9. PROJECTED EXPENDITURES FUND CFDA ITEM/APPROPRIATION F.Y. CHAPTER STATUTE PROJECTED EXPENDITURES General Fund N/A / $3,5

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1 GRANT AGREEMENT AGREEMENT NO. GMS GRANT TITLE CCTA Funding for Expanding Autonomous Vehicle Testing 2. NAME OF AGENCY 3. Grant Period Contra Costa Transportation Authority (CCTA) 4. AGENCY UNIT TO ADMINISTER GRANT From: 07/01/2017 To: 06/30/ GRANT DESCRIPTION The CCTA received an appropriation in the 2017 Budget Act for use in the planning, construction, and operations of an expanded autonomous vehicle testing facility. 6. State Funds Allocated Under This Agreement Shall Not Exceed: $3,500, TERMS AND CONDITIONS: The parties agree to comply with the terms and conditions of the following which are by this reference made a part of the Agreement: Schedule A - Problem Statement, Goals and Objectives and Method of Procedure Schedule B - Detailed Budget Estimate and Sub-Budget Estimate (if applicable) Schedule B-1 - Budget Narrative and Sub-Budget Narrative (if applicable) Exhibit A - Certifications and Assurances We, the officials named below, hereby swear under penalty of perjury under the laws of the State of California that we are duly authorized to legally bind the Grant recipient to the above described Grant terms and conditions. IN WITNESS WHEREOF, this Agreement has been executed by the parties hereto. 8. Approval Signatures A. AUTHORIZING OFFICIAL OF DEPARTMENT B. AUTHORIZING OFFICIAL OF CALIFORNIA STATE TRANSPORTATION AGENCY NAME: Federal D. Glover PHONE: NAME: Brain Annis PHONE: TITLE: Authority Chair FAX: TITLE: Acting Secretary, FAX: California State Transportation ADDRESS: 2999 Oak Road #100 Walnut Creek, CA Agency (CalSTA) 915 Capitol Mall, Suite 350B Sacramento, CA brian.annis@calsta.ca.gov ADDRESS: (Signature) (Date) (Signature) (Date) C. ACCOUNTING OFFICER, CALIFORNIA STATE TRANSPORTATION AGENCY NAME: Carolyn Vu ADDRESS: 2208 Kausen Drive, Suite 300 Elk Grove, CA A.12-1 Page 1 of 8

2 9. PROJECTED EXPENDITURES FUND CFDA ITEM/APPROPRIATION F.Y. CHAPTER STATUTE PROJECTED EXPENDITURES General Fund N/A / $3,500, AGREEMENT TOTAL $3,500, I CERTIFY upon my own personal knowledge that the budgeted funds for the current budget year are available for the period and purpose of the expenditure stated above. AMOUNT ENCUMBERED BY THIS DOCUMENT $3,500, PRIOR AMOUNT ENCUMBERED FOR THIS AGREEMENT $ 0.00 ACCOUNTING OFFICER S SIGNATURE DATE TOTAL AMOUNT ENCUMBERED TO DATE SIGNED $3,500, A.12-2 Page 2 of 8

3 Schedule A 1. PROBLEM STATEMENT The Budget Act made available $3.5 million to the Contra Costa Transportation Authority for the planning, construction, and operations of an expanded autonomous vehicle testing facility. The funds shall be used to match non- state funds of at least an equivalent amount to help provide public benefits that assure safe testing of autonomous vehicle technology, expand economic development opportunity in California to develop autonomous vehicle technology, and provide public access to testing and research data to guide future policy development relative to the emerging technology. 2. PERFORMANCE MEASURES A. Goals: 1. Create a world-class Connected Vehicle /Autonomous Vehicle (CV/AV) test bed with active industry and government participation; 2. Provide public benefits to advance mobility and enhance safety through autonomous vehicle technology; 3. Expand economic development opportunity and job creation in California to advance autonomous vehicle technology; and 4. Partner with the public and private sector to enhance safety, mobility, and the environment. 5. Delivery of planning, construction, and operations projects consistent with this grant agreement and subsequent allocation or reimbursement requests. 3. OBJECTIVE: Objective Deliverable Target Date Design and construction of testing facility CV/AV Systems Engineering and Testing 1. Completed design of testing facilities 2. Completed infrastructure of testing facilities including improved roadways, additional traffic control elements, and vehicle-to-infrastructure wireless communications 3. Storage facility and charging stations 1. Complete Demonstration of Shared Autonomous Vehicle (SAV) Concept 2. Complete SAV Requirements for Deployment 3. SAV Test Plans/Procedures and Performance Measures 4. Tabulated SAV Test Results FY 17/18 FY 17/18 FY 17/18 FY 19/20 CV/AV Program Planning and Administration 1. Develop program needs assessment and deployment plan 2. Develop procurement plan 3. Develop operations & maintenance plan 4. Obtain regulatory and legislative approvals (as needed) FY 17/18 FY 19/20 4. METHOD OF PROCEDURE \ A. Phase 1 Program Planning/Administration (FY17/18-19/20) Develop design for construction of testing facilities Complete SAV Concept of Operations and System Engineering Develop Test Plans and Procedures Develop program needs assessment and deployment plan Complete program business model Obtain required legislative and regulatory approvals (as needed) 4.A.12-3 Page 3 of 8

4 B. Phase 2 Program Operations/Construction (FY17/18-19/20) Complete improvements and construction of testing facilities Oversight and coordination of testing and operations Completion of specified operational test scenarios Facilities management Program management and fiscal controls Maintain safety protocols Maintain and expand existing public/private partnerships C. Phase 3 Data Collection and Reporting (FY17/18-19/20) Grant Allocation Requests o Allocation requests will include budget, work plan, schedule and commitment of matching funds for each project or project phase, as applicable o Eligible matching funds will be non-state funds and in-kind services on a one-to-one basis equal to allocated state funds for each allocation o CCTA Board or Executive Committee (if necessary) approval and authorization of allocation requests o Allocation requests will be submitted to CalSTA for approval and release of funds Quarterly Performance Reports o Collect and report quarterly, appropriate progress of the grant goals and objectives o Provide a brief list of activities conducted, procurement of grant funded items, and significant activities. Include status of grant-funded personnel, status of contracts, challenges, or special accomplishments o Provide a concise summary of accomplishments and explanations for goals and objectives not completed or plans for upcoming activities o Collect, analyze, and report statistical data relating to the grant objectives o Certification and documentation of supporting local match project funding and project invoices Dissemination of SAV test results, operational achievements and lessons learned with project partners and CalSTA 5. REIMBURSEMENTS To receive reimbursement, Grantee Agency must provide to following: a. Allocation requests will include budget, work plan, schedule and commitment of matching funds b. Eligible matching funds will be non-state funds and in-kind services on a one-to-one basis to allocated state funds; c. CCTA Board or Executive Committee (if necessary) approval and authorization of allocation requests d. Invoices that substantiate expenditures that conform to the terms and conditions of the grant; and e. Certification and documentation of supporting local match project funding requirements 6. ADVANCE PAYMENTS To receive advance payment, Grantee Agency must provide the following: a. Allocation requests will include budget, work plan, schedule and commitment of matching funds b. Eligible matching funds will be non-state funds and in-kind services on a one-to-one basis to allocated state funds; c. CCTA Board or Executive Committee (if necessary) approval and authorization of allocation requests d. Allocation requests will be submitted to CalSTA for approval and release of funds; e. Project receiving advance payment must start within three months of payment; f. Timely quarterly performance reporting (commencing within one quarter of the first state payment) that include certification and documentation of supporting local match and project invoices; 4.A.12-4 Page 4 of 8

5 ADVANCE PAYMENTS (cont.) g. Advance payments may be adjusted if prior advance was not fully utilized 7. ADMINISTRATIVE SUPPORT This program has full administrative support, and every effort will be made to continue the grant activities after grant conclusion. 8. FINAL EVALUATION The Final Evaluation will provide a summary of the grant's accomplishments, challenges and significant activities. This Final Evaluation will include an assessment of the goals and objectives; a description of whether the goals and objectives were met, exceeded, or not met; and an explanation of why the goals and objectives were met, exceeded, or not met. 4.A.12-5 Page 5 of 8

6 Schedule B FUND NUMBER CATALOG NUMBER (CFDA) FUND DESCRIPTION TOTAL AMOUNT 0001 N/A General Fund $3,500, A. PERSONNEL COSTS COST CATEGORY CFDA TOTAL COST TO GRANT Positions and Salaries Full-Time Overtime Part-Time Category Sub-Total B. TRAVEL EXPENSES Category Sub-Total C. CONTRACTUAL SERVICES Management/Administration $680,000 SAV Planning $820,000 Testing Facilities Design $400,000 Testing Facilities Construction $1,600,000 Category Sub-Total $3,500,000 D. EQUIPMENT Category Sub-Total E. OTHER DIRECT COSTS General Fund Category Sub-Total F. INDIRECT COSTS Category Sub-Total GRANT TOTAL $3,500, A.12-6 Page 6 of 8

7 Schedule B-1 PERSONNEL COSTS BUDGET NARRATIVE QUANTITY TRAVEL EXPENSES CONTRACTUAL SERVICES 1. Management/Administration 2. SAV Planning: Development of deliverable items listed under Item 3 OBJECTIVES. The budget is derived based on the amount of work needed to develop these submittals for an ITS type of project. 3. Testing Facilities Design: Completed Design of testing facilities. 4. Testing Facilities Construction: Completed construction of infrastructure of testing facilities including improved roadways, additional traffic control elements, storage facility, and charging stations. 5. This agreement may be amended based on consent and mutually agreed upon by all parties. 1 EQUIPMENT OTHER DIRECT COSTS INDIRECT COSTS STATEMENTS/DISCLAIMERS 4.A.12-7 Page 7 of 8

8 Exhibit A - Certifications and Assurances The Grantee Agency officials named on the grant agreement, certify by way of signature on the grant agreement signature page, that the Grantee Agency complies with all applicable State rules, guidelines, policies and laws in effect with respect to the periods for which it receives grant funding. 4.A.12-8 Page 8 of 8