years from the project award date to expend funds.
Lead Agencies cannot expend LCTOP funds on costs incurred prior to LCTOP award/approval.
Pre-revenue costs are not permitted for LCTOP operations projects. This is not a reimbursement
program; funds are awarded annually upfront for expenses approved and outlined in the
Allocation Request that are to be incurred after the project is awarded. Lead Agencies shall not
exceed 10% of allocated funds to a marketing component of LCTOP projects and are
encouraged to utilize as much of the awarded funds to benefit a DAC.
Funds Expiration Calendar
Award Year Expiration Date
Project funds awarded in FY 15/16, 16/17, & 17/18 are now expired, and projects should be
completed. Please contact your LCTOP Liaison to submit the close-out documents.
FY 15/16 June 30, 2019
FY 16/17 June 30, 2020
FY 17/18 June 30, 2022
Please Note: The expiration of funds for projects awarded FY 17/18 onwards is 4 years. For
rollover funds, the countdown of 4 years begins the last rollover year that funds accrue.
FY 18/19 June 30, 2023
FY 19/20 June 30, 2024
FY 20/21 June 30, 2025
FY 21/22 June 30, 2026
FY 22/23 June 30, 2027
Corrective Action Plan (Lead Agencies)
To change an approved Allocation Request, including any changes to the original approved
scope of work or LCTOP funding, the Lead Agency must obtain a Corrective Action Plan (CAP)
approval. This must be done before funds can be applied to any use other than the current
project’s approved scope of work. Funds may not be used on an alternate project until the CAP
has been submitted and approved. If the scope of work changes the type or level of benefits,
the changes must also be reflected in the benefit description, with revised estimates of benefits
listed. If there are significant changes to the project, a revised QM may be requested to
demonstrate a reduction in GHG emissions.
If Caltrans staff determine that an agency has repeatedly demonstrated the inability to
complete awarded projects or over-reliance on reassigning project funds without completing
projects, then the agency will be placed on the high-risk list and may be subject to a spot audit.
Agencies who fail to submit CAP revisions as requested by Caltrans staff in a timely manner
and/or are delinquent in other required reports and submittals, will not receive further allocations
109
Low Carbon Transit Operation Program FY 2022-2023 Guidelines
Page 15 of 32
of LCTOP funds until all delinquent items have been submitted and approved.
If the Lead Agency is submitting a CAP that exceeds $100,000 of LCTOP funds, the agency will
need to submit a draft Board Resolution along with the CAP. Once the CAP is approved, the
Lead Agency will need to submit the final approved Board Resolution along with the CAP.
LCTOP is asking the agency to be transparent and to inform their board members of changes
to the original approved LCTOP project. The project change may not move forward until
Caltrans has approved the CAP. If it is discovered that an agency has begun spending funds on
a task or project outside the approved scope of work prior to submitting a CAP and prior to
Caltrans approval of the CAP, the agency will be placed on the delinquent list. The State is
entitled to recover all funds that are spent on ineligible expenses.
Corrective Action Plan Rules
1. CAPs cannot be submitted during a call for new projects and the Allocation Request review
cycle despite the circumstances (See LCTOP 2023 Timeline on page 32). Transit agencies are to
meet with the LCTOP liaison to discuss project issues or delays before or after the review cycle.
2. Multiple CAPs received from agencies will be reviewed by the LCTOP Liaison in the order
received. Agencies may also be asked, at the discretion of the LCTOP Liaison, to consolidate
requested changes associated with all relevant projects onto one CAP.
3. LCTOP will not accept CAPs submitted from agencies that attempt to split funds between
multiple approved LCTOP projects.
4. LCTOP funds can be requested to be returned if no viable project can be found. Please note
that project funds associated with SB 942 projects can only be transferred out of the project if
the agency plans to cancel the entire project in full. Any cost-savings left over after the project
is canceled could be requested to return to the LCTOP program depending on the delinquent
status of the agency or if the agency has no viable projects.
Notice: Agencies who have not fully expended awarded funds within the expenditure
timeframe could be required to return the remaining unused funds to LCTOP depending on the
agency's delinquent status or if they choose not to contribute their unused funds to another
agency.
Reassigning Funds to a New or Existing Eligible LCTOP Project
Lead Agencies may find that they have residual funds at the completion of an approved LCTOP
project or they may determine that the funded LCTOP project is no longer a high priority or
feasible. As a result, the Lead Agency may apply to reassign funds to a different approved
LCTOP project. A Corrective Action Plan (CAP) along with a completed Close-Out Report (COR)
must be submitted for the original project. If the project is completed and there are residual
funds, an agency should include the proposed use for the residual funds as part of the required
COR. Projects with Contributing Sponsor funds must obtain approval/acknowledgement from
110
Low Carbon Transit Operation Program FY 2022-2023 Guidelines
Page 16 of 32
the sponsor on the new use of the funds. If the use of residual funds has not yet been determined,
Caltrans staff shall treat the project as on-going (incomplete) until the agency identifies an
eligible LCTOP project to receive the residual funds. If the agency elects to reprioritize eligible
projects and redirect approved LCTOP funds to an alternate project, a CAP for the original
project must also be submitted. The alternate project must also be approved by Caltrans, with
concurrence from CARB. If the alternate project is not a previously approved LCTOP project,
the Lead Agency must submit a completed Allocation Request during the next call for projects
and comply with all the requirements.
Reassigning Funds to a NEW Eligible LCTOP Project:
1. Reassigning funds to a NEW eligible LCTOP project may not occur during a call for new
projects and the Allocation Review cycle (See LCTOP Timeline page 32).
2. The Lead Agency must submit a CAP for the project that will no longer be using LCTOP
funds. The justification should include a description of the project that will receive the
reassigned funds and reference the fiscal year of the new project.
3. If the reassigned funds have been accrued from a project within a DAC, the reassigned
funds may only be applied to another project with DACs. These projects must meet
legislative requirements as stated in Assembly Bill 1550 or Senate Bill 1119. Please note: The
funds being reassigned are tied to the funding year of the award.
4. The Allocation Request for the reassigned funds should be treated the same as an
Allocation Request submitted for new funding, and all required documents must be
submitted in the same manner.
5. The new project must expend the funds within the time limits of the original allocation of
funds.
6. If there are any Contributing Sponsors to the reassigned funds, the Lead Agency must
obtain approval from the Contributing Sponsor for the change in use of their funds. This
may be documented by adding a signature to the CAP or including a signed letter from
the contributor’s indicating agreement to the use of their funds.
7. The new Allocation Request must have all the authorized signatures of the same agencies
as the original project, indicating all Contributing Sponsors are aware of the new use of
their contributed funds.
8. The Lead Agency may not expend any funds on the new project before receiving written
approval from Caltrans.
Reassigning Funds to an EXISTING LCTOP Project:
1. Reassigning funds to an EXISTING LCTOP project may not occur during a new call for
projects and the Allocation Review cycle.
2. The justification should list the project that will receive the reassigned funds and include
the project ID number listed on the award letter.
111
Low Carbon Transit Operation Program FY 2022-2023 Guidelines
Page 17 of 32
3. The reassigned funds must be expended within the time limits of the original allocation of
funds.
4. If there are any Contributing Sponsors to the reassigned funds, the Lead Agency must
obtain approval from the Contributing Sponsor for the change in use of their funds.
5. At the discretion of LCTOP staff, Lead Agencies are limited to two fund transfers per fiscal
year (July 1st – June 30th). If an agency is delinquent on reporting or expenditure of funds,
then CAPs can be denied until all outstanding delinquencies are met. The transfer is also
limited to 3 funding years and agencies are required to provide a financial statement
showing the LCTOP balance before the transfer. LCTOP will provide additional flexibility in
project delivery where possible to realistically account for COVID impacts on transit
operation and operating changes in the post COVID environment. COVID driven
changes could be what falls under the exception, but LCTOP has the right to reject CAPs
within reason.
Interest Earned
Interest on LCTOP funds must be used similarly as the principal. Interest remaining after a project
has been completed can only be applied to another approved LCTOP project. Any unused
interest not applied to a current project may be applied to a proceeding project on the next
Allocation Request cycle. This interest clause applies retroactively to all interest funds that have
been currently accrued. If interest is added to a new project during the Allocation Request
cycle, it should be added in the "Prior column/Other Funds" field of the Allocation Request form.
Annual Project Activity Reports will now include an explicit input for accrued interest. The close-
out report must include information about the source and exact amount of interest used on a
project.
As of 2022, LCTOP is tracking interest across all awarded projects, both operation and capital.
Agencies will be required to provide financial records for their interest accrued or will not be
eligible to come in for future funds until the documents have been provided. LCTOP Liaisons are
entitled to request further documentation from transit agencies, conduct audits, and set up
meetings with transit agencies and any stakeholder(s) tied to LCTOP funds. Moreover, agencies
are held accountable for interest accrued from LCTOP awards prior and hereafter this new
policy.
Interest accrued on LCTOP funds are subjected to the same statutory funding requirements and
fall within the purview of LCTOP guidelines, monitoring and reporting. Listed below are the are
CAP that require a prior meeting with LCTOP staff before an agency can submit the request:
● Request to transfer interest if there are currently four or more open projects with Capped
funds.
● Splitting lump sums.
● Transferring funds to other transit agencies.
112
Low Carbon Transit Operation Program FY 2022-2023 Guidelines
Page 18 of 32
Letter of No Prejudice
A Lead Agency may apply for a Letter of No Prejudice (LONP) in advance for an eligible
expenditure under LCTOP. Caltrans will thoroughly review the agency's LONP request and
subject the agency to future callbacks based on historical record of project completeness to
ensure the LONP is not proposing to supplant funds and that LCTOP funds are spent on eligible
project costs. The LONP is necessary as LCTOP provides upfront project funds. If approved by
Caltrans, the LONP will allow the Lead Agency to expend its own money for the project and be
eligible for future reimbursement from monies available for the program. The amount expended
shall be reimbursed by the State from funds available to the program if all the following
conditions are met:
1. The project or project component for which the LONP was requested has commenced
and the regional or local expenditures have been incurred.
2. The expenditures made by the Lead Agency are eligible expenditures under the
program. If the expenditures made by the Lead Agency are determined to be ineligible,
Caltrans has no obligation to reimburse those expenditures.
3. The Lead Agency complies with all legal requirements for the project, including the
requirements set forth by the California Environmental Quality Act (CEQA).
4. There are funds in the Greenhouse Gas Reduction Fund (GGRF) designated for the
program that are sufficient to make the reimbursement payment.
The Lead Agency and Caltrans will enter into an agreement governing the potential
reimbursement. The timing and final amount of the reimbursement shall be dependent upon
the terms of the agreement and the availability of funds in the GGRF for the program. The
“reimbursement” will take place in the form of a submitted and approved Allocation Request
that would take place at the next available submittal and award period.
Please be advised that LCTOP funding is not guaranteed and fluctuates per quarterly auction.
The Lead Agency should calculate the estimated project GHG emissions reduction to ensure
final project approval by CARB and Caltrans with an approved Benefit Calculator (QM Tool).
113
Low Carbon Transit Operation Program FY 2022-2023 Guidelines
Page 19 of 32
LCTOP Annual Calendar
Allocation Request Schedule
● Caltrans posts LCTOP Guidelines FY 2022-2023 January 2023
● LCTOP Staff will release Allocation Request template January 2023
● LCTOP optional draft Allocation Request window opens early Jan – late Feb 2023
● LCTOP Allocation Request Workshop #1 January 24th held in Pasadena
● LCTOP Allocation Request Workshop #2 February 22nd held Online
● SCO releases Apportionment Announcement for the fiscal year February 2023*
● Call for projects announced in conjunction with SCO Apportionment Announcement
● Transit agencies submit Final Allocation Requests to Caltrans March 2023*
● Caltrans and CARB approve the list of approved projects and submit to SCO late-June
2023*
● SCO releases approved project amounts to recipients by June-July 2023*
● LCTOP Project Activity Reports Due October 27, 2023
*Subject to Change
Reporting Schedule
Project Activity Reports are required on an annual basis and due on October 27th which will cover
project activity from October 1st, 2022, to September 30th, 2023.
LCTOP Allocation Request Submittal
The Lead Agency must submit an Allocation Request to receive the annual apportionment.
Funding amounts will not be held or saved for a future year’s request. LCTOP will not accept late
submission of Allocation Requests. The following documents are required and must be submitted
electronically to Caltrans:
● Allocation Request Form (all green tabs of the Excel)
● Signed Authorized Agent Form (PDF)
● Signed Certifications and Assurances (PDF)
● Approved Board Resolution (PDF)
● Contributing Sponsor Letters (PDF)
● Supporting Documents (Title VI concur letter, KMZ or GIS files, etc.)
The Lead Agency must submit one Allocation Request package per email. The subject line of
the email should read: Agency Name, Caltrans District, title of project, and number of projects.
For example, it could read: YCTD D3 Free Fare project (1 of 2)
During the Allocation Review cycle, it is not acceptable for agencies to submit multiple
Allocation Requests for liaisons to review before deciding which one to apply LCTOP funds
towards. Agencies must submit only final projects that they plan to follow through on and begin
expending LCTOP funds within 6 months of award (for rollover projects, within 6 months of final
award). If LCTOP identifies a project that has not abided by the above terms after it has been
114
Low Carbon Transit Operation Program FY 2022-2023 Guidelines
Page 20 of 32
awarded, the project funds will be reallocated or rescinded.
Hard copies mailed to LCTOP are no longer accepted. Please email all the required documents
outlined above by the due date to LCTOPcomments@dot.ca.gov.
Program Compliance and Reporting Obligations
All programs funded by the Greenhouse Gas Reduction Fund (GGRF) must report annually. The
California Department of Transportation (Caltrans) must complete and submit documentation
to the California Air Resources Board (CARB) who will then compile all program information and
submit reports to the Department of Finance (DOF) who will then finalize the report to the
Legislature. This section will highlight all the reporting requirements that Caltrans and transit
agencies (Lead Agency) must complete for CARB to report accurately. Lead Agencies should
track metrics in accordance with CARB Funding Guidelines for all projects. Samples of reporting
templates are available upon a request to the Low Carbon Transit Operations Program (LCTOP)
staff. Agencies that do not meet Greenhouse Gas (GHG) emission reductions, supplant funds,
do not deliver the agreed-upon project, or expend funds within 4 years of receipt of the final
funds, are at risk of not receiving future LCTOP funds.
Annual Expenditure Record (Caltrans)
Per the 2018 CARB Funding Guidelines, Caltrans must complete and maintain an Expenditure
Record and Attestation Memorandum. The Attestation Memorandum must be signed by the
Agency Secretary and Department Director (or equivalent) affirming that the Expenditure
Record was prepared according to the requirements of Senate Bill 1018 (SB 1018) and the 2018
Funding Guidelines. An Expenditure Record is prepared for a program, not for individual
projects. It provides elements that describe the proposed use of monies and must be submitted
prior to the expenditure of those monies for projects. The Expenditure Record is a critical first step
in the tracking and reporting process to ensure that all California Climate Investments (CCI)
meet statutory requirements and further the purposes of Assembly Bill 32 (AB 32) and related
amendments. The Expenditure Record must be updated, as outlined in CARB’s Funding
Guidelines, to accurately reflect the LCTOP design and implementation, as it serves as a
valuable tool for maintaining accountability throughout the life of the projects funded by the
appropriation.
Project Activity Report
The project’s Lead Agency is required to report annually to Caltrans on the activities and
progress of each awarded project. The Lead Agency must ensure that activities funded from
the auction proceeds are timely, within approved scope and cost, are reducing GHG emissions,
and are achieving the intended purpose for which they are to be utilized. The Lead Agency
must notify Caltrans when the allocated LCTOP funds have been encumbered and must
provide completed and signed Annual Reports every twelve months until an approved project
is completed, and the project Close-Out Report has been submitted and approved. If the
project schedule is being revised to reflect any delays or obstacles, an adequate justification
115
Low Carbon Transit Operation Program FY 2022-2023 Guidelines
Page 21 of 32
must be given and the amended LCTOP project completion date must fall within the
appropriate timelines.
Project Activity Reports are due on October 27th will cover project activity from October 1st, 2022,
to September 30th, 2023. This report must contain accurate and up-to-date information on the
progress of each project. Reports will only be accepted by Caltrans staff when determined to
be complete and accurate. Please note, all open projects are subject to requests for reporting
and back-up documentation from LCTOP Liaisons. This cannot be negotiated.
Lead Agencies are required to document information such as when the project started, the
anticipated end date, percentage of project completion, and benefit to the priority population.
Should a project experience any delays, the cause of such delay must be indicated on the
report. If projects have not begun within six months of the project becoming fully funded, the
report must include a clear description of the circumstances delaying the project, which leaves
no question that the circumstances were unforeseen, extraordinary, and beyond the control of
the agency. The description must include information indicating specific steps the agency plans
to take to keep the project on task. Any justification deemed inadequate by Caltrans staff will
be questioned and the agency will be asked to provide further information. Should there be a
major change, a full Corrective Action Plan (CAP) is required. Agencies with a project that is
repeatedly delayed will be encouraged to timely submit a CAP to reassign the funds.
If the agency is accruing LCTOP funds over a period of two or more years for a rollover project,
the Lead Agency will provide all Project ID numbers associated with the rollover, the total
funding amount received, and accrued interest on the Project Activity Report.
Rollover funds received in the first year may remain idle in the dedicated LCTOP account until
the funding of subsequent rollover years intended in the initial Allocation Request have been
fully accumulated. After that, the agency will have six months to begin the project.
All reports must reflect accurate and complete project information. Any incomplete or
inaccurate reports will not be accepted and will be considered delinquent until submitted with
corrections and/or additional information as requested by Caltrans staff. Agencies with
delinquent reports will not receive further LCTOP allocations until reports have been received.
Close-Out Report and Invoices
Once a project has been completed, the Lead Agency must notify LCTOP staff by email and
submit a Close-Out Report within six months of completion. Agencies are encouraged to submit
a draft Close-Out Report to the LCTOP Liaison for review and approval prior to signing. Please
note, once an agency has received all LCTOP funding for a project, the project must be fully
expended within four years (FY17-18 and after).
The final project report includes:
1. Close-Out Report Form: It will also include summarized information regarding benefits to
DACs and/or other AB 1550 Populations (if applicable), and a summary of co-benefits for
116
Low Carbon Transit Operation Program FY 2022-2023 Guidelines
Page 22 of 32
the project.
2. Project Activity Report: Include the most recent Project Activity Report with your Close-
Out report package.
3. Bank/ Financial Statement: Attach the latest bank statement from the LCTOP dedicated
bank account.
4. For Capital Projects: Pictures of the completed project, copy of title(s) for vehicle(s)
purchased (if applicable), list of VIN for vehicles purchased (if applicable), invoices,
punch list, and contract summary / signature pages.
5. For Operations Projects: Promotion and/or ad materials, route schedule (if applicable),
and photos (if applicable).
6. Verification: Project completion as scoped must be verified. The Lead Agency will
provide evidence of project completion, including photograph(s) of the completed
project. Evidence of project completion can be satisfied by submitting the required
photographs and one or more of the following; a copy of the final invoicing, punch list
from the facility’s final walkthrough, route schedule and or promotional material, and a
copy of the title if the project is to procure a vehicle. This list includes a sample of what
can be used to show evidence regarding the completion of a project. Verification and
invoices at close out are nonnegotiable. Please contact LCTOP staff to discuss
alternatives that may exist for your circumstances.
7. Savings/Interest: Agencies must keep track of residual interest from their LCTOP bank
accounts, specify exact amounts in LCTOP reporting, and notify their LCTOP Liaison if they
intend to use interest funds for an existing or future LCTOP project.
8. Project Completion: Beginning January 1st, 2023, projects will not be considered closed
out until the COR has been fully reviewed by the LCTOP Liaison and a final approval COR
email is sent to the agency. This will apply for all projects still open after January 1st, 2023.
Incomplete or incorrect reports will not be accepted and will be considered delinquent until
corrections are provided by the agency. Project Activity Reports need to be submitted at close
out.
Agencies must utilize the designated project ID and name assigned by LCTOP at the time of
award for all reporting (e.g., 21-22-D00-123 - Electric Bus Purchase). The agency must also retain
this information as indicated on the award letter for internal records.
Expenditure Package/Close Out Report
Below is an overview of what will need to be included in an agency's closeout report package.
The contents of the expenditure package should correspond with the project costs section of
the Allocation Request. Costs not reflected in the allocation request package or updated scope
in an approved corrective action plan, or costs outside the listed scope in the Allocation
Request are not eligible expenses. These costs should match the approved Allocation Request
“Project Costs” section.
117
Low Carbon Transit Operation Program FY 2022-2023 Guidelines
Page 23 of 32
1. Signed Agency Cover Letter
a. Provide a signed agency letter that identifies the project title
b. Project ID
c. Period of LCTOP expenditures,
d. Matching total of expenses to the initial allocation (if the project has additional LCTOP
funds added please make a note on the expenditure package).
2. Expenditure Summary and Itemized Expenditures
a. Give a billing summary that includes all LCTOP-specific costs, itemized and in
chronological sequence.
3. Copy of Contractor's Invoice Billing (Construction Projects Only)
a. Provide a copy of the contractor’s billing invoice (if applicable to the project).
4. Proof of Payment
a. Provide proof of payment to the contractor.
5. Supporting Documents
a. Provided as needed or as requested.
6. Email Invoice Package
a. Invoices should be emailed to your LCTOP Liaison and CC the Program Manager
along with the closeout report package.
Jobs Reporting (Lead Agencies)
To the extent feasible, Caltrans will try to support Lead Agencies in fostering job creation via
Allocation Requests to be carried out by California workers and businesses. To maximize
economic benefits, investments should provide employment opportunities and job training tied
to employment with an emphasis on Priority Populations. Caltrans encourages Lead Agencies
to demonstrate local benefits and support of clean energy within the transportation sector and
how projects can facilitate the shift towards a sustainable workforce. The Allocation Request is
an opportunity to highlight these efforts from project types that support energy efficiency,
renewable energy, and zero-emission transportation and mobility options.
Jobs reporting is required for all projects claiming to benefit Priority Populations by way of
providing employment or training as well as any project that has a total project cost, including
GGRF and leveraged funds exceeding $1,000,000 awarded after August 2018 (Starting with
FY18-19 Projects). Lead Agencies will report on all jobs and wages paid through GGRF, including
subcontractors. This would apply to awards given over multiple years, such that a $1,000,000
award disbursed as four annual awards of $250,000 would be required to report its supported
jobs. CARB staff has determined that exempting first- order subcontractors that enter a contract
for less than $100,000 in GGRF funds. This exemption would only apply to subcontractors
providing directly to the awardees, but not to subcontractors further down the chain. The
frequency and duration of Jobs Reporting will take place annually after the project begins and
118
Low Carbon Transit Operation Program FY 2022-2023 Guidelines
Page 24 of 32
ends with the project Close-Out Report. Once data is collected from Lead Agencies completing
Jobs Reports, Caltrans will report to CARB.
Project Outcome Reporting
Project outcome reporting is the tracking and reporting of outcomes for operational projects.
This reporting supports accountability and transparency in communicating program successes
in facilitating the achievement of GHG reductions and maximizing economic, environmental,
and public health benefits to the State. Project outcome reporting is only required for a subset
of projects (Starting with FY 21-22 Projects). For LCTOP the previous process required agencies
that received $250,000 or more from GGRF to complete the report.
The duration of project outcome reporting will be for 36 months after a project reaches the
specified milestone and is considered “operational.” Caltrans staff will collect this information
once a year during the annual Project Activity Reporting period. There are multiple approaches
for collecting project outcome data, such as obtaining the data from the funding recipient,
conducting surveys, direct monitoring of project cites, vehicles, or equipment, or obtaining the
data from a third party. The report will document metrics such as ridership numbers, fuel or
energy use, and days of operation, among others. Once data is collected from Lead Agencies
completing Project outcome reports, Caltrans will report to CARB.
Project Audit
Annual audits of public transportation operators required under the Transportation
Development Act (TDA), per PUC 99245, must include verification of receipt and appropriate
expenditure of funds. Lead Agencies receiving LCTOP funds in a fiscal year for which a TDA audit
is conducted must submit a copy of the audit to Caltrans by December 31st, six months after the
close of the fiscal year (closes June 30) Caltrans will make the audits available to the Legislature
and the State Controller’s Office (SCO) as needed. Lead Agencies may request a 90-day
extension from the December 31st deadline to March 31 St. They must notify Caltrans in writing
via e-mail. Project leads who fail to submit an expanded TDA audit documenting all LCTOP
funding allocated to date will not receive future LCTOP allocations until the required
document(s) have been submitted to Caltrans.
Site Visits
Due to COVID-19 site visits will be held on a limited basis in person based on state and local
protocols currently in effect. Site visits can take place at any time at the discretion of Caltrans.
Site visits will be conducted, and some projects may have more specific questions or monitoring
regarding specific issue(s) or function. Any evidence or information that supports the need for a
compliance audit action or monitoring will be pursued by Caltrans. High-risk Lead Agencies are
likely to become the subject of a spot audit.
119
Low Carbon Transit Operation Program FY 2022-2023 Guidelines
Page 25 of 32
Agencies or projects could be placed on the high-risk list for the following:
1. Delinquent with reporting requirements and/or not providing documentation as
stipulated in the LCTOP Guidelines
2. Agencies with frequent errors or that have not conformed to the
requirements of previous awards
3. Agencies engaged in multiple reassignments of funds/CAP’s
4. Projects with 0% progress one year after allocation
5. Agencies suspected of supplanting funds and other special situations
6. Agencies with a history of negative GHG reductions at close out
Caltrans may select agencies each year and perform an extensive review of all LCTOP related
information from the agency. If selected, an agency may be asked to provide additional
documents pertinent to the LCTOP program and projects that have been funded. If
inconsistencies are found, agencies will be provided an opportunity to correct those errors. If
discrepancies are not corrected, the agency will not be eligible to receive future funding.
Caltrans could also select applicable projects for project outcome reporting. LCTOP staff could
perform a site visit to collect project outcome data. An example of this would be, visiting a
completed shelter to ensure it is being managed and utilized. Following a site visit from LCTOP
Staff, the LCTOP District Liaison manager will send a letter documenting the visit and any action
items as discussed during the site visit.
If an agency does not complete a project after two approved fund transfers (that cover all
criteria in a CAP), they must meet with LCTOP to discuss project issues and possibly return funds
to the program. This ruling is based on the requirement and expectation that agencies are
planning their projects in advance of submitting their annual Allocation Requests.
Vision Statement
The LCTOP vision is to inspire a dynamic and integrated transit system that emphasizes
community, equity, and economic and environmental sustainability.
As one of the Climate Investment Programs administered at Caltrans, LCTOP is crucial to
delivering quantifiable and beneficial outcomes that lower barriers to transit, support
underserved communities and households, improve air quality, sustain economic viability, and
strengthen multimodal transportation. Our goal is to build a brighter future for all through a world-
class transportation system.
The vision of LCTOP should always be kept in mind by transit agencies when planning, requesting
funding, and carrying out projects so that money is used for the betterment of the environment
and the lives of all people.
120
Low Carbon Transit Operation Program FY 2022-2023 Guidelines
Page 26 of 32
Appendix A
Evaluation Criteria for Providing Benefits to Priority Populations
SUSTAINABLE TRANSPORTATION: Identify the Priority Population(s).1
Step 1: Determine the location and evaluate the project against each of the following criteria.
Lead Agency would select all the locations that apply.
A. Is the project located within the boundaries of a disadvantaged community census
tract?
B. Is the project located within the boundaries of a low-income community census tract?
C. Is the project located outside of but within ½-mile of the boundaries of a disadvantaged
community and within the boundaries of a low-income community census tract?
D. Is the project located within the boundaries of a low-income household?
If the project does not meet at least one of the qualifying location criteria, it will not count
toward statutory investment minimums and no further evaluation is needed. If the project meets
at least one of the qualifying location criteria as described above, then move on to the next
section.
Step 2: Address a need. Identify an important community or household need of the priority
population(s) identified in Step 1 through one of the approaches below.
To identify a need that the project will address, agencies and/or applicants can use a variety
of approaches:
A. Recommended Approach: Host accessible community meetings, workshops, outreach
efforts, or public meetings as part of the planning process to engage residents and
community groups for input on community or household needs, and document how the
received input was considered in the design and/or selection of projects to address those
needs. For more recommendations on how to make outreach efforts accessible, see the
California Climate Investments guide, Best Practices for Community Engagement and
Building Successful Projects.2
B. Recommended Approach: Receive documentation of support from local community-
based organizations and/or residents (e.g., letters, emails) identifying a need that the
project addresses and demonstrating that the project has broad community support.
C. Alternative Approach: Where direct engagement is infeasible, look at the individual
factors in CalEnviroScreen 4.0 that are most impacting an identified disadvantaged or
low-income community (i.e., factors that score above the 75th percentile, federally
1 Benefit Criteria Table is built into the LCTOP Allocation Request
2 https://ww3.arb.ca.gov/cc/capandtrade/auctionproceeds/cci-community-leadership-
bestpractices.pdf
121
Low Carbon Transit Operation Program FY 2022-2023 Guidelines
Page 27 of 32
recognized tribes, etc.), and confirm that the project will reduce the impacts of at least
one of those factors; or
D. Alternative Approach: Where direct engagement is infeasible, refer to the list of Common
Needs for Priority Populations in CARB’s Funding Guidelines Table 5 and confirm that the
project addresses at least one listed need or in the next appendix.
Describe the identified community or household need(s): (Description required.)
If the project does not address a community or household need, it will not count toward statutory
investment minimums and no further evaluation is needed. If the project addresses a community
or household need as described in Step 2, continue to Step 3 on the following page.
Step 3: Provide a benefit. Evaluate the project against each of the following criteria to determine
if it provides direct, meaningful, and assured benefits to Priority Populations. The benefit provided
must directly address the need identified in Step 2.
Project must meet at least one of the following benefit criteria:
A. Project reduces criteria air pollutant or toxic air contaminant emissions.
B. Project provides increased access to clean and/or shared transportation options.
C. Project improves connectivity between travel modes.
D. Project improves mobility between key destinations and communities.
E. Project improves safety and comfort of the transportation system.
F. Project improves combined housing and transportation affordability.
G. Project improves public health through increased access to active transportation.3
Describe how the project provides the benefit(s) identified: (Description required.)
If the project does not provide a direct, meaningful, and assured benefit, it will not count toward
statutory investment minimums. If the project meets the criteria in Steps 1, 2, and 3, it will be
considered as providing direct, meaningful, and assured benefits to Priority Populations and will
be counted toward statutory investment minimums.
Appendix B
Alternative Approach D. Common Needs of Priority Populations
Public Health
1. Reduce health harms (e.g., asthma) suffered disproportionately by priority populations
due to air pollutants.
2. Reduce health harms (e.g., obesity) suffered disproportionately by priority populations
due to the built environment (e.g., provide active transportation, parks, playgrounds).
3 Benefit F and G are generally not applicable to LCTOP Projects
122
Low Carbon Transit Operation Program FY 2022-2023 Guidelines
Page 28 of 32
3. Increase community safety.
4. Reduce heat-related illnesses and increase thermal comfort (e.g., weatherization and
solar energy can provide more efficient and affordable air- conditioning; urban forestry
can reduce heat-island effect).
5. Increase access to parks, greenways, open space, and other community assets.
Economic
1. Create quality jobs and increase family income (e.g., targeted hiring for living- wage jobs
that provide access to health insurance and retirement benefits with long-term job
retention, using project labor agreements with targeted hire commitments, community
benefit agreements, community workforce agreements, partnerships with community-
based workforce development and job training entities, State-certified community
conservation corps).
2. Increase job readiness and career opportunities (e.g., workforce development programs,
on-the-job training, industry-recognized certifications).
3. Revitalize local economies (e.g., increased use of local businesses) and support
California-based small businesses.
4. Reduce housing costs (e.g., affordable housing).
5. Reduce transportation costs (e.g., free, or reduced-cost transit passes) and improve
access to public transportation (e.g., new services in under-served communities).
6. Reduce energy costs for residents (e.g., weatherization, solar).
7. Improve transit service levels and reliability on systems/routes that have high use by
disadvantaged and/or low-income community residents or low-income riders.
8. Bring jobs and housing closer together (e.g., affordable housing in transit- oriented
development and in healthy, high-opportunity neighborhoods).
9. Preserve community stability and maintain housing affordability for low-income
households (e.g., prioritize projects in jurisdictions with anti-displacement policies).
10. Provide educational and community capacity building opportunities through community
engagement and leadership.
Environmental
1. Reduce exposure to local environmental contaminants, such as toxic air contaminants,
criteria air pollutants, and drinking water contaminants (e.g., provide a buffer between
bike/walk paths and transportation corridors).
2. Prioritize zero-emission vehicle projects for areas with high diesel air pollution, especially
around schools or other sensitive populations with near-roadway exposure.
3. Reduce exposure to pesticides in communities near agricultural operations.
4. Greening communities through restoring local ecosystems and planting of native species,
improving aesthetics of the landscape, and/or increasing public access for recreation.
123
Low Carbon Transit Operation Program FY 2022-2023 Guidelines
Page 29 of 32
Appendix C
Co-Benefit Assessment Methodology Community Engagement Questionnaire
The questionnaire on the following pages is excerpted from the Community Engagement Co-
Benefit Assessment Methodology for California Climate Investments (CCI). The questionnaire is
converted into a fillable table for ease of use. Guidance on how to answer each question is
provided in Section C of the full methodology available at: www.arb.ca.gov/cci-cobenefits.
CCI projects that result in community engagement co-benefits create opportunities during
planning, design, and implementation for communities to directly engage with the project,
provide input that is incorporated into it, and collaborate on its development.
Overall, the methods for estimating the community engagement co-benefits are qualitative,
based on tracking the extent and impact of public participation in project planning, design,
and implementation. The assessment evaluates the quantity, quality, and equity of community
engagement.
To estimate the community engagement co-benefit, users will respond to the five questions.
Based on the responses to the questions, the level of community engagement will be evaluated
as low, medium, or high. The agency will then mark Low, Medium, or High on the LCTOP
Allocation Request when documenting Priority Population Benefits.
Community Engagement Questionnaire
1. Is the project a neighborhood-scale, city/regional-scale, or rural project?
2. With regard to public events held by the project proponent to discuss this project proposal
with the community:
a. Briefly describe the events held. (Please respond in fewer than 100 words)
b. What was the approximate total attendance at those events?
3. With regard to other opportunities provided by the project proponent for community
members to comment or provide input on the project (e.g., internet- or telephone- based
input opportunities) or separate meetings with specific stakeholders, community leaders,
and organizations, beyond those included above:
a. What is the approximate total number of people who provided commentary or input
on the project through these opportunities?
b. Briefly describe the opportunities provided. (Please respond in fewer than 100 words)
4. Which of the following took place as part of the events and other opportunities identified
in questions 2 and 3? (Check all that apply):
a. Informed the community about various aspects of the project, including the process by
which major decisions about the project would be made.
b. Solicited and recorded written or spoken input from the community about specific
aspects of the project or potential project alternatives before decisions on those
aspects and alternatives were finalized.
124
Low Carbon Transit Operation Program FY 2022-2023 Guidelines
Page 30 of 32
c. Incorporated proposals or ideas from the community into project alternatives or
components.
d. Reported back to the community on how the input in 4(b) and 4(c) was incorporated.
e. Developed project features or project alternatives collaboratively with the community
by one or more of the following means: (Check all that apply):
i. One or more workshops or other meetings in which the community developed a
project alternative or specific component to address unmet community needs,
which was subsequently included in the project’s application for funding or final
design.
ii. Formal cooperation with a community-based organization (i.e., via a memorandum
of understanding, community benefits agreement, steering committee, labor
agreement, etc.) to acquire or distribute funding, identify project alternatives or
project components, or otherwise enhance community engagement in project
design, planning and implementation.
iii. Delegation of authority to choose between project alternatives or components to
the community through a steering committee, organized voting process,
representative community-based organization, or other means.
iv. A community-based organization, community-driven steering committee, or similar
entity designed, planned, and implemented the project in whole or in significant
part.
5. Considering all the events and input opportunities, which of the following statements are
true (check all that apply):
a. The participants comprised a broadly representative sample of the population
potentially benefiting from, or affected by, the project.
b. Project proponents identified key community leaders and organizations and
engaged them directly.
c. The events and input opportunities were hosted at varied and accessible times and
locations throughout the area potentially affected by the project and included both
in person and online forms of engagement. Events and written materials were offered
in languages other than English.
d. The participation process was conducted or assisted by a professional facilitator or
public participation expert.
e. The project proponents, or those acting on their behalf, prepared and followed a
community engagement plan that meets the minimum criteria originally established
by the Transformative Climate Communities Program (option is available for all project
types).
Assessment
To determine the overall Community Engagement Co-benefit, users will assess the responses to
the quantity, quality, and equity-oriented questions as low, medium, or high. For the quantity
category, which measures the number of people giving input on the project, the scoring is
125
Low Carbon Transit Operation Program FY 2022-2023 Guidelines
Page 31 of 32
different for projects of different scales and contexts — neighborhood-scale, city/regional-scale,
and rural. These scoring thresholds reflect considerations of total population size and population
density in the area potentially affected by the project. Scores related to quantity, quality, and
equity of community engagement are then aggregated to provide a total project community
engagement score.
Evaluation of Community Engagement in Projects
Quantity
Total event attendance + number of people commenting through other opportunities:
● For neighborhood-scale projects: LOW 0-24; MEDIUM 25-59; HIGH 60 or more
● For city/regional-scale projects: LOW 0-49; MEDIUM 50-99; HIGH 100 or more
● For rural projects: LOW 0-14; MEDIUM 15-29; HIGH 30 or more
Quality
Selection in response to Community Engagement Questionnaire, Question 4:
● LOW 4a or 4b; MEDIUM 4c or 4d; HIGH Any from 4e
Equity
Selection in response to Community Engagement Questionnaire, Question 5:
● LOW None or 1; MEDIUM 2 or 3; HIGH 4 or more
The total community engagement level will then be evaluated based on the quantity,
quality, and equity of community engagement as follows:
● If two or more of these categories are low, the overall engagement level is LOW
● If two or more of these categories are medium, the overall engagement level is
MEDIUM
● If two of more of these categories are HIGH, the overall engagement level is HIGH
● If each category is in a separate rank (one low, one medium, and one high), the overall
engagement level is MEDIUM
126
Low Carbon Transit Operation Program FY 2022-2023 Guidelines
Page 32 of 32
LCTOP 2023 Timeline
127
ATTACHMENT 2
RESOLUTION NO. 2024-_____
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF
MOORPARK, CALIFORNIA, AMENDING THE FISCAL
YEAR 2024/25 BUDGET TO RECEIVE $200,000 IN LOW
CARBON TRANSIT OPERATION PROGRAM (LCTOP)
FUNDS DISBURSED AND ADMINISTERED BY VENTURA
COUNTY TRANSPORTATION COMMISSION (VCTC)
WHEREAS, on June 19, 2024, the City Council adopted the Operating and Capital
Improvement Budget for Fiscal Year (FY) 2024/25; and
WHEREAS, a staff report has been presented to City Council requesting a budget
amendment in the amount of $200,000 from Low Carbon Transit Operation Program
(LCTOP) Funds that the Ventura County Transportation Commission (VCTC) will be
disbursing and administering to the City of Moorpark to help fund the construction of
Battery Electric Charging Infrastructure (BECI) for its future fleet of electric buses; and
WHEREAS, Ventura County Transportation Commission (VCTC) received
authorization to disburse and administer $200,000 in Low Carbon Transit Operation
Program (LCTOP) funds to the City of Moorpark for the construction, equipment
acquisition, and installation of battery electric charging infrastructure projects; and
WHEREAS, an amendment to the FY 2024/25 Operating and Capital Improvement
Budget is required to provide for the receipt of LCTOP Funds and disbursement to the
appropriate account.
NOW, THEREFORE, THE CITY COUNCIL OF THE CITY OF MOORPARK DOES
HEREBY RESOLVE AS FOLLOWS:
SECTION 1. A budget amendment allocating $200,000 for receipt of Low Carbon
Transit Operations Program grant funds to account 2409-000-G0033-46350, as more
particularly described in Exhibit “A” attached hereto is hereby approved.
SECTION 2. The City Clerk shall certify to the adoption of this resolution and shall
cause a certified resolution to be filed in the book of original resolutions.
PASSED AND ADOPTED this 2nd day of October, 2024.
________________________________
Chris R. Enegren, Mayor
ATTEST:
___________________________________
Ky Spangler, City Clerk
Exhibit “A” – Budget Amendment
128
FUND BALANCE ALLOCATION:
Fund-Account Number Amount
2409-000-00000-33990 200,000.00$
Total 200,000.00$
REVENUE APPROPRIATION:
Account Number Current Budget Revision Amended Budget
2409-000-G0033-46350 -$ 200,000.00$ 200,000.00$
-$ -$ -$
-$ -$ -$
-$ -$ -$
Total -$ 200,000.00$ 200,000.00$
Fund Title
FEDERAL & STATE GRANTS
EXHIBIT A
BUDGET AMENDMENT FOR
Low Carbon Transit Operation Program Funding
FY 2024/2025
Resolution No. 2024-____
Page 2
129