SBCAG STAFF REPORT

SUBJECT: Caltrans Household Travel Survey Grant Funding Agreement MEETING DATE: September 15, 2011 AGENDA ITEM: 7G STAFF CONTACT: William Yim, Peter Imhof RECOMMENDATION: Authorize the executive director to execute a Caltrans Household Travel Survey Grant Funding Agreement for a total of $33,000 from Proposition 84 funds. SUMMARY: In October 2009, the Strategic Growth Council awarded SBCAG $400,000 in State grant funding from Proposition 84 for improvement and upgrade of the SBCAG travel demand model. Part of this funding is to be used for acquisition of supplemental travel survey samples as part of the 2011/12 Caltrans Household Travel Survey (CHTS) in order to increase the sample size for the Santa Barbara County region. The CHTS will be used for calibration of the upgraded SBCAG computer travel model. The upgrade of the travel model is currently underway and will be an important analytical tool for all travel modeling purposes, including preparation of the Sustainable Communities Strategy. Per the draft CHTS grant funding agreement (Attachment 1), SBCAG would fund an additional 200 samples, for a total of 812 samples, at a cost of $33,000 to be paid for out of the Proposition 84 grant funds. Staff requests Board authorization to execute this agreement. DISCUSSION: Senate Bill (SB) 375 tasked the California Strategic Growth Council (SGC) among other things with coordinating the funding activities for improving and upgrading California MPOs’ travel demand models. One of the major tasks is enhancing available travel data through a comprehensive 2011/12 statewide travel survey effort, which is necessary to in order to upgrade MPOs’ travel demand models. The Caltrans Household Travel Survey (CHTS) is one of the most important data elements in the model improvements for all MPOs in California. It is used for the development and calibration of the statewide and MPO regional travel demand models. CHTS is generally conducted every ten years. The current SBCAG model was calibrated using the 2001 CHTS data in 2003. As a mid-size MPO, SBCAG relies on the CHTS for model calibration. To serve the expanded data needs imposed by SB375, the CHTS survey will also be expanded to include long-distance travel data plus more comprehensive non-motorized travel data, including bike and pedestrian travel data.

2

The original volume of the total statewide CHTS sample was 37,847. SBCAG’s original allotted number of samples was 612, representing approximately 1.6% of the total. This allotment was less than half of the 1,500 samples that SBCAG originally requested in order to adequately calibrate the SBCAG model to meet the SB 375 requirements. In October 2009, the SGC awarded SBCAG $400,000 in grant funding from Proposition 84 for the SBCAG travel model upgrade. In May 2010, SBCAG amended the 2010-2011 OWP to reflect the work tasks that created a new Travel Demand Model Upgrade Work Element (WE 2155). In January 2011, against the backdrop of State budget constraints and negotiations with other MPOs, which had also requested additional add-on samples, Caltrans informed SBCAG that only an additional 200 CHTS add-on samples would be available to the Santa Barbara County region. A total of 57,361 statewide samples, including an additional 19,514 samples required by all other MPOs in California, were finalized to allow Caltrans’ survey consultant to move forward with the CHTS (see Attachment 2). In negotiations with Caltrans, SBCAG agreed in principle to fund an additional 200 samples for the Santa Barbara County region at a cost of $33,000, to be paid for with Proposition 84 funds. At the end of August, Caltrans sent the draft funding agreement to SBCAG for review and approval. Staff now requests the Board to authorize the executive director to execute the attached CHTS grant funding agreement.

Committee Review: None Attachments: 1. Caltrans CHTS Grant Funding Agreement 2. Agreed Sample Distribution for MPO Supplemental Samples

STATE OF CALIFORNIA

STANDARD AGREEMENT STD 213 (Rev 06/03) AGREEMENT NUMBER

REGISTRATION NUMBER

1. This Agreement is entered into between the State Agency and the Contractor named below:

STATE AGENCY'S NAME

SBCAG MPO

CONTRACTOR'S NAME

Department of Transportation (Department)

2. The term of this November 1, 2011, or upon DGS and SBCAG approval, (whichever is later), through June 14, 2013 through June 14, 2013

Agreement is:

3. The maximum amount

$ 33,000

of Agreement: thisAAAgreement AAgreement is:Agreement is:

Thirty three thousand Dollars

4. The parties agree to comply with the terms and conditions of the following exhibits which are by this reference made a

part of the Agreement. Exhibit A – Scope of Work page(s)

Exhibit B – Budget Detail and Payment Provisions

Exhibit C – Special Terms and Conditions page(s)

Exhibit D – Additional Provisions Agreement Number 72A0071 between the California Department of Transportation and NuStats, LLC, dated 06/04/10

Check mark one item below as Exhibit D:

page(s)

page(s)

IN WITNESS WHEREOF, this Agreement has been executed by the parties hereto.

CONTRACTOR California Department of General Services Use Only

CONTRACTOR’S NAME (if other than an individual, state whether a corporation, partnership, etc.)

BY (Authorized Signature)

DATE SIGNED(Do not type)

PRINTED NAME AND TITLE OF PERSON SIGNING

ADDRESS

STATE OF CALIFORNIA

AGENCY NAME

BY (Authorized Signature)

DATE SIGNED(Do not type)

PRINTED NAME AND TITLE OF PERSON SIGNING Exempt per:

ADDRESS

EXHIBIT A Scope of Work

BACKGROUND The California Department of Transportation (Department) and Metropolitan Planning Organizations (MPOs) in the State conduct travel surveys every ten (10) years to obtain detailed information about the household socioeconomic characteristics and travel behavior of households statewide. The purpose of the 2010 California Household Travel Survey (CHTS) is to update the statewide database of household travel behavior that is used to estimate, model and forecast travel throughout the State. The 2010 CHTS will be conducted to provide short- and long-distance trip information that will be used for the development of the statewide travel model and regional travel models. The 2010 CHTS data is essential to the development and calibration of regional travel demand models for transportation planning and to assist in the forecasting of greenhouse gas (GHG) and criteria pollutant emissions.

A primary goal of the 2010 CHTS program is to coordinate and/or combine the travel survey efforts by the State, MPOs, and Regional Transportation Planning Agencies (RTPAs) so as to benefit all. This coordinated/combined effort will help ensure data consistency throughout the State and will better guarantee an efficient use of the pooled funds. The Department and regional agencies have organized a Steering Committee to guide the implementation of the 2010 CHTS. A Steering Committee representing MPOs, RTPA’s, the California Association of Council of Governments (CALCOG), and various state agencies was organized to create the Scope of Work and Request for Proposal to retain a consultant to perform the development and implementation of the survey for the 2010 CHTS program.

To implement the survey, the Department engaged a competitive procurement process to acquire consultant services. As a result of this procurement, NuStats, LLC (NuStats) was selected to conduct the 2010 CHTS. A copy of Agreement Number 72A0071 between the Department of Transportation and NuStats, dated June 4, 2010, is attached hereto as Exhibit D and incorporated in its entirety by this reference. The Santa Barbara County Association of Governments (SBCAG) is a federally designated MPO for Santa Barbara County, and SBCAG seeks to partner with the Department in the furtherance of the program. SCOPE OF WORK

1. Name of the Program

The name of this program is the 2010 California Household Travel Survey (2010 CHTS).

2. Purpose of This Agreement

The purpose of this Standard Agreement (Agreement) is to specify the terms and provisions of which the Department and SBCAG, collectively referred to herein as the “Parties,” will partner in the 2010 CHTS program.

3. List of Key Participants/Project Management:

California Department of Transportation

Santa Barbara County Association of Governments (SBCAG)

NuStats, LLC

Project Manager – Pete Spaulding Project Manager: William Yim Project Manager – Jesse Casas

1120 N Street, MS-38 260 North San Antonio Road, Suite B

206 Wild Basin Rd, Bldg. A, Ste. 300

Sacramento, CA 95814 Santa Barbara, CA 93110 Austin, TX 78746

Phone: (916) 651-8648 Phone: (805) 961-8906 Phone: (512) 309-9065

4. Term of This Agreement

This Agreement will commence on November 1, 2011 or upon the approval by the State of California Department of General Services (DGS) and by SBCAG’s Administration Committee, whichever is later, and no work or obligation shall begin before such time. This Agreement will continue through June 14, 2013, unless terminated earlier pursuant to the terms of this Agreement.

5. Detailed Scope of Services – Work Tasks The work to be performed under this Agreement shall be as described and conducted in accordance with the Scope of Work outlined in Agreement Number 72A0071 between the Department and NuStats. The Department and SBCAG agree that the following work tasks specific to SBCAG shall be performed:

SBCAG Task 1 - Develop and Finalize Survey Design (as part of Task 3 in Agreement Number 72A0071) Description: Included in the CHTS survey design is the development of the survey sample frame, sample plan, interview plan/materials, and survey pre-test planning. The Department shall ensure that the sampling plan developed by NuStats, includes the distribution of surveys as determined by the Steering Committee. Product Deliverables: Survey Design Consisting of Survey Sample Frame (including sample detailed data elements), Sample of Households, Interview Plan, and Survey Materials for Survey Pre-Test. SBCAG Task 2 - Conduct Survey Pre-Test and Evaluate Survey Pre-Test Results (as part of Tasks 4 and 5 in Agreement Number 72A0071) Description: The Department shall ensure that NuStats conducts a full and complete Pre-Test of all aspects of the planned household travel survey, including a Pre-Test of the detailed data elements. The Pre-Test will include testing the core survey and the GPS household survey components. The Department shall ensure that NuStats evaluates and documents the lessons learned from the Survey Pre-Test and describes any refinements and revisions to survey methods, material and procedures recommended for the main household travel survey, the GPS subsample, the non-respondent follow-up contact, and the remedies to increase response rate and/or avoid/minimize potential adverse effects of non response. Product Deliverables: Pre-Test Survey Data Files and Summary Report. SBCAG Task 3 - Refine Survey Methods, Materials and Procedures for Main Survey (as part of Task 6 in Agreement Number 72A0071)

Description: The Department shall ensure that NuStats reviews the results of the Pre-Test with SBCAG’s Project Manager and the Steering Committee and recommend any final revisions to the survey methods, materials and procedures for the main survey. Product Deliverable: Revisions to Survey Methods, Materials and Procedures. SBCAG Task 4 - Conduct Main Survey, Evaluate and Geocode Survey Results (as part of Task 7 in Agreement 72A0071):

Description:

The Department shall ensure that NuStats conducts a minimum of 200 Core Travel Surveys, to be included as part of the estimated 60,000 fully completed household surveys statewide;

The Department shall ensure that NuStats selects the sample of households for the SBCAG Region;

The Department shall ensure that NuStats interviews the households selected using consistent and approved survey methods, material and procedures;

The Department shall ensure that NuStats Checks, edits, geocodes and validates the household, person, vehicle, trip/activity, location, and GPS data collected;

The Department shall ensure that NuStats conducts non-respondent follow-up contacts;

The Department shall ensure that NuStats evaluates/monitors the ongoing survey results for quality control;

The Department shall ensure that NuStats geocodes the survey data to standardized geographic codes for database development and analysis; The Department shall ensure that NuStats maintains quality control standards and the definition of a completed household is consistent with the Main CHTS Survey. Product Deliverables: Minimum of two hundred (200) valid, fully completed geocoded household surveys ,surveys, as defined by the Steering Committee, in the SBCAG region; and delivery of Interim Survey Data Files. SBCAG Task 5 - Validate Survey Results, Analyze Statistical Accuracy of the Survey Data, and Develop Data Weighting and Expansion Factors (as part of Task 8 in Agreement 72A0071) Description:

The Department shall ensure that NuStats edits/cleans the raw survey data and validates the household, person, vehicle, trip/activity, location, and GPS survey data; The Department shall ensure that NuStats provides detailed monthly statistical summaries of participation rates, average activity rates per person and per household, proportion of non-mobile persons and households, and other similar indicators of accuracy and consistency; The Department shall ensure that NuStats prepares summary procedural statistics for each sample, including number of contacts, participation rates, completed responses in each cell of the sampling stratification, completed response rates by question, cross-tabulations, and other such descriptors as NuStats and the Steering Committee jointly agree upon; Product Deliverables: Survey Information for Database Development, Documentation of the Survey Data Weighting and Expansion, and Final Survey Database (including Final Survey Data for the SBCAG region). SBCAG Task 6 - Prepare Final Survey Report and Region and Statewide Data Files (as part of Task 9 in Agreement 72A0071) Description: The Department shall ensure that NuStats includes statistics and summaries of SBCAG’s household surveys into the Final Report Product Deliverables: Final Survey Report, Data Files, and Associated Documentation.

6. Termination If through any cause, the Department shall fail to timely and adequately fulfill its obligations under this Agreement or under Agreement Number 72A0071 between the Department and NuStats, LLC, dated June 4, 2010, SBCAG shall thereupon have the right to terminate the Agreement by giving not less than thirty (30) calendar days written notice to the Department of the intent to terminate and specifying the effective date thereof. SBCAG shall provide a reasonable opportunity for the Department to cure prior to termination. In no event shall such opportunity to cure extend beyond the term of the Agreement. In such event, all finished or unfinished documents and other materials developed as part of the Detailed Scope of Work as described in this Agreement shall be furnished to SBCAG, and the Department shall be entitled to receive compensation for all satisfactory work completed prior to the effective date of termination. The Parties may also terminate this Agreement in accordance with the provision outlined in Exhibit B herein (Budget Detail and Payment Provisions).

EXHIBIT B Budget Detail and Payment Provisions

BUDGET DETAIL AND PAYMENT PROVISIONS The following represents the budget detail and payments provisions regarding SBCAG’s contribution to the 2010 CHTS program. 1. Invoicing and Payment

A. For services satisfactorily rendered, and upon receipt and approval by SBCAG of invoices from the Department, SBCAG agrees to pay the Department the maximum amount of $33,000 to participate in the 2010 CHTS program over the fiscal year of 2010-11. Incomplete or disputed invoices shall be returned to the Department, unpaid, for correction.

B. For purposes of this Agreement, the fiscal year shall be from July 1 to June 30. Subject to Section 2 below of this Exhibit B, SBCAG anticipates at this time its contribution to the 2010 CHTS program to be budgeted as follows: Fiscal Year 2011-12, anticipated budget of $ Fiscal Year 2012-13, anticipated budget of $ Total $33,000

C. Except as otherwise stated herein, payment by SBCAG shall be made in accordance and consistent with the payment provisions outlined in Exhibit B of Agreement Number 72A0071 between the Department and NuStats. The Department shall invoice SBCAG for a portion of the Department’s payment of the eligible actual costs incurred by NuStats in the performance of its work on the 2010 CHTS program. SBCAG will not pay Department for its payment of the fixed fee? owed to NuStats as described in Agreement Number 72A0071.

D. Invoices from the Department shall be itemized and shall include the Agreement Number for this Agreement and be submitted in duplicate no more frequently than monthly in arrears to:

Santa Barbara County Association of Governments Attention: Accounts Payable 260 North San Antonio Road, Suite B Santa Barbara CA 93110

E. All Invoices shall be accompanied by two (2) double-sided copies of written, narrative Progress Reports regarding the 2010 CHTS program, with specific focus on the work tasks performed by NuStats for SBCAG. The Progress Reports shall describe, in narrative form, the progress toward completion of the tasks required under this Agreement and Agreement Number 72A0071; and conformance with project schedules. The Progress Report shall also identify technical papers, draft documentation, and any completed products. The purpose of the Progress Reports is to allow SBCAG to determine if the Department and NuStats is performing its obligations and tasks in accordance with the agreed upon schedule, and to afford occasions for airing difficulties or special problems encountered so solutions can be developed. Upon the request of SBCAG, the Department shall provide additional information or documentation to support the costs contained in the invoice within thirty (30) days.

F. SBCAG shall provide payment to the Department as promptly as its fiscal procedures permit, upon receipt of itemized invoices, generally within thirty (30) days of receipt of an invoice from the Department. The Parties acknowledge that SBCAG’s fiscal year is from July 1st to June 30th. Year-end invoices and supporting documentation must be received by SBCAG on or before July 31st of each fiscal year. Invoices received after July 31st for work completed in the preceding fiscal year (July 1 through June 30) shall not be paid.

G. The total amount payable from this Agreement from SBCAG to the Department shall not exceed $33,000.

2. Budget Contingency Clause

A. The Department and SBCAG mutually agree and acknowledge that this Agreement has been written before ascertaining the availability of congressional or legislative appropriation of funds for the total value of this Agreement, in order to avoid program and fiscal delays that would occur if the Agreement were executed after that determination was made.

B. This Agreement is valid and enforceable only if sufficient funds are made available to the Department

and SBCAG by the United States Government or the California Legislature for the purpose of this program. In addition, this Agreement is subject to any additional restrictions, limitations, conditions or any statute enacted by the Congress or the State Legislature that may affect the provisions, terms or funding of this Agreement in any manner.

C. It is mutually agreed that if Congress or the State Legislature in the current fiscal year and/or any subsequent fiscal years covered under this Agreement does not appropriate sufficient funds for the 2010 CHTS program, this Agreement may be amended by the Parties to reflect any reduction of funds. The Department and/or SBCAG shall also have the option to terminate the Agreement by providing thirty (30) days written notice to the other party. In the event of termination by SBCAG, SBCAG shall have no further obligation or liability, except to pay Department for services rendered up to the date of termination and approved by SBCAG.

D. If funding to participate in the 2010 CHTS Program is reduced or deleted in SBCAG’s Overall Work Plan for any fiscal year, SBCAG shall have the option to amend this Agreement to reflect any reduction in funds or to terminate this Agreement with no obligation or liability occurring to the SBCAG, except to pay Department for services rendered up to the date of termination and approved by SBCAG.

EXHIBIT C Special Terms and Conditions

1. Meetings A. The State’s and SBCAG’s Contract Managers shall meet as needed to discuss and track progress on this Agreement. B. Prior to completion of the Agreement, the State and SBCAG shall hold a final meeting between the Contract Managers to discuss findings, conclusions and recommendations. 2. Ownership The State and SBCAG have agreed to cooperatively conduct the CHTS with the intention that the final survey database, from both efforts, will be shared and available to support each agency’s planning programs. A. Ownership of survey materials, databases, results, and publications shall be the exclusive property of the entity funding the individual survey efforts. B. The State and SBCAG grant each other unrestricted rights and use of all survey materials produced by the other, consistent with the confidentiality provisions contained in this Agreement. 3. Publication A. The State and SBCAG shall have the right to publish any and all information, conclusions and developments (except that which is designated as CONFIDENTIAL by the State and SBCAG) resulting from work conducted under this Agreement. Any publication shall give proper credit to both Agencies. B. The State and SBCAG shall share with each other all materials released for publication before submission to the publisher for the purpose of comment and review. The review shall focus on the confidential and/or proprietary subject matter within the materials released for publication. C. The State and SBCAG agree to keep confidential any proprietary information supplied by the other during the course of the Agreement and designated in writing as “CONFIDENTIAL”. Such information will not be included in any published material without the prior written approval of the parties. D. All publications shall contain the following disclaimer in a separate section preceding the main body of the document: “The contents of this report reflect the views of the author who is responsible for the facts and accuracy of the data presented herein. The contents do not necessarily reflect the official views or policies of the State of California, the Southern California Association of Governments, or the Federal Highway Administration. This publication does not constitute a standard, specification or regulation.” 4. Confidentiality of Data A. The State and SBCAG agree that statistical, personal, technical, or other data and information relative to the CHTS, which is designated as confidential by both parties, shall be protected from unauthorized access, use and disclosure. The State and SBCAG will work with other CHTS funding partners to develop policies and procedures to regulate the release of survey information to outside agencies and others which safeguards the confidentiality of survey participants. B. The State, SBCAG and other funding partners will jointly develop a Confidentiality Agreement for use by other agencies requesting the survey database. Release of survey materials containing participant’s names to agencies outside of this Agreement is strictly prohibited. Release of survey materials containing specific address information will require a separate Confidentiality Agreement signed by the requesting agency. Survey materials containing specific address information will be released only to public agencies and universities performing planning studies, after signing the Confidentiality Agreement. Release of confidential information for commercial or marketing purposes is strictly prohibited. C. A public version of the final survey database will be developed by the State and SBCAG for release to other agencies, universities, and private firms. This database will not contain the participant’s name and specific address information will be generalized to the census tract level. A Confidentiality Agreement will not be required for outside agencies to obtain the public version of the survey database.

5. Data - Integrity and Security A. The State and SBCAG shall ensure the preservation, security, and integrity of all survey data containing confidential information on their computer systems, storage devises,devises, portable computing devices and portable electronic storage media including: 1. Encrypt all State-owned data stored on portable computing devices and portable electronic storage media using government-certified Advanced Encryption Standard (AES) cipher algorithm with a 256-bit or 128-bit encryption key to protect California Department of Transportation (Department) data stored on every sector of a hard drive, including temp files, cached data, hibernation files, and even unused disk space. Data encryption shall use cryptographic technology that has been tested and approved against exacting standards, such as FIPS 140-2 Security Requirements for Cryptographic Modules. 2. Encrypt, as described above, all State-owned data transmitted from one computing device or storage medium to another. 3. Maintain confidentiality of all applicable survey materials by limiting and tracking data sharing to those individuals contracted to provide services on behalf of the State and SBCAG, and limit use of confidential information for only State and SBCAG official use. Parties outside of this Agreement wishing to obtain survey materials containing confidential information, must enter into a Confidentiality Agreement to safeguard the identity of survey participants. 4. Install and maintain current anti-virus software, security patches, and upgrades on all computing devices used during the course of the Agreement. 5. Both the State’s and SBCAG’s Contract Managers should be notified immediately of any actual or attempted violations of security of State-owned data, including lost or stolen computing devices, files, or portable electronic storage media containing State-owned data. 6. Advise the owner of the State-owned data, the agency Information Security Officer, and the agency Chief Information Officer of vulnerabilities that may present a threat to the security of State-owned data and of specific means of protecting that State-owned data. B. The State and SBCAG shall use the survey data only for purposes specified in this Agreement. C. The State and SBCAG shall not transfer confidential survey data to any computing system, mobile device, or desktop computer without first establishing the specifications for information integrity and security. 6. Amendments and Termination A. A breach of any of the above terms and conditions may be grounds for terminating the Agreement. B. This Agreement may be amended in writing with mutual consent of both parties. C. This Agreement may be cancelled at any time by either party in writing within thirty (30) days advance notice. If cancelled, the final payment from SBCAG shall be made to the State only for the performance and costs authorized up to the date of cancellation upon receipt of the final invoice. D. In the event that the total contract amount is expended prior to the expiration date, the State may, at its discretion, terminate this contract with 30 days notice to SBCAG. 7. Settlement of Disputes Disputes regarding the interpretation or application of any provision of this Agreement shall, to the extent feasible, be resolved through good faith negotiations between the State and SBCAG. Written notice of the dispute shall be provided to the other party. Within ten (10) days (or other mutually agreed to time frame) of receipt of the notice, representatives from the Department and SBCAG, including the Project Managers for the Department and SBCAG, shall meet for purposes of resolving and settling the dispute. If any action at law or in equity is required to enforce or interpret the provisions of this Agreement, the prevailing party shall be entitled to recover from the other party its actual attorney’s fees and costs, and any other relief to which it may be entitled. 8. Retention of Records/Audits A. For the purpose of determining compliance with Public Contract Code Section 10115, et. seq. and Title 21, California Code of Regulations, Chapter 21, Section 2500 et. seq., when applicable, and other matters connected with the performance of the Agreement pursuant to Government Code Section 8546.7, SBCAG and the State shall maintain all books, documents, papers, accounting records, and other evidence pertaining to the performance of the Agreement, including but not limited to, the costs of administering the

Agreement. All parties shall make such materials available at their respective offices at all reasonable times during the Agreement period and for three years from the date of final payment under the Agreement. The State, the State Auditor, FHWA, or any duly authorized representative of the Federal government having jurisdiction under Federal laws or regulations (including the basis of Federal funding in whole or in part) shall have access to any books, records, and documents of SBCAG that are pertinent to the Agreement for audits, examinations, excerpts, and transactions, and copies thereof shall be furnished if requested. 9. Federal Lobbying Activities Certification A. The State and SBCAG certifies, to the best of his or her knowledge and belief, that: No State or Federal appropriated funds have been paid or will be paid, by or on behalf of SBCAG, to any person for influencing or attempting to influence an officer or employee of any State or Federal agency, a Member of the State Legislature or United States Congress, an officer or employee of the Legislature or Congress, or any employee of a Member of the Legislature or Congress in connection with the awarding of any State or Federal Agreement, the making of any State or Federal grant, the making of any State or Federal loan, the entering into of any Cooperative Agreement, and the extension, continuation, renewal, amendment, or modification of any State or Federal Agreement, Grant, loan, or cooperative agreement. B. If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal Agreement, grant, loan, or cooperative agreement, SBCAG shall complete and submit Standard Form LL., "Disclosure Form to Report Lobbying", in accordance with its instructions. C. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U. S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. 10. Rebates, Kickbacks and Other Unlawful Consideration The State and SBCAG warrants that this Agreement was not obtained or secured through rebates, kickbacks or other unlawful consideration either promised or paid to any state agency employee. For breach or violation of this warranty, the State shall have the right, in its discretion, to terminate the Agreement without liability, to pay only for the value of work performed, or to deduct from the Agreement price or otherwise recover the full amount of each rebate, kickback or other unlawful consideration. 11. Audit Review Procedures A. Any dispute concerning a question of fact arising under an interim or post audit of this Agreement that is not disposed of by Agreement shall be reviewed by the Chairperson of the Audit Review Committee (ARC). The ARC will consist of the Deputy Director, Audits & Investigations (Chairperson); Deputy Director of the functional Program area; the Chief Counsel, Legal Division, or their designated alternates; and if the Department chooses, two representatives of the Department's choosing, from private industry. The two representatives from private industry will be advisory in nature only and will not have voting rights. Additional members or their alternates may serve on the ARC. B. Not later than thirty (30) days after issuance of the final audit report, SBCAG may request a review by the ARC of unresolved audit issues. The request for review will be submitted in writing to the Chairperson of the ARC. The request must contain detailed information of the factors involved in the dispute as well as justifications for reversal. A meeting by the ARC will be scheduled if the Chairperson concurs that further review is warranted. After the meeting, the ARC will make recommendations to the appropriate Chief Deputy Director. The Chief Deputy Director will make the final decision for the Department. The final decision will be made within three (3) months of receipt of the notification of dispute. C. Neither the pendency of a dispute nor its consideration by Caltrans will excuse Caltrans from full and timely performance, in accordance with the terms of this Agreement.

EXHIBIT D Additional Provisions

Agreement Number 72A0071 between the California Department of Transportation and NuStats, LLC, dated 06/04/10.

Attachment 2: Agreed Sample Distribution for MPO Supplemental Samples

Sample Distribution Plan with Augment - Sorted by Region/Grouping and County

County MPO/RPTA Grouping

Number of

HHlds

Share of

Total State

HHs

Initial

Sample

State

funded

CHTS

SCAG

funded

CHTS

MPO

Supplemental

CHTS

Total

Monterey AMBAG AMBAG 125,203 1.03% 599 599 592 1192

San Benito AMBAG AMBAG 16,741 0.14% 243 243 79 322

Santa Cruz AMBAG AMBAG 93,555 0.77% 474 474 443 917

AMBAG 235,499 1,317 0 1,114 2,431

Alameda MTC MTC 518,352 4.26% 1,100 1,100 620 1720

Contra Costa MTC MTC 364,643 2.99% 800 800 436 1236

Marin MTC MTC 100,446 0.82% 480 480 120 600

Napa MTC MTC 47,851 0.39% 338 338 57 395

San Francisco MTC MTC 323,028 2.65% 700 700 386 1086

San Mateo MTC MTC 252,719 2.08% 901 901 302 1203

Santa Clara MTC MTC 585,364 4.81% 1,200 1,200 700 1900

Solano MTC MTC 136,126 1.12% 608 608 163 771

Sonoma MTC MTC 179,010 1.47% 742 742 214 956

MTC 2,507,539 6,869 0 3000 9,869

Butte Butte BCAG 85,984 0.71% 468 468 0 0 468

Shasta Shasta SCMPO 69,185 0.57% 355 355 0 0 355

El Dorado TMPO (CA part) Other MPO 13,485 0.11% 241 241 241

Placer TMPO (CA part) Other MPO 4,832 0.04% 214 214 214

TMPO 455 0 0 455

Alpine Alpine Rural 492 0.004% 36 36 36

Colusa Colusa Rural 6,842 0.06% 215 215 215

Del Norte Del Norte Rural 9,693 0.08% 228 228 228

Glenn Glenn Rural 9,502 0.08% 228 228 228

Humboldt Humboldt Rural 52,570 0.43% 342 342 342

Inyo Inyo Rural 7,673 0.06% 226 226 226

Lake Lake Rural 24,603 0.20% 270 270 270

Lassen Lassen Rural 10,350 0.08% 228 228 228

Mendocino Mendocino Rural 33,734 0.28% 297 297 297

Modoc Modoc Rural 3,766 0.03% 213 213 213

Mono Mono Rural 5,163 0.04% 214 214 214

Nevada Nevada Rural 40,273 0.33% 332 332 332

Plumas Plumas Rural 10,105 0.08% 228 228 228

Sierra Sierra Rural 1,523 0.01% 104 104 104

Siskiyou Siskiyou Rural 20,021 0.16% 256 256 256

Tehama Tehama Rural 23,451 0.19% 269 269 269

Trinity Trinity Rural 5,582 0.05% 214 214 214

Rural 3,900 0 0 3,900

El Dorado SACOG SACOG 51,858 0.43% 341 341 341

Placer SACOG SACOG 121,135 0.99% 596 596 596

Sacramento SACOG SACOG 501,417 4.12% 1,000 1,000 1,000

Sutter SACOG SACOG 30,822 0.25% 284 284 284

Yolo SACOG SACOG 67,971 0.56% 354 354 354

Yuba SACOG SACOG 24,546 0.20% 270 270 270

SACOG 2,845 0 0 2,845

San Diego SANDAG SANDAG 1,040,945 8.55% 2,200 2,200 0 0 2,200

San Luis Obispo SLO SBrb/SLO 102,696 0.84% 482 482 0 118 600

Santa Barbara Santa Barbara SBrb/SLO 140,942 1.16% 612 612 0 200 812

Imperial SCAG SCAG 45,976 0.38% 337 337 359 696

Los Angeles SCAG SCAG 3,174,611 26.07% 6,600 6,600 7048 13648

Orange SCAG SCAG 973,247 7.99% 2,000 2,000 2136 4136

Riverside SCAG SCAG 647,443 5.32% 1,300 1,300 1388 2688

San Bernardino SCAG SCAG 589,058 4.84% 1,200 1,200 1281 2481

Ventura SCAG SCAG 257,198 2.11% 904 904 966 1870

SCAG 12,341 13,178 25,519

Fresno Fresno SJQ Valley 279,029 2.29% 1,022 1,022 413 1,435

Kern Kern SJQ Valley 240,151 1.97% 891 891 413 1,304

Kings Kings SJQ Valley 39,796 0.33% 332 332 113 445

Madera Madera SJQ Valley 41,936 0.34% 333 333 113 446

Merced Merced SJQ Valley 72,815 0.60% 458 458 113 571

San Joaquin San Joaquin SJQ Valley 207,583 1.70% 765 765 113 878

Stanislaus Stanislaus SJQ Valley 159,529 1.31% 627 627 213 840

Tulare Tulare SJQ Valley 122,983 1.01% 598 598 413 1,011

SJQ Valley 5,025 0 1904 6,929

Amador Amador W. Slope 14,565 0.12% 242 242

Calaveras Calaveras W. Slope 18,122 0.15% 254 254

Mariposa Mariposa W. Slope 6,592 0.05% 215 215

Tuolumne Tuolumne W. Slope 21,718 0.18% 267 267

W. Slope 978 0 0 978

TOTAL 12,176,551 100.00% 37,847 37,847 13,178 6,336 57,361