HomeMy WebLinkAbout17-139 Resolution No. 17-139
RESOLUTION
AUTHORIZING ACCEPTANCE OF ILLINOIS DEPARTMENT OF TRANSPORTATION
SUSTAINED TRAFFIC ENFORCEMENT PROGRAM (STEP) GRANT AND RATIFYING
THE EXECUTION OF A GRANT AGREEMENT
(Agreement No. AP-18-0044 04-02)
BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF ELGIN,ILLINOIS,that
the City of Elgin,Illinois hereby accepts the Illinois Department of Transportation Sustained Traffic
Enforcement Program(STEP)grant in the amount of$94,323 for occupant protection and impaired
driving enforcement.
BE IT FURTHER RESOLVED BY THE CITY COUNCIL OF THE CITY OF ELGIN,
ILLINOIS, that it hereby ratifies and approves the execution of a grant agreement by Richard G.
Kozal,City Manager,with the Illinois Department of Transportation regarding the Sustained Traffic
Enforcement Program (STEP), a copy of which is attached hereto and made a part hereof by
reference.
s/David J. Kaptain
David J. Kaptain, Mayor
Presented: November 8, 2017
Adopted: November 8, 2017
Omnibus Vote: Yeas: 9 Nays: 0
Attest:
s/Kimberly Dewis
Kimberly Dewis, City Clerk
STEP/eLAP Attachment NOFO# 18-0343-01
Illinois Department Grantee Name: City of Elgin
,---N V
of Transportation Project Number: AP-18-0044
Personnel(Salaries &Wages) Budget Occupant Protection Impaired Driving
Enforcement Enforcement
Halloween Campaign (Optional) $0.00 $1,380.00
Thanksgiving Campaign (Mandatory) $5,520.00 $4,485.00
Christmas/New Year's Campaign (Mandatory) $1,104.00 $4,485.00
Super Bowl Campaign (Optional) $0.00 $1,380.00
St. Patrick's Day Campaign (Mandatory) $0.00 $1,380.00
Memorial Day Campaign (Mandatory) $11,040.00 $4,485.00
Independence Day Campaign (Mandatory) $9,660.00 $4,485.00
Labor Day Campaign (Mandatory) $9,384.00 $4,485.00
Additional Enforcement (Optional) N/A $31,050.00
eLAP Enforcement(Optional) N/A $0.00
Subtotal Personal Services $36,708.00 $57,615.00
Equipment(eLAP only) $0.00
(Must be directly related to the operation of Roadside Safety Checks) ~
Total All Funds $94,323.00 j
Cam•ai•n Breakdown
Halloween Campaign(October 27-November 1 (6 am), 217)
Occupant Protection #of officers #of hours #of details Total Hours Overtime Rate Total Campaign Budget
Daytime SBEZ $0.00
Nighttime SBEZ $0.00
Nighttime Saturation Patrols $0.00
TOTAL $0.00
Impaired Driving #of officers #of hours #of details Total Hours Overtime Rate Total Campaign Budget
Stand Alone RSC $0.00
Joint/Agency RSC $0.00
Joint/ISP RSC $0.00
Saturation Patrols 4 5 1 20 $69.00 $1,380.00
TOTAL $1,380.00
Thanksgiving Campaign (November 17—27(6 am), 2017)
Occupant Protection #of officers #of hours #of data Is Total Hours Overtime Rate Total Campaign Budget
Daytime SBEZ 6 2 3 36 $69.00 $2,484.00
Nighttime SBEZ 6 2 2 24 $69.00 $1,656.00
Nighttime Saturation Patrols 5 2 2 20 $69.00 $1,380.00
TOTAL $5,520.00
Impaired Driving #of officers #of hours #of deta Is Total Hours Overtime Rate Total Campaign Budget
Stand Alone RSC $0.00
Joint/Agency RSC $0.00
Joint/ISP RSC $0.00
Saturation Patrols 13 5 1 65 569.00 $4,485.00
TOTAL $4,485.00
Page 1 of 6 Addendum 1
Christmas/New Year's Campaign (December 18, 2017 -January 2 (6 am), 2018)
Occupant Protection #of officers #of hours #of d- -ils Total Hours Overtime Rate Total Campaign Budget
Daytime SBEZ $0.00
Nighttime SBEZ $0.00
Nighttime Saturation Patrols 4 2 2 16 569.00 $1,104.00
TOTAL 51,104.00
Impaired Driving #of officers #of hours #of details Total Hours Overtime Rate Total Campaign Budget
Stand Alone RSC $0.00
Joint/Agency RSC $0.00
Joint/ISP RSC $0.00
Saturation Patrols 13 5 65 $69.00 $4,485.00
TOTAL $4,485.00
Super Bowl Campaign(February 2 -February 5 (6 am). 2018)
Occupant Protection #of officers #of hours #of details Total Hours Overtime Rate Total Campaign Budget
Daytime SBEZ $0.00
Nighttime SBEZ $0.00
Nighttime Saturation Patrols $0.00
TOTAL $0.00
Impaired Driving #of officers #of hours #of dela Is Total Hours Overtime Rate Total Campaign Budget
Stand Alone RSC $0.00
Joint/Agency RSC $0.00
Joint/ISP RSC $0.00
Saturation Patrols 4 5 1 20 $69.00 $1,380.00
TOTAL $1,380.00
St. Patrick's Day Campaign(March 16—19(6 am), 2018)
Occupant Protection #of officers #of hours #of detais Total Hours Overtime Rate Total Campaign Budget
Daytime SBEZ $0.00
Nighttime SBEZ $0.00
Nighttime Saturation Patrols $0.00
TOTAL $0.00
Impaired Driving #of officers #of hours #of detaIs Total Hours Overtime Rate Total Campaign Budget
Stand Alone RSC $0.00
Joint/Agency RSC $0.00
Joint/ISP RSC $0.00
Saturation Patrols 4 5 1 20 $69.00 $1,380.00
TOTAL $1,380.00
Page 2 of 6 Addendum 1
Memorial Day Campaign (May 18—29 (6 am), 2018)
Occupant Protection #of officers #of hours #of de - Is Total Hours Overtime Rate Total Campaign Budget
Daytime SBEZ 6 2 6 72 $69.00 $4,968.00
Nighttime SBEZ 6 2 4 48 $69.00 $3,312.00
Nighttime Saturation Patrols 5 2 4 40 $69.00 $2,760.00
TOTAL $11,040.00
Impaired Driving #of officers #of hours #of deta,ls Total Hours Overtime Rate Total Campaign Budget
Stand Alone RSC $0.00
Joint/Agency RSC $0.00
Joint/ISP RSC $0.00
Saturation Patrols 13 5 1 65 $69.00 $4,485.00
TOTAL $4,485.00
Independence Day Campaign (June 25-July 8 (6 am),2018)
Occupant Protection #of officers #of hours #of deta Is ToNl Haws Overtime Rate Total Campaign Budget
Daytime SBEZ 6 2 6 72 $69.00 $4,968.00
Nighttime SBEZ 6 2 4 48 $69.00 $3,312.00
Nighttime Saturation Patrols 5 2 2 20 $69.00 51,380.00
TOTAL $9,860.00
Impaired Driving #of officers #of hours #of detals Total Hours Overtime Rate Total Campaign Budget
Stand Alone RSC $69.00 $0.00
Joint/Agency RSC $0.00
Joint/ISP RSC $0.00
Saturation Patrols 13 5 1 65 $69.00 $4,485.00
TOTAL $4,485.00
Labor Day Campaign (August 20-September 4(6 am),2018)
Occupant Protection #of officers #of hours #of detairs Total Hours Overtime Rate Total Campaign Budget
Daytime SBEZ 6 2 4 48 $69.00 $3,312.00
Nighttime SBEZ 6 2 4 48 $69.00 $3,312.00
Nighttime Saturation Patrols 5 2 4 40 $69.00 $2,760.00
TOTAL $9,384.00
Impaired Driving #of officers #of hours #of details Total Hours Overtime Rate Total Campaign Budget
Stand Alone RSC $0.00
Joint/Agency RSC $0.00
Joint/ISP RSC $0.00
Saturation Patrols 13 5 1 65 $69.00 $4,485.00
TOTAL $4,485.00
Page 3 of 6 Addendum 1
*Additional Enforcement is limited to nighttime saturation patrols on the weekends that are identified in the calendar
below,
Additional Enforcement
Impaired Driving #of officers #of hours #of details Total Hours Overtime Rate Total Campaign Budget
Saturation Patrols 2 5 45 450 $69.00 $31,050.00
TOTAL $31,050.00
*The eLAP enforcement is limited to Friday 9:00 pm through onday 6:00 am during the weekends that are identified in
the calendar below.
eLAP Enforcement
Impaired Driving #of officers #of hours #of deta s Total Hours Overtime Rate Total Campaign Budget
Roadside Safety Checks $0.00
TOTAL $0.00
Additional / eLAP E orcement Calendar
S M T W T f :S- SMTWTFS W T. F S SMTWTF S
1 2 3 4 5 6 1 2 naEn 1 2 3 4 $
s 10 11 12 aidEN 7 8 9ng 5 6 7 ag Iga 9 10 11.11
faId 171819x1Nu 14 15 16 17 18 - x121314 wig nin161718®1
w 24 25 26 27 28 19 20 21 22 23 24 25 • 11 19 20 21 22 23 EN 23 24 25 g ®
29 30 31 26 27 28 29 30 4 25 26 27 28 29 30 agis 3031
1
talwarricr
S MTWTF S SMIWT FS ,1111. T F. S SMTWTF S
1 2 3 ' 1 sm . 3 4 5 6 a 1 2 3 ME
4 5 6 7 8 int pkts 6 7 8 MB •101112 Min m2 8 9 101111
UM 13 14 15 en ird 1314151617 •171819 Eta Effl15161718 19
am 20 21 22 18 19 20 21 22 nu ■24 25 26711N 20 21 22 23 24 25 26
ME 27 28 Ehil 27 28 29 Es • 27 28 29 30 31
S M T W. T F. 5 S M. T W T F• S M_ T W T 'S SMTWT F S
in1 1 2 3 4 5 6 7 1 2alla 1
Eggi 5 6 7 111 8 9 10 11 12111111 117 8 9 MIMI 2 3 4 5 6 ■U
g121314ma egi 1718191111 11 14 15 16 nip ttli 1112131
add 19 20 21 IMIR fin2425261111$ •2122232425 mtg 181920E0
Est 26 27 28 29 3o ma 31 2 27 28 29 30 31 askii 25 26 27 NE
Page 4 • 6 Addendum
Equipment
'Equipment purchases must be directly related to the operation of Roadside Safety Checks.
Item Estimated Cost
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
TOTAL $0.00
Page 5 of 6 Addendum 1
•
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�\\ wY • - ''�t,t,X. �^.. ,f rt < ?it, _ ; iy�f ,-M tX-',`-rl' b 'w4+:r'
- ae o- -..4.4.—
I'''rt 4 i •, : aa ,14i A i r ,- .L��: rz:R _ j
'X:. ,.., F ' I '"aiss .....
October 27-
October 23-30, November 1-3, November 15,
•vember 1 (6 a.m.), ! 2017 2017
Halloween No 2017
2017
November
Thanksgiving yes November 15- ovember 17?7 (6 December 18 December 11;
20, 2017 a.m.), 201. 2017 2017
I
C ecember 18, 2017-
December 18- January 2-5, January 15,
2017 January 2(6 a.m.), 2018 2018
Holiday Yes 21
2018
i
December 31- February 2-5(6 a.m.), February 5-7, February 19,
Super Bowl No February 2, 2018 2018 2018
2018
St. Patrick's March 12-16, March 16-19(6 a.m.), March 19-21,
Day No 2018 2018 2018 April 2, 2018
Memorial Day Yes May 14-24, May 18-29 (6 a.m.), May 29-June 1, June 11, 2018
2018 2018 2018
Independence 1 Yes June 25-July 2, JNne 25-July 8, 2018 July 9-11, 2018 July 23, 2018
Day 2018
Labor Day August 20-30, August 20— September 4-6, September 17,
Holiday Yes 2018 September 4(6 a.m.), 2018 2018
2018
Additional
Impaired
Driving and/or Submit to LEL in
Submit to LEL in Submit to LEL in Within 14 days
Occupant No advance for advance for approval advance for of completion
Protection 1 approval approval of enforcement
Patrols i
(Optional)
Page 6 of 6 Addendum 1
Agreement No. AP-18-0044 04-02
GRANT AGREEMENT
REG 1Ret
t
SO'
Programs BETWEEN
S fety&En9`nee +n9 THE STATE OF ILLINOIS, ILLINOIS DEPARTMENT OF TRANSPORTATION
AND
CITY OF ELGIN
The Illinois Department of Transportation (Grantor), with its principal office at
2300 South Dirksen Parkway, Springfield, Illinois 62764,
and City of Elgin (Grantee), with its principal office at
150 Dexter Ct., Elgin, IL 60120,
and payment address (if different than principal office)at n/a
hereby enter into this Grant Agreement(Agreement). Grantor and Grantee are collectively referred to herein
as "Parties" or individually as a"Party."
PART ONE—THE UNIFORM TERMS
RECITALS
WHEREAS, it is the intent of the Parties to perform consistent with all Exhibits and attachments hereto
and pursuant to the duties and responsibilities imposed by Grantor under the laws of the State of Illinois and
in accordance with the terms, conditions and provisions hereof.
NOW, THEREFORE, in consideration of the foregoing and the mutual agreements contained herein, and
for other good and valuable consideration, the value, receipt and sufficiency of which are acknowledged, the
Parties hereto agree as follows:
ARTICLE I
AWARD AND GRANTEE SPECIFIC INFORMATION AND CERTIFICATION
1.1 DUNS Number; SAM Registration; Nature of Entity. Under penalties of perjury, Grantee
certifies that 010224772 is Grantee's correct DUNS number, that 366005862
is Grantee's correct FEIN or Social Security Number, and that Grantee has an active State registration and
SAM registration. Grantee is doing business as a (check one):
❑ Individual ❑ Pharmacy- Non Corporate
❑ Sole Proprietorship ❑ Pharmacy/Funeral Home/Cemetery Corp.
❑ Partnership ❑ Tax Exempt
❑ Corporation (includes Not For Profit) ❑ Limited Liability Company(select
Li Medical Corporation applicable tax classification)
❑ Governmental Unit ❑ P = partnership
❑ Estate or Trust ❑ C =corporation
❑ Grantee has not received a payment from the State of Illinois in the last two years. Grantee must
submit a W-9 tax form with this Agreement
1.2 Amount of Agreement. Grant Funds (check one) ® shall not exceed or ❑ are estimated
State of Illinois
GRANT AGREEMENT FISCAL YEAR 2018/2 17 17
Page 1 of 34
Agreement No. AP-18-0044 04-02
to be $ 94.323.00,of which $94,323.00, are federal funds. Grantee agrees to accept Grantor's payment as
specified in the Exhibits and attachments incorporated herein as part of this agreement.
1.3 Identification Numbers. If applicable, the Federal Award Identification Number(FAIN) is
18X9204020IL17,the Federal awarding agency is National Highway Traffic Safety Administration, and the
Federal Award date is 11/03/16. If applicable, the Catalog of Federal Domestic Assistance(CFDA) Name is
State and Community Highway Safety and Number is 20.600. The Catalog of State Financial Assistance
(CSFA) Number is 494-10-0343.
1.4 Term.This Agreement shall be effective on 10/01/17 and shall expire on 09/30/18 unless
terminated pursuant to this Agreement.
1.5 Certification. Grantee certifies under oath that(1)all representations made in this Agreement are
true and correct and (2)all Grant Funds awarded pursuant to this Agreement shall be used only for the
purpose(s)described herein. Grantee acknowledges that the•Award is made solely upon this certification and
that any false statements, misrepresentations, or material omissions shall be the basis for immediate
termination of this Agreement and repayment of all Grant Funds.
THE REST OF THIS PAGE IS LEFT INTENTIONALLY BLANK
State of Illinois
GRANT AGREEMENT FISCAL YEAR 2018/2 17 17
Page 2 of 34
Agreement No. AP-18-0044 04-02
1.6 Signatures. In witness whereof, the Parties hereto have caused this Agreement to be executed by
their duly authorized representatives.
ILLINOIS DEP RTMENT OF TRANSPORTATION City of _• -
By:
Y•
B
gnature of Secreta DOT Signature of Authorized Representative
By: Chi Date: iet7
Signature of Designee Printed Name: Rick Kozel
Date: qI 17 Printed Title: City Manager
Printed Name: Randall S. Blanken orn E-mail: kozal^r@cityofelgin.org
Printed Title: Secretary, IDOT
Designee
By: ► By: 04, • • 04 or• 4
Signature of Chief Counsel, IDOT Signature of Director,Program Development
By: By:
Signature of Designee Signature of Designee
Date: Date: q-(5-17
Printed Name: William M. Barnes Printed Name: Priscilla A. Tobias, PE
Printed Title: Chief Counsel, IDOT Printed Title: Director, Program Development
Designee Designee
By:
Signatu 1of Director,Finance and Administration
By:
Signature of Designee
Date:
Printed Name: Jeff Heck
Printed Title: Director, Finance &Administration
Designee
By:
Signature of Second Other Approver's Name&Title
By:
Signature of Designee
Date:
Printed Name:
Printed Title:
Designee
By:
Signature of Second Other Approver's Name&Title
By:
Signature of Designee
-�. Date:
Printed Name:
Printed Title:
Designee
State of Illinois
GRANT AGREEMENT FISCAL YEAR 2018/2 17 17
Page 3 of 34
Agreement No. AP-18-0044 04-02
ARTICLE II
REQUIRED REPRESENTATIONS
2.1 Standing and Authority. Grantee warrants that:
(a) Grantee is duly organized, validly existing and in good standing under the laws of the
State in which it was incorporated or organized.
(b) Grantee has the requisite power and authority to execute and deliver this Agreement
and all documents to be executed by it in connection with this Agreement, to perform its obligations
hereunder and to consummate the transactions contemplated hereby.
(c) If Grantee is organized under the laws of another jurisdiction, Grantee warrants that
it is also duly qualified to do business in Illinois and, if applicable, is in good standing with the Illinois
Secretary of State.
(d) The execution and delivery of this Agreement, and the other documents to be
executed by Grantee in connection with this Agreement, and the performance by Grantee of its
obligations hereunder have been duly authorized by all necessary entity action.
(e) This Agreement and all other documents related to this Agreement, including the
Uniform Grant Application, the Exhibits and attachments to which Grantee is a party constitute the
legal, valid and binding obligations of Grantee enforceable against Grantee in accordance with their
respective terms.
2.2 Compliance with Internal Revenue Code. Grantee certifies that it does and will comply with all
provisions of the Federal Internal Revenue Code(26 USC 1), the Illinois Revenue Act(35 ILCS 5), and all
rules promulgated thereunder, including withholding provisions and timely deposits of employee taxes and
unemployment insurance taxes.
2.3 Compliance with Federal Funding Accountability and Transparency Act of 2006. Grantee certifies
that it does and will comply with the reporting requirements of the Federal Funding Accountability and
Transparency Act of 2006(P.L. 109-282)(FFATA)with respect to Federal Awards greater than or equal to
$25,000. A FFATA sub-award report must be filed by the end of the month following the month in which the
award was made.
2.4 Compliance with Uniform Grant Rules (2 CFR Part 200). Grantee certifies that it shall adhere to
the applicable Uniform Administrative Requirements, Cost Principles, and Audit Requirements, which are
published in Title 2, Part 200 of the Code of Federal Regulations, and are incorporated herein by reference.
See 44 III.Admin. Code 7000.30(b)(1)(A).
2.5 Compliance with Registration Requirements. Grantee and its sub-grantees shall: (i) be
registered with the Federal SAM; (ii) be in good standing with the Illinois Secretary of State, if applicable; and
(iii) have a valid DUNS number. It is Grantee's responsibility to remain current with these registrations and
requirements. If Grantee's status with regard to any of these requirements change, or the certifications made
in and information provided in the Uniform Grant Application changes, Grantee must notify the Grantor in
accordance with ARTICLE XVIII.
State of Illinois
GRANT AGREEMENT FISCAL YEAR 2018/2 17 17
Page 4 of 34
Agreement No. AP-18-0044 04-02
ARTICLE III
DEFINITIONS
3.1 Definitions. Capitalized words and phrases used in this Agreement have the following meanings:
"2 CFR Part 200" means the Uniform Administrative Requirements, Cost Principles, and Audit
Requirements for Federal Awards published in Title 2, Part 200 of the Code of Federal Regulations.
"Agreement" or"Grant Agreement" has the same meaning as in 44 Ill. Admin. Code 7000.20.
'Allocable Costs` means costs allocable to a particular cost objective if the goods or services involved
are chargeable or assignable to such cost objective in accordance with relative benefits received or other
equitable relationship. Costs allocable to a specific Program may not be shifted to other Programs in order to
meet deficiencies caused by overruns or other fund considerations, to avoid restrictions imposed by law or by
the terms of this Agreement, or for other reasons of convenience.
"Allowable Costs" has the same meaning as in 44 III. Admin. Code 7000.20.
"Award" has the same meaning as in 44 III. Admin. Code 7000.20.
"Budget" has the same meaning as in 44 III. Admin. Code 7000.20.
"CFDA"or"Catalog of Federal Domestic Assistance" has the same meaning as in 44 III. Admin. Code
7000.20.
"Close-out Report" means a report from the Grantee allowing the Grantor to determine whether all
applicable administrative actions and required work have been completed, and therefore closeout actions
can commence.
"Conflict of Interest" has the same meaning as in 44 III. Admin. Code 7000.20.
"Consolidated Financial Report" means a financial information presentation in which the assets, equity,
liabilities, and operating accounts of an entity and its subsidiaries are combined (after eliminating all inter-
entity transactions)and shown as belonging to a single reporting entity.
"Cost Allocation Plan" has the same meaning as in 44 III. Admin. Code 7000.20.
"CSFA" or"Catalog of State Financial Assistance" has the same meaning as in 44 III. Admin. Code
7000.20.
"Direct Costs" has the same meaning as in 44 III. Admin. Code 7000.20.
"Disallowed Costs" has the same meaning as in 44 III. Admin. Code 7000.20.
"DUNS Number" means a unique nine digit identification number provided by Dun & Bradstreet for each
physical location of Grantee's organization. Assignment of a DUNS Number is mandatory for all
organizations seeking an Award from the State of Illinois.
"FAIN"means the Federal Award Identification Number.
"FFATA" or"Federal Funding Accountability and Transparency Act" has the same meaning as in 31
USC 6101; P.L. 110-252.
State of Illinois
GRANT AGREEMENT FISCAL YEAR 2018/2 17 17
Page 5 of 34
Agreement No. AP-18-0044 04-02
"Fixed-Rate" has the same meaning as in 44 III. Admin. Code 7000.20. "Fixed-Rate" is in contrast to
fee-for-service, 44 III. Admin. Code 7000.20.
"GAAP" or"Generally Accepted Accounting Principles" has the same meaning as in 44 III. Admin. Code
7000.20.
"Grant Funds" has the same meaning as in 30 ILCS 705.
"Indirect Costs" has the same meaning as in 44 III. Admin. Code 7000.20.
"Indirect Cost Rate" means a device for determining in a reasonable manner the proportion of indirect
costs each Program should bear. It is a ratio (expressed as a percentage) of the Indirect Costs to a Direct
Cost base. If reimbursement of Indirect Costs is allowable under an Award, Grantor will not reimburse those
Indirect Costs unless Grantee has established an Indirect Cost Rate covering the applicable activities and
period of time, unless Indirect Costs are reimbursed at a fixed rate.
"Indirect Cost Rate Proposal" has the same meaning as in 44 III. Admin. Code 7000.20.
"Net Revenue" means an entity's total revenue less its operating expenses, interest paid, depreciation,
and taxes. "Net Revenue" is synonymous with "Profit."
"Nonprofit Organization" has the same meaning as in 44 III. Admin. Code 7000.20.
"Notice of Award" has the same meaning as in 44 III. Admin. Code 7000.20.
"OMB" has the same meaning as in 44 III. Admin. Code 7000.20.
"Prior Approval" has the same meaning as in 44 III. Admin. Code 7000.20.
'Profit" means an entity's total revenue less its operating expenses, interest paid, depreciation, and
taxes. "Profit" is synonymous with "Net Revenue."
"Program" means the services to be provided pursuant to this Agreement.
"Program Costs" means all Allowable Costs incurred by Grantee and the value of the contributions
made by third parties in accomplishing the objectives of the Award during the Term of this Agreement.
"Program Income" has the same meaning as in 44 III. Admin. Code 7000.20.
"Related Parties" has the meaning set forth in Financial Accounting Standards Board (FASB)
Accounting Standards Codification (ASC) 850-10-20.
"SAM" means the federal System for Award Management (SAM); which is the Federal repository into
which an entity must provide information required for the conduct of business as a recipient. 2 CFR 25
Appendix A(1)(C)(1).
"State" means the State of Illinois.
"Term" has the meaning set forth in Paragraph 1.4.
"Unallowable Costs" has the same meaning as in 44 III. Admin. Code 7000.20.
State of Illinois
GRANT AGREEMENT FISCAL YEAR 2018/2 17 17
Page 6 of 34
Agreement No. AP-18-0044 04-02
ARTICLE IV
PAYMENT
4.1 Availability of Appropriation; Sufficiency of Funds. This Agreement is contingent upon and
subject to the availability of sufficient funds. Grantor may terminate or suspend this Agreement, in whole or
in part, without penalty or further payment being required, if(i) sufficient funds for this Agreement have not
been appropriated or otherwise made available to the Grantor by the State or the Federal funding source, (ii)
the Governor or Grantor reserves funds, or(iii)the Governor or Grantor determines that funds will not or may
not be available for payment. Grantor shall provide notice, in writing, to Grantee of any such funding failure
and its election to terminate or suspend this Agreement as soon as practicable. Any suspension or
termination pursuant to this Section will be effective upon the date of the written notice unless otherwise
indicated.
4.2 Illinois Grant Funds Recovery Act. Any Grant Funds remaining that are not expended or
legally obligated by Grantee at the end of the Agreement period, or in the case of capital improvement
Awards at the end of the time period Grant Funds are available for expenditure or obligation, shall be
returned to Grantor within forty-five(45)days in accordance with the Grant Funds Recovery Act(30 ILCS
705/1 et seq.). In the event of a conflict between the Grant Funds Recovery Act and the Grant Accountability
and Transparency Act, the provisions of the Grant Accountability and Transparency Act shall control. 30
ILCS 708/80.
4.3 Cash Management Improvement Act of 1990. Unless notified otherwise in PART TWO or
PART THREE, Federal funds received under this Agreement shall be managed in accordance with the Cash
Management Improvement Act of 1990 (31 USC 6501 et seq.)and any other applicable Federal laws or
regulations.
4.4 Payments to Third Parties. Grantee agrees to hold harmless Grantor when Grantor acts in
good faith to redirect all or a portion of any Grantee payment to a third party. Grantor will be deemed to have
acted in good faith if it is in possession of information that indicates Grantee authorized Grantor to intercept
or redirect payments to a third party or when so ordered by a court of competent jurisdiction.
4.5 Modifications to Estimated Amount. If the Agreement amount is established on an estimated
basis, then it may be increased by mutual agreement at any time during the Term. Grantor may decrease
the estimated amount of this Agreement at any time during the Term if(i)Grantor believes Grantee will not
use the funds during the Term, (ii)Grantor believes Grantee has used funds in a manner that was not
authorized by this Agreement, (iii)sufficient funds for this Agreement have not been appropriated or
otherwise made available to the Grantor by the State or the Federal funding source, (iv)the Governor or
Grantor reserves funds, or (v)the Governor or Grantor determines that funds will or may not be available for
payment. Grantee will be notified, in writing, of any adjustment of the estimated amount of this Agreement.
In the event of such reduction, services provided by Grantee under Exhibit A may be reduced accordingly.
Grantee shall be paid for work satisfactorily performed prior to the date of the notice regarding adjustment. 2
CFR 200.308.
4.6 Interest.
(a) All interest earned on Grant Funds held by a Grantee shall become part of the Grant
Funds when earned and be treated accordingly for all purposes, unless otherwise provided in PART
TWO or PART THREE. 30 ILCS 705/10.
(b) Grant Funds shall be placed in an insured account, whenever possible, that bears
interest, unless exempted under 2 CFR Part 200.305(b)(8). All interest earned shall be considered
Grant Funds and are subject to the same restrictions, unless there is an applicable Federal program
rule that takes precedence.
State of Illinois
GRANT AGREEMENT FISCAL YEAR 2018/2 17 17
Page 7 of 34
Agreement No. AP-18-0044 04-02
(c) A Grantee who is required to reimburse Grant Funds pursuant to an action brought
under the Grant Funds Recovery Act, and who enters into a deferred payment plan for the purpose
of satisfying a past due debt, shall be required to pay interest on such debt as required by Section
10.2 of the Illinois State Collection Act of 1986, 30 ILCS 210; See also 30 ILCS 705/10.
4.7 Timely Billing Required. Grantee must submit any payment request to Grantor within thirty
(30)days of the end of the quarter, unless another billing schedule is specified in PART TWO or PART
THREE. Failure to submit such payment request timely will render the amounts billed an unallowable cost
which Grantor cannot reimburse. In the event that Grantee is unable, for good cause,to submit its payment
request timely, Grantee shall timely notify Grantor and may request an extension of time to submit the
payment request. Grantor's approval of Grantee's request for an extension shall not be unreasonably
withheld.
4.8 Certification. Pursuant to 2 CFR 200.415, each invoice and report submitted by Grantee
must contain the following certification by an official authorized to legally bind the Grantee:
By signing this report [or payment request], I certify to the best of my
knowledge and belief that the report[or payment request] is true, complete,
and accurate, and the expenditures, disbursements and cash receipts are
for the purposes and objectives set forth in the terms and conditions of the
Federal or State award. I am aware that any false, fictitious, or fraudulent
information, or the omission of any material fact, may subject me to criminal,
civil or administrative penalties for fraud, false statements, false claims or
otherwise. (U.S. Code Title 18, Section 1001 and Title 31, Sections 3729-
3730 and 3801-3812).
ARTICLE V
SCOPE OF GRANT ACTIVITIES/PURPOSE OF GRANT
5.1 Scope of Grant Activities/Purpose of Grant. Grantee will conduct the Grant Activities or
provide the services as described in the Exhibits and attachments, including Exhibit A(Project Description)
and Exhibit B (Deliverables), incorporated herein and in accordance with all terms and conditions set forth
herein and all applicable administrative rules. In addition, the State's Notice of Award is incorporated herein
as an attachment. All Grantor-specific provisions and programmatic reporting required under this Agreement
are described in PART TWO (The Grantor-Specific Terms). All Project-specific provisions and reporting
required under this Agreement are described in PART THREE.
5.2 Scope Revisions. Grantee shall obtain Prior Approval from Grantor whenever a Scope
revision is necessary for one or more of the reasons enumerated in 2 CFR 200.308. All requests for Scope
revisions that require Grantor approval shall be signed by Grantee's authorized representative and submitted
to Grantor for approval. Expenditure of funds under a requested revision is prohibited and will not be
reimbursed if expended before Grantor gives written approval. See 2 CFR 200.308.
5.3 Specific Conditions. If applicable, specific conditions required after a risk assessment will be
included in Exhibit G. Grantee shall adhere to the specific conditions listed therein.
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ARTICLE VI
BUDGET
6.1. Budget. The Budget is a schedule of anticipated grant expenditures that is approved by
Grantor for carrying out the purposes of the Award. When Grantee or third parties support a portion of
expenses associated with the Award, the Budget includes the non-Federal as well as the Federal share(and
State share if applicable)of grant expenses. The Budget submitted by Grantee at application, or a revised
Budget subsequently submitted and approved by Grantor, is considered final and is incorporated herein as
an attachment.
6.2. Budget Revisions. Grantee shall obtain Prior Approval from Grantor whenever a Budget
revision is necessary for one or more of the reasons enumerated in 2 CFR 200.308. All requests for Budget
revisions that require Grantor approval shall be signed by Grantee's authorized representative and submitted
to Grantor for approval. Expenditure of funds under a requested revision is prohibited and will not be
reimbursed if expended before Grantor gives written approval. 2 CFR 200.308.
6.3. Discretionary Line Item Transfers. Unless prohibited from doing so in 2 CFR 200.308,
transfers between approved line items may be made without Grantor's approval only if the total amount
transferred does not exceed the allowable variance of the greater of either(i)ten percent(10%)of the
Budget line item or(ii)one thousand dollars ($1,000)of the Budget line item. Discretionary line item
transfers may not result in an increase to the Budget.
6.4. Non-discretionary Line Item Transfers. Total line item transfers exceeding the allowable
variance of the greater of either (i)ten percent(10%)of the Budget line item or(ii) one thousand dollars
($1,000)of the Budget line item require Grantor approval as set forth in Paragraph 6.2.
6.5. Notification. Within thirty(30) calendar days from the date of receipt of the request for
Budget revisions, Grantor will review the request and notify Grantee whether the Budget revision has been
approved, denied, or the date upon which a decision will be reached.
ARTICLE VII
ALLOWABLE COSTS
7.1. Allowability of Costs; Cost Allocation Methods. The allowability of costs and cost allocation
methods for work performed under this Agreement shall be determined in accordance with 2 CFR 200
Subpart E and Appendices III, IV, and V.
7.2. Indirect Cost Rate Submission.
(a) This Paragraph 7.2 applies only to:
(i) A Grantee who charges, or expects to charge, any Indirect Costs; and
(ii) A Grantee who is allowed to charge Indirect Costs under federal or state
statutes, state administrative rules, and agency or program rules, regulations and policies.
(b) A Grantee must submit an Indirect Cost Rate Proposal in accordance with federal
regulations for approval no later than three months after the effective date of the Award, in a format
prescribed by Grantor.
(c) A Grantee who has a current, applicable rate negotiated by a cognizant Federal
agency shall provide to Grantor a copy of its Indirect Cost Rate acceptance letter from the Federal
government. Grantor will accept that Indirect Cost Rate, up to any statutory, rule-based or
programmatic limit.
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7.3. Transfer of Costs. Cost transfers between Grants, whether as a means to compensate for
cost overruns or for other reasons, are unallowable. See 2 CFR 200.451.
7.4. Higher Education Cost Principles. The Federal cost principles that apply to public and
private institutions of higher education are set forth in 2 CFR Part 200 Subpart E and Appendix III.
7.5. Nonprofit Organizations Cost Principles. The Federal cost principles that apply to Nonprofit
Organizations that are not institutions of higher education are set forth in 2 CFR Part 200 Subpart E, unless
exempt under 2 CFR 200 Appendix VIII.
7.6. Government Cost Principles. The Federal cost principles that apply to State, local and
Federally-recognized Indian tribal governments are set forth in 2 CFR Part 200 Subpart E, Appendix V, and
Appendix VII.
7.7. Commercial Organization Cost Principles. The Federal cost principles and procedures for
cost analysis and the determination, negotiation and allowance of costs that apply to commercial
organizations are set forth in 48 CFR Part 31.
7.8. Financial Management Standards. The financial management systems of Grantee must
meet the following standards:
(a) Accounting System. Grantee organizations must have an accounting system that
provides accurate, current, and complete disclosure of all financial transactions related to each
State-and Federally-funded Program. Accounting records must contain information pertaining to
State and Federal pass-through awards, authorizations, obligations, unobligated balances, assets,
outlays, and income. These records must be maintained on a current basis and balanced at least
quarterly. Cash contributions to the Program from third parties must be accounted for in the general
ledger with other Grant Funds. Third party in-kind (non-cash)contributions are not required to be
recorded in the general ledger, but must be under accounting control, possibly through the use of a
memorandum ledger. See 2 CFR 200.302.
(b) Source Documentation. Accounting records must be supported by such source
documentation as canceled checks, bank statements, invoices, paid bills, donor letters, time and
attendance records, activity reports, travel reports, contractual and consultant agreements, and
subaward documentation. All supporting documentation should be clearly identified with the Award
and general ledger accounts which are to be charged or credited.
(i) The documentation standards for salary charges to grants are prescribed by
2 CFR 200.430, and in the cost principles applicable to the entity's organization (Paragraphs
7.4 through 7.7).
(ii) If records do not meet the standards in 2 CFR 200.430, then Grantor may
notify Grantee in PART TWO, PART THREE or Exhibit G of the requirement to submit
Personnel activity reports. See 2 CFR 200.430(i)(8). Personnel activity reports shall
account on an after-the-fact basis for one hundred percent(100%)of the employee's actual
time, separately indicating the time spent on the grant, other grants or projects, vacation or
sick leave, and administrative time, if applicable. The reports must be signed by the
employee, approved by the appropriate official, and coincide with a pay period. These time
records should be used to record the distribution of salary costs to the appropriate accounts
no less frequently than quarterly.
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(iii) Formal agreements with independent contractors, such as consultants, must
include a description of the services to be performed, the period of performance, the fee and
method of payment, an itemization of travel and other costs which are chargeable to the
agreement, and the signatures of both the contractor and an appropriate official of Grantee.
(iv) If third party in-kind (non-cash)contributions are used for Grant purposes,
the valuation of these contributions must be supported with adequate documentation.
(c) Internal Control. Effective control and accountability must be maintained for all
cash, real and personal property, and other assets. Grantee must adequately safeguard all such
property and must provide assurance that it is used solely for authorized purposes. Grantee must
also have systems in place that provide reasonable assurance that the information is accurate,
allowable, and compliant with the terms and conditions of this Agreement.
(d) Budget Control. Records of expenditures must be maintained for each Award by
the cost categories of the approved Budget(including indirect costs that are charged to the Award),
and actual expenditures are to be compared with Budgeted amounts at least quarterly.
(e) Cash Management. Requests for advance payment shall be limited to Grantee's
immediate cash needs. Grantee must have written procedures to minimize the time elapsing
between the receipt and the disbursement of Grant Funds to avoid having excess funds on hand. 2
CFR 200.305.
7.9 Federal Requirements. All Awards, whether funded in whole or in part with either Federal or
State funds, are subject to Federal requirements and regulations, including but not limited to 2 CFR Part 200,
44 III. Admin. Code 7000.30(b)and the Financial Management Standards in Paragraph 7.8.
7.10 Profits. It is not permitted for any person or entity to earn a Profit from an Award. See, e.g.,
2 CFR 200.400(g); see also 30 ILCS 708/60(a)(7).
7.11 Management of Program Income. Grantee is encouraged to earn income to defray program
costs where appropriate, subject to 2 CFR 200.307.
ARTICLE VIII
REQUIRED CERTIFICATIONS
8.1 Certifications. Grantee, its officers, and directors shall be responsible for compliance with
the enumerated certifications to the extent that the certifications apply to Grantee.
(a) Bribery. Grantee certifies that it has not been convicted of bribery or attempting to
bribe an officer or employee of the State of Illinois, nor made an admission of guilt of such conduct
which is a matter of record (30 ILCS 500/50-5).
(b) Bid Rigging. Grantee certifies that it has not been barred from contracting with a
unit of State or local government as a result of a violation of Paragraph 33E-3 or 33E-4 of the
Criminal Code of 1961 (720 ILCS 5/33E-3 or 720 ILCS 5/33E-4, respectively).
(c) Debt to State. Grantee certifies that neither it, nor its affiliate(s), is/are barred from
receiving an Award because Grantee, or its affiliate(s), is/are delinquent in the payment of any debt
to the State, unless Grantee, or its affiliate(s), has/have entered into a deferred payment plan to pay
off the debt, and Grantee acknowledges Grantor may declare the Agreement void if the certification
is false (30 ILCS 500/50-11).
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(d) Educational Loan. Grantee certifies that it is not barred from receiving State
agreements as a result of default on an educational loan(5 ILCS 385/1 et seq.).
(e) International Boycott. Grantee certifies that neither it nor any substantially owned
affiliated company is participating or shall participate in an international boycott in violation of the
provision of the U.S. Export Administration Act of 1979 (50 USC Appendix 2401 et seq. or the
regulations of the U.S. Department of Commerce promulgated under that Act(15 CFR Parts 730
through 774).
(f) Dues and Fees. Grantee certifies that it is not prohibited from receiving an Award
because it pays dues or fees on behalf of its employees or agents, or subsidizes or otherwise
reimburses them for payment of their dues or fees to any club which unlawfully discriminates (775
ILCS 25/1 et seq.).
(g) Pro-Children Act. Grantee certifies that it is in compliance with the Pro-Children
Act of 2001 in that it prohibits smoking in any portion of its facility used for the provision of health,
day care, early childhood development services, education or library services to children under the
age of eighteen(18), which services are supported by Federal or State government assistance
(except such portions of the facilities which are used for inpatient substance abuse treatment) (20
USC 7181-7184).
(h) Drug-Free Work Place. If Grantee is not an individual, Grantee certifies it will
provide a drug free workplace pursuant to the Drug Free Workplace Act. 30 ILCS 580/3. If Grantee
is an individual and this Agreement is valued at more than $5,000, Grantee certifies it shall not
engage in the unlawful manufacture, distribution, dispensation, possession, or use of a controlled
substance during the performance of the Agreement. 30 ILCS 580/4. Grantee further certifies that it
is in compliance with the government-wide requirements for a drug-free workplace as set forth in 41
USC 8102.
(i) Motor Voter Law. Grantee certifies that it is in full compliance with the terms and
provisions of the National Voter Registration Act of 1993 (52 USC 20501 et seq.).
Q) Clean Air Act and Clean Water Act. Grantee certifies that it is in compliance with
all applicable standards, order or regulations issued pursuant to the Clean Air Act(42 USC §7401 et
seq.)and the Federal Water Pollution Control Act, as amended (33 USC§1251 et seq.).
(k) Debarment. Grantee certifies that it is not debarred, suspended, proposed for
debarment, declared ineligible, or voluntarily excluded from participation in this Agreement by any
Federal department or agency(45 CFR Part 76), or by the State(See 30 ILCS 708/25(6)(G)).
(I) Non-procurement Debarment and Suspension. Grantee certifies that it is in
compliance with Subpart C of 2 CFR Part 180 as supplemented by 2 CFR Part 376, Subpart C.
(m) Grant for the Construction of Fixed Works. Grantee certifies that all Programs for
the construction of fixed works which are financed in whole or in part with funds provided by this
Agreement shall be subject to the Prevailing Wage Act (820 ILCS 130/0.01 et seq.) unless the
provisions of that Act exempt its application. In the construction of the Program, Grantee shall
comply with the requirements of the Prevailing Wage Act including, but not limited to, inserting into all
contracts for such construction a stipulation to the effect that not less than the prevailing rate of
wages as applicable to the Program shall be paid to all laborers, workers, and mechanics performing
work under the Award and requiring all bonds of contractors to include a provision as will guarantee
the faithful performance of such prevailing wage clause as provided by contract.
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(n) Health Insurance Portability and Accountability Act. Grantee certifies that it is in
compliance with the Health Insurance Portability and Accountability Act of 1996 (HIPAA), Public Law
No. 104-191, 45 CFR Parts 160, 162 and 164, and the Social Security Act, 42 USC 1320d-2 through
1320d-7, in that it may not use or disclose protected health information other than as permitted or
required by law and agrees to use appropriate safeguards to prevent use or disclosure of the
protected health information. Grantee shall maintain,for a minimum of six (6)years, all protected
health information.
(o) Criminal Convictions. Grantee certifies that neither it nor any officer, director,
partner or other managerial agent of Grantee has been convicted of a felony under the Sarbanes-
Oxley Act of 2002, nor a Class 3 or Class 2 felony under Illinois Securities Law of 1953, or that at
least five(5) years have passed since the date of the conviction. Grantee further certifies that it is
not barred from receiving an Award under 30 ILCS 500/50-10.5, and acknowledges that Grantor
shall declare the Agreement void if this certification is false(30 ILCS 500/50-10.5).
(p) Forced Labor Act. Grantee certifies that it complies with the State Prohibition of
Goods from Forced Labor Act, and certifies that no foreign-made equipment, materials, or supplies
furnished to the State under this Agreement have been or will be produced in whole or in part by
forced labor, convict labor, or indentured labor under penal sanction(30 ILCS 583).
(q) Illinois Use Tax. Grantee certifies in accordance with 30 ILCS 500/50-12 that it is
not barred from receiving an Award under this Paragraph. Grantee acknowledges that this
Agreement may be declared void if this certification is false.
(r) Environmental Protection Act Violations. Grantee certifies in accordance with 30
ILCS 500/50-14 that it is not barred from receiving an Award under this Paragraph. Grantee
acknowledges that this Agreement may be declared void if this certification is false.
(s) Goods from Child Labor Act. Grantee certifies that no foreign-made equipment,
materials, or supplies furnished to the State under this Agreement have been produced in whole or in
part by the labor of any child under the age of twelve (12) (30 ILCS 584).
(t) Federal Funding Accountability and Transparency Act of 2006. Grantee
certifies that it is in compliance with the terms and requirements of 31 USC 6101.
ARTICLE IX
CRIMINAL DISCLOSURE
9.1. Mandatory Criminal Disclosures. Grantee shall continue to disclose to Grantor all violations
of criminal law involving fraud, bribery or gratuity violations potentially affecting this Award. See 30 ILCS
708/40. Additionally, if Grantee receives over$10 million in total Grant Funds,funded by either State or
Federal funds, during the period of this Award, Grantee must maintain the currency of information reported to
SAM regarding civil, criminal or administrative proceedings as required by 2 CFR 200.113 and Appendix II of
2 CFR Part 200, and 30 ILCS 708/40.
ARTICLE X
UNLAWFUL DISCRIMINATION
10.1. Compliance with Nondiscrimination Laws. Grantee, its employees and subcontractors under
subcontract made pursuant to this Agreement, shall comply with all applicable provisions of State and
Federal laws and regulations pertaining to nondiscrimination, sexual harassment and equal employment
opportunity including, but not limited to, the following laws and regulations and all subsequent amendments
thereto:
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(a) The Illinois Human Rights Act(775 ILCS 5/1-101 et seq.), including,without
limitation, 44 III. Admin. Code Part 750, which is incorporated herein;
(b) The Public Works Employment Discrimination Act (775 ILCS 10/1 et seq.);
(c) The United States Civil Rights Act of 1964(as amended) (42 USC 2000a-and
2000h-6). (See also guidelines to Federal Financial Assistance Recipients Regarding Title VI
Prohibition Against National Origin Discrimination Affecting Limited English Proficient Persons
[Federal Register: February 18, 2002 (Volume 67, Number 13, Pages 2671-2685)]);
(d) Section 504 of the Rehabilitation Act of 1973 (29 USC 794);
(e) The Americans with Disabilities Act of 1990 (42 USC 12101 et seq.); and
(f) The Age Discrimination Act (42 USC 6101 et seq.).
ARTICLE XI
LOBBYING
11.1 Improper Influence. Grantee certifies that no Grant Funds have been paid or will be paid by
or on behalf of Grantee to any person for influencing or attempting to influence an officer or employee of any
government agency, a member of Congress or Illinois General Assembly, an officer or employee of Congress
or Illinois General Assembly, or an employee of a member of Congress or Illinois General Assembly in
connection with the awarding of any agreement, the making of any grant, the making of any loan, the
entering into of any cooperative agreement, or the extension, continuation, renewal, amendment or
modification of any agreement, grant, loan or cooperative agreement. 31 USC 1352. Additionally, Grantee
certifies that it has filed the required certification under the Byrd Anti-Lobbying Amendment(31 USC 1352), if
applicable.
11.2 Federal Form LLL. If any funds, other than Federally-appropriated funds, were paid or will
be paid to any person for influencing or attempting to influence any of the above persons in connection with
this Agreement, the undersigned must also complete and submit Federal Form LLL, Disclosure of Lobbying
Activities Form, in accordance with its instructions.
11.3 Lobbying Costs. Grantee certifies that it is in compliance with the restrictions on lobbying set
forth in 2 CFR Part 200.450. For any Indirect Costs associated with this Agreement, total lobbying costs
shall be separately identified in the Program Budget, and thereafter treated as other Unallowable Costs.
11.4 Procurement Lobbying. Grantee warrants and certifies that it and, to the best of its
knowledge, its sub-grantees have complied and will comply with Executive Order No. 1 (2007)(EO 1-2007).
EO 1-2007 generally prohibits Grantees and subcontractors from hiring the then-serving Governor's family
members to lobby procurement activities of the State, or any other unit of government in Illinois including
local governments, if that procurement may result in a contract valued at over$25,000. This prohibition also
applies to hiring for that same purpose any former State employee who had procurement authority at any
time during the one-year period preceding the procurement lobbying activity.
11.5 Subawards. Grantee must include the language of this ARTICLE XI in the award documents
for any subawards made pursuant to this Award at all tiers. All sub-awardees are also subject to certification
and disclosure. Pursuant to Appendix 11(1)to 2 CFR Part 200, Grantee shall forwardall disclosures by
contractors regarding this certification to Grantor.
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11.6 Certification. This certification is a material representation of fact upon which reliance was
placed to enter into this transaction and is a prerequisite for this transaction, pursuant to 31 USC 1352. Any
person who fails to file the required certifications shall be subject to a civil penalty of not less than $10,000,
and not more than $100,000, for each such failure.
ARTICLE XII
MAINTENANCE AND ACCESSIBILITY OF RECORDS; MONITORING
12.1 Records Retention. Grantee shall maintain for three (3)years from the date of submission of
the final expenditure report, adequate books, all financial records and, supporting documents, statistical
records, and all other records pertinent to this Award, adequate to comply with 2 CFR 200.333, unless a
different retention period is specified in 2 CFR 200.333. If any litigation, claim or audit is started before the
expiration of the retention period, the records must be retained until all litigation, claims or audit exceptions
involving the records have been resolved and final action taken.
12.2 Accessibility of Records. Grantee, in compliance with 2 CFR 200.336, shall make books,
records, related papers, supporting documentation and personnel relevant to this Agreement available to
authorized Grantor representatives, the Illinois Auditor General, Illinois Attorney General, any Executive
Inspector General, the Grantor's Inspector General, Federal authorities, any person identified in 2 CFR
200.336, and any other person as may be authorized by Grantor(including auditors), by the State of Illinois
or by Federal statute. Grantee shall cooperate fully in any such audit or inquiry.
12.3 Failure to Maintain Books and Records. Failure to maintain books, records and supporting
documentation, as described in this ARTICLE XII, shall establish a presumption in favor of the State for the
recovery of any funds paid by the State under this Agreement for which adequate books, records and
supporting documentation are not available to support disbursement.
12.4 Monitoring and Access to Information. Grantee must monitor its activities to assure
compliance with applicable State and Federal requirements and to assure its performance expectations are
being achieved. Grantor shall monitor the activities of Grantee to assure compliance with all requirements
and performance expectations of the award. Grantee shall timely submit all financial and performance
reports, and shall supply, upon Grantor's request, documents and information relevant to the Award. Grantor
may make site visits as warranted by program needs. See 2 CFR 200.328 and 200.331. Additional
monitoring requirements may be in PART TWO or PART THREE.
ARTICLE XIII
FINANCIAL REPORTING REQUIREMENTS
13.1 Required Periodic Financial Reports. Grantee agrees to submit financial reports as
requested and in the format required by Grantor. Grantee shall file quarterly reports with Grantor describing
the expenditure(s)of the funds related thereto, unless more frequent reporting is required by the Grantee
pursuant to specific award conditions. 2 CFR 200.207. The first of such reports shall cover the first three
months after the Award begins. Quarterly reports must be submitted no later than 30 calendar days following
the three month period covered by the report. Additional information regarding required financial reports may
be set forth in Exhibit G. Failure to submit the required financial reports may cause a delay or suspension of
funding. 30 ILCS 705/1 et seq.; 2 CFR 207(b)(3) and 200.327.
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13.2 Close-out Reports.
(a) Grantee shall submit a Close-out Report within 60 calendar days following the end of
the period of performance for this Agreement. In the event that this Agreement is terminated prior to
the end of the Term, Grantee shall submit a Close-out Report within 60 calendar days of such
termination. The format of this Close-out Report shall follow a format prescribed by Grantor. 2 CFR
200.343.
(b) If an audit or review of Grantee occurs and results in adjustments after Grantee
submits a Close-out Report, Grantee will submit a new Close-out Report based on audit
adjustments, and immediately submit a refund to Grantor, if applicable. 2 CFR 200.344.
13.3 Annual Financial Reports.
(a) This Paragraph 13.3 applies to all Grantees, unless exempted by PART TWO or
PART THREE.
(b) Grantees shall submit Annual Financial Reports within 180 days after the Grantee's
fiscal year ending on or after June 30. This deadline may be extended at the discretion of the
Grantor.
(c) The Annual Financial Report must cover the same period the Audited Financial
Statements cover. If no Audited Financial Statements are required, however, then the Annual
Financial Report must cover the same period as the Grantee's tax return.
(d) Annual Financial Reports must include an in relation to opinion from the report issuer
on the Cost and Revenue schedules included in the Annual Financial Report.
(e) Annual Financial Reports shall follow a format prescribed by Grantor.
13.4 Effect of Failure to Comply. Failure to comply with reporting requirements shall result in the
withholding of funds, the return of improper payments or Unallowable Costs, will be considered a material
breach of this Agreement and may be the basis to recover Grant Funds. Grantee's failure to comply with this
ARTICLE XIII, ARTICLE XIV, OR ARTICLE XV shall be considered prima facie evidence of a breach and
may be admitted as such, without further proof, into evidence in an administrative proceeding before Grantor,
or in any other legal proceeding.
ARTICLE XIV
PERFORMANCE REPORTING REQUIREMENTS
14.1 Required Periodic Performance Reports. Grantee agrees to submit Performance Reports as
requested and in the format required by Grantor. Performance Measures listed in Exhibit E must be reported
quarterly, unless otherwise specified in PART TWO or PART THREE. Unless so specified, the first of such
reports shall cover the first three months after the Award begins. If Grantee is not required to report
performance quarterly, then Grantee must submit a Performance Report at least annually. In unusual
circumstances where more frequent reporting is necessary some Grantees may be required to submit
monthly Performance Reports; in such cases, Grantor shall notify Grantee of same in PART TWO or PART
THREE. Pursuant to 2 CFR 200.328, periodic Performance Reports shall be submitted no later than 30
calendar days following the period covered by the report. For certain construction-related Awards, such
reports may be exempted as identified in PART TWO or PART THREE. 2 CFR 200.328. Failure to submit
such required Performance Reports may cause a delay or suspension of funding. 30 ILCS 705/1 et seq.
14.2 Close-out Performance Reports. Grantee agrees to submit a Close-out Performance Report,
in the format required by Grantor, within 60 calendar days following the end of the period of performance.
See 2 CFR 200.343.
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14.3 Content of Performance Reports. Pursuant to 2 CFR 200.328(b)(2)all Performance Reports
must include Program qualitative and quantitative information, including a comparison of actual
accomplishments to the objectives of the award established for the period; where the accomplishments can
be quantified, a computation of the cost if required; performance trend data and analysis if required; and
reasons why established goals were not met, if appropriate. Appendices may be used to include additional
supportive documentation. Additional content and format guidelines for the Performance Reports will be
determined by Grantor contingent on the Award's statutory, regulatory and administrative requirements, and
are included in PART TWO or PART THREE of this Agreement.
14.4 Performance Standards. Grantee shall perform in accordance with the Performance
Standards set forth in Exhibit F. See 2 CFR 200.301 and 200.210.
ARTICLE XV
AUDIT REQUIREMENTS
15.1 Audits. Grantee shall be subject to the audit requirements contained in the Single Audit Act
Amendments of 1996(31 USC 7501-7507) and Subpart F of 2 CFR Part 200, and the audit rules set forth by
the Governor's Office of Management and Budget. See 30 ILCS 708/65(c).
15.2 Entities That Are Not"For-Profit".
(a)This Paragraph applies to Grantees that are not"for-profit" entities.
(b)Single and Program-Specific Audits. If, during its fiscal year, Grantee expends$750,000
or more in Federal Awards (direct federal and federal pass-through awards combined), Grantee
must have a single audit or program-specific audit conducted for that year as required by 2 CFR
200.501 and other applicable sections of Subpart F of 2 CFR Part 200. The audit and reporting
package (including data collection form and management letters) must be completed as described
in 2 CFR 200.512 (single audit) or 2 CFR 200.507 (program-specific audit). The audit(and
package) must be submitted to Grantor within the earlier of(i)30 calendar days after receipt of the
auditor's report(s) or(ii) nine(9) months after the end of the audit period.
(c) Financial Statement Audit. If, during its fiscal year, Grantee expends less than $750,000
in Federal Awards, Grantee is subject to the following audit requirements:
(i) If, during its fiscal year, Grantee expends more than $300,000 in Federal and State
Awards, singularity or in any combination, Grantee must have a financial statement audit
conducted in accordance with the Generally Accepted Government Auditing Standards
(GAGAS).
(ii) If, during its fiscal year, Grantee expends less than $300,000 in Federal and State
awards, but the total revenue it receives is in excess of$300,000, Grantee must have a
financial statement audit conducted in accordance with the Generally Accepted Auditing
Standards (GAAS).
(iii) Grantee must submit its financial statement audit report(s) and any management
letters issued by the auditor within the earlier of(i) 30 calendar days after receipt of the
auditor's report(s)or(ii) 180 days after the end of the audit period.
15.3 `For-Profit" Entities.
(a)This Paragraph applies to Grantees that are"for-profit" entities.
(b) Program-Specific Audit. If, during its fiscal year, Grantee expends $750,000 or more in
Federal Awards (direct federal and federal pass-through awards)and State Awards, singularity or in
any combination, Grantee is required to have a program-specific audit conducted in accordance with
2 CFR 200.507.The audit and reporting package (including data collection form and management
letters)must be submitted to Grantor within the earlier of(i)30 calendar days after receipt of the
auditor's report(s) or(ii) nine(9) months after the end of the audit period.
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(c) Financial Statement Audit. If, during its fiscal year, Grantee expends less than $750,000
in Federal Awards and State Awards combined, Grantee must follow all of the audit requirements in
Paragraphs 15.2(c)(i)-(iii), above.
15.4 Performance of Audits. For those organizations required to submit an independent audit
report, the audit is to be conducted by a Certified Public Accountant or Certified Public Accounting Firm
licensed in the State of Illinois. For audits required to be performed subject to Generally Accepted
Government Auditing Standards, Grantee shall request and maintain on file a copy of the auditor's most
recent peer review report and acceptance letter.
ARTICLE XVI
TERMINATION; SUSPENSION; NON-COMPLIANCE
16.1 Termination.
(a) This Agreement may be terminated, in whole or in part, by either Party for any or no
reason upon thirty(30)calendar days' prior written notice to the other Party. If terminated by the
Grantee, Grantee must include the reasons for such termination, the effective date, and, in the case
of a partial termination, the portion to be terminated. If Grantor determines in the case of a partial
termination that the reduced or modified portion of the Award will not accomplish the purposes for
which the Award was made, Grantor may terminate the Agreement in its entirety. 2 CFR
200.339(a)(4).
(b) This Agreement may be terminated, in whole or in part, by Grantor without advance
notice:
(i) Pursuant to a funding failure under Paragraph 4.1;
(ii) If Grantee fails to comply with the terms and conditions of this or any Award,
application or proposal, including any applicable rules or regulations, or has made a false
representation in connection with the receipt of this or any Grant;
(iii) For cause, which may render the Grantee ineligible for consideration for
future grants from the Grantor or other State agencies; or
(iv) If Grantee breaches this Agreement and either(1)fails to cure such breach
within 15 calendar days'written notice thereof, or(2) if such cure would require longer than
15 calendar days and the Grantee has failed to commence such cure within 15 calendar
days'written notice thereof. In the event that Grantor terminates this Agreement as a result
of the breach of the Agreement by Grantee, Grantee shall be paid for work satisfactorily
performed prior to the date of termination.
16.2 Suspension. Grantor may suspend this Agreement, in whole or in part, pursuant to a funding
failure under Paragraph 4.1 or if the Grantee fails to comply with terms and conditions of this or any Award.
If suspension is due to Grantee's failure to comply, Grantor may withhold further payment and prohibit
Grantee from incurring additional obligations pending corrective action by Grantee or a decision to terminate
this Agreement by Grantor. Grantor may determine to allow necessary and proper costs that Grantee could
not reasonably avoid during the period of suspension.
16.3 Non-compliance. If Grantee fails to comply with the applicable statues, regulations or the
terms and conditions of this or any Award, Grantor may impose additional conditions on Grantee, as
described in 2 CFR 200.207. If Grantor determines that non-compliance cannot be remedied by imposing
additional conditions, Grantor may take one or more of the actions described in 2 CFR 200.338.The Parties
shall follow all Grantor policies and procedures regarding non-compliance, including, but not limited to, the
procedures set forth in the State of Illinois Grantee Compliance Enforcement System.
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16.4 Objection. If Grantor suspends or terminates this Agreement, in whole or in part, for cause,
or takes any other action in response to Grantee's non-compliance, Grantee may avail itself of any
opportunities to object and challenge such suspension, termination or other action by Grantor in accordance
with any applicable processes and procedures, including, but not limited to, the procedures set forth in the
State of Illinois Grantee Compliance Enforcement System. 2 CFR 200.341.
16.5 Effects of Suspension and Termination.
(a) Grantor may credit Grantee for expenditures incurred in the performance of
authorized services under this Agreement prior to the effective date of a suspension or termination.
(b) Grantee shall not incur any costs or obligations that require the use of these Grant
Funds after the effective date of a suspension or termination, and shall cancel as many outstanding
obligations as possible.
(c) Costs to Grantee resulting from obligations incurred by Grantee during a suspension
or after termination of the Agreement are not allowable unless:
(I) Grantor expressly authorizes them in the notice of suspension or
termination; and
(ii) The costs result from obligations properly incurred before the effective date
of suspension or termination, are not in anticipation of the suspension or termination, and the
costs would be allowable if the Agreement was not suspended or terminated. 2 CFR
200.342.
16.6 Close-out of Terminated Agreements. If this Agreement is terminated, in whole or in part,
the Parties shall comply with all close-out and post-termination requirements of this Agreement. 2 CFR
200.339(c).
ARTICLE XVII
SUBCONTRACTS/SUB-GRANTS
17.1 Sub-recipients/Delegation. Grantee may not subcontract nor sub-grant any portion of this
Agreement nor delegate any duties hereunder without Prior Approval of Grantor. The requirement for Prior
Approval is satisfied if the subcontractor or sub-grantee has been identified in the Uniform Grant Application,
such as, without limitation, a Project Description, and Grantor has approved.
17.2 Application of Terms. Grantee shall advise any sub-grantee of funds awarded through this
Agreement of the requirements imposed on them by Federal and State laws and regulations, and the
provisions of this Agreement.
ARTICLE XVIII
NOTICE OF CHANGE
18.1 Notice of Change. Grantee shall notify the Grantor if there is a change in Grantee's legal
status, Federal employer identification number(FEIN), DUNS number, SAM registration status, Related
Parties, senior management, or address. See 30 ILCS 708/60(a). If the change is anticipated, Grantee shall
give thirty (30)days' prior written notice to Grantor. If the change is unanticipated, Grantee shall give notice
as soon as practicable thereafter. Grantor reserves the right to take any and all appropriate action as a result
of such change(s).
18.2 Failure to Provide Notification. Grantee shall hold harmless Grantor for any acts or
omissions of Grantor resulting from Grantee's failure to notify Grantor of these changes.
18.3 Notice of Impact. Grantee shall immediately notify Grantor of any event that may have a
material impact on Grantee's ability to perform this Agreement.
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18.4 Circumstances Affecting Performance; Notice. In the event Grantee becomes a party to any
litigation, investigation or transaction that may reasonably be considered to have a material impact on
Grantee's ability to perform under this Agreement, Grantee shall notify Grantor, in writing, within five(5)
calendar days of determining such litigation or transaction may reasonably be considered to have a material
impact on the Grantee's ability to perform under this Agreement.
18.5 Effect of Failure to Provide Notice. Failure to provide the notice described in Paragraph 18.4
shall be grounds for immediate termination of this Agreement and any costs incurred after notice should have
been given shall be disallowed.
ARTICLE XIX
STRUCTURAL REORGANIZATION AND RECONSTRUCTION OF BOARD MEMBERSHIP
19.1 Effect of Reorganization. Grantee acknowledges that this Agreement is made by and
between Grantor and Grantee, as Grantee is currently organized and constituted. No promise or undertaking
made hereunder is an assurance that Grantor agrees to continue this Agreement, or any license related
thereto, should Grantee significantly reorganize or otherwise substantially change the character of its
corporate structure, business structure or governance structure. Grantee agrees that it will give Grantor prior
notice of any such action or changes significantly affecting its overall structure or management makeup(for
example, a merger or a corporate restructuring), and will provide any and all reasonable documentation
necessary for Grantor to review the proposed transaction including financial records and corporate and
shareholder minutes of any corporation which may be involved. This ARTICLE XIX does not require Grantee
to report on minor changes in the makeup of its board membership. Nevertheless, PART TWO or PART
THREE may impose further restrictions. Failure to comply with this ARTICLE XIX shall constitute a material
breach of this Agreement.
ARTICLE XX
AGREEMENTS WITH OTHER STATE AGENCIES
20.1 Copies upon Request. Grantee shall, upon request by Grantor, provide Grantor with copies
of contracts or other agreements to which Grantee is a party with any other State agency.
ARTICLE XXI
CONFLICT OF INTEREST
21.1 Required Disclosures. Grantee must immediately disclose in writing any potential or actual
Conflict of Interest to the Grantor. 2 CFR 200.112 and 44 III. Admin. Code 7000.40(b)(3).
21.2 Prohibited Payments. Grantee agrees that payments made by Grantor under this
Agreement will not be used to compensate, directly or indirectly, any person: (1)currently holding an elective
office in this State including, but not limited to, a seat in the General Assembly, or(2) employed by an office
or agency of the State of Illinois whose annual compensation is in excess of sixty percent (60%)of the
Governor's annual salary, or$106,447.20 (30 ILCS 500/50-13).
21.3 Request for Exemption. Grantee may request written approval from Grantor for an
exemption from Paragraph 21.2. Grantee acknowledges that Grantor is under no obligation to provide such
exemption and that Grantor may, if an exemption is granted, grant such exemption subject to such additional
terms and conditions as Grantor may require.
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ARTICLE XXII
EQUIPMENT OR PROPERTY
22.1 Transfer of Equipment. Grantor shall have the right to require that Grantee transfer to
Grantor any equipment, including title thereto, purchased in whole with Grantor funds, if Grantor determines
that Grantee has not met the conditions of 2 CFR 200.439(a). Grantor shall notify Grantee in writing should
Grantor require the transfer of such equipment. Upon such notification by Grantor, and upon receipt or
delivery of such equipment by Grantor, Grantee will be deemed to have transferred the equipment to Grantor
as if Grantee had executed a bill of sale therefor.
22.2 Prohibition aqainst Disposition/Encumbrance. The Grantee is prohibited from, and may not
sell, transfer, encumber(other than original financing) or otherwise dispose of said equipment, material, or
real property during the Grant Term without Prior Approval of Grantor. Any real property acquired using
Grant Funds must comply with the requirements of 2 CFR 200.311.
22.3 Equipment and Procurement. Grantee must comply with the uniform standards set forth in 2
CFR 200.310-200.316 governing the management and disposition of property which cost was supported by
Grant Funds. Any waiver from such compliance must be granted by either the President's Office of
Management and Budget, the Governor's Office of Management and Budget, or both, depending on the
source of the Grant Funds used. Additionally, Grantee must comply with the standards set forth in 2 CFR
200.317-200.326 for use in establishing procedures for the procurement of supplies and other expendable
property, equipment, real property and other services with Grant Funds. These standards are furnished to
ensure that such materials and services are obtained in an effective manner and in compliance with the
provisions of applicable Federal and State statutes and executive orders.
ARTICLE XXIII
PROMOTIONAL MATERIALS; PRIOR NOTIFICATION
23.1 Publications, Announcements, etc. Use of Grant Funds for promotions is subject to the
prohibitions for advertising or public relations costs in 2 CFR 200.421(e). In the event that Grantor funds are
used in whole or in part to produce any written publications, announcements, reports,flyers, brochures or
other written materials, Grantee agrees to include in these publications, announcements, reports,flyers,
brochures and all other such material, the phrase"Funding provided in whole or in part by the[Grantor]."
Exceptions to this requirement must be requested, in writing, from Grantor and will be considered authorized
only upon written notice thereof to Grantee.
23.2 Prior Notification/Release of Information. Grantee agrees to notify Grantor ten (10)days
prior to issuing public announcements or press releases concerning work performed pursuant to this
Agreement, or funded in whole or in part by this Agreement, and to cooperate with Grantor in joint or
coordinated releases of information.
ARTICLE XXIV
INSURANCE
24.1 Purchase and Maintenance of Insurance. Grantee shall maintain in full force and effect
during the Term of this Agreement casualty and bodily injury insurance, as well as insurance sufficient to
cover the replacement cost of any and all real or personal property, or both, purchased or, otherwise
acquired, or improved in whole or in part, with funds disbursed pursuant to this Agreement. 2 CFR 200.310.
Additional insurance requirements may be detailed in PART TWO or PART THREE.
24.2 Claims. If a claim is submitted for real or personal property, or both, purchased in whole with
funds from this Agreement and such claim results in the recovery of money, such money recovered shall be
surrendered to Grantor.
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Agreement No. AP-18-0044 04-02
ARTICLE XXV
LAWSUITS AND INDEMNIFICATION
25.1 Independent Contractor. Grantee is an independent contractor under this Agreement and
neither Grantee nor any employee or agent of Grantee is an employee of Grantor and do not acquire any
employment rights with Grantor or the State of Illinois by virtue of this Agreement. Grantee will provide the
agreed services and achieve the specified results free from the direction or control of Grantor as to the
means and methods of performance. Grantee will be required to provide its own equipment and supplies
necessary to conduct its business; provided, however, that in the event, for its convenience or otherwise,
Grantor makes any such equipment or supplies available to Grantee, Grantee's use of such equipment or
supplies provided by Grantor pursuant to this Agreement shall be strictly limited to official Grantor or State of
Illinois business and not for any other purpose, including any personal benefit or gain.
25.2 Indemnification. To the extent permitted by law, Grantee agrees to hold harmless Grantor
against any and all liability, loss, damage, cost or expenses, including attorneys' fees, arising from the
intentional torts, negligence or breach of contract of Grantee, with the exception of acts performed in
conformance with an explicit, written directive of Grantor. Indemnification by Grantor will be governed by the
State Employee Indemnification Act(5 ILCS 350/1 et seq.) as interpreted by the Illinois Attorney General.
Grantor makes no representation that Grantee, an independent contractor, will qualify or be eligible for
indemnification under said Act.
ARTICLE)(XVI
MISCELLANEOUS
26.1 Gift Ban. Grantee is prohibited from giving gifts to State employees pursuant to the State
Officials and Employees Ethics Act(5 ILCS 430/10-10)and Executive Order 15-09.
26.2 Access to Internet. Grantee must have Internet access. Internet access may be either dial-
up or high-speed. Grantee must maintain, at a minimum, one business e-mail address that will be the
primary receiving point for all e-mail correspondence from Grantor. Grantee may list additional e-mail
addresses at any time during the Term of this Agreement. The additional addresses may be for a specific
department or division of Grantee or for specific employees of Grantee. Grantee must notify Grantor of any
e-mail address changes within five(5) business days from the effective date of the change.
26.3 Exhibits and Attachments. Exhibits A through G, PART TWO, PART THREE, if applicable,
and all other exhibits and attachments hereto are incorporated herein in their entirety.
26.4 Assignment Prohibited. Grantee acknowledges that this Agreement may not be sold,
assigned, or transferred in any manner by Grantee, to include an assignment of Grantee's rights to receive
payment hereunder, and that any actual or attempted sale, assignment, or transfer by Grantee without the
Prior Approval of Grantor in writing shall render this Agreement null, void and of no further effect.
26.5 Amendments. This Agreement may be modified or amended at any time during its Term by
mutual consent of the Parties, expressed in writing and signed by the Parties.
26.6 Severability. If any provision of this Agreement is declared invalid, its other provisions shall
not be affected thereby.
26.7 No Waiver. No failure of Grantor to assert any right or remedy hereunder will act as a waiver
of its right to assert such right or remedy at a later time or constitute a course of business upon which
Grantee may rely for the purpose of denial of such a right or remedy to Grantor.
26.8 Applicable Law; Claims. This Agreement and all subsequent amendments thereto, if any,
shall be governed and construed in accordance with the laws of the State of Illinois. Any claim against
Grantor arising out of this Agreement must be filed exclusively with the Illinois Court of Claims. 705 ILCS
505/1 et seq. Grantor does not waive sovereign immunity by entering into this Agreement.
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26.9 Compliance with Law. This Agreement and Grantee's obligations and services hereunder
are hereby made and must be performed in compliance with all applicable Federal and State laws, including,
without limitation, Federal regulations, State administrative rules, including 44 III. Admin. Code 7000, and any
and all license requirements or professional certification provisions.
26.10 Compliance with Confidentiality Laws. If applicable, Grantee shall comply with applicable
State and Federal statutes, Federal regulations and Grantor administrative rules regarding confidential
records or other information obtained by Grantee concerning persons served under this Agreement. The
records and information shall be protected by Grantee from unauthorized disclosure.
26.11 Compliance with Freedom of Information Act. Upon request, Grantee shall make available
to Grantor all documents in its possession that Grantor deems necessary to comply with requests made
under the Freedom of Information Act. (5 ILCS 140/7(2)).
26.12 Precedence. In the event there is a conflict between this Agreement and any of the exhibits
or attachments hereto, this Agreement shall control. In the event there is a conflict between PART ONE and
PART TWO or PART THREE of this Agreement, PART ONE shall control. In the event there is a conflict
between PART TWO and PART THREE of this Agreement, PART TWO shall control. In the event there is a
conflict between this Agreement and relevant statute(s) or Administrative Rule(s), the relevant statute(s) or
rule(s) shall control.
26.13 Headings. Article and other headings contained in this Agreement are for reference
purposes only and are not intended to define or limit the scope, extent or intent of this Agreement or any
provision hereof.
26.14 Entire Agreement. Grantee and Grantor acknowledge that this Agreement constitutes the
entire agreement between them and that no promises, terms, or conditions not recited, incorporated or
referenced herein, including prior agreements or oral discussions, shall be binding upon either Grantee or
Grantor.
26.15 Counterparts. This Agreement maybe executed in one or more counterparts, each of which
p 9 P
shall be considered to be one and the same agreement, binding on all Parties hereto, notwithstanding that all
Parties are not signatories to the same counterpart. Duplicated signatures, signatures transmitted via
facsimile, or signatures contained in a Portable Document Format (PDF) document shall be deemed original
for all purposes.
26.16 Attorney Fees and Costs. If Grantor prevails in any proceeding to enforce the terms of this
Agreement, including any administrative hearing pursuant to the Grant Funds Recovery Act or the Grant
Accountability and Transparency Act, the Grantor has the right to recover reasonable attorneys'fees, costs
and expenses associated with such proceedings.
THE REMAINDER OF THIS PAGE IS INTENTIONALLY LEFT BLANK.
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Agreement No. AP-18-0044 04-02
EXHIBIT A
PROJECT DESCRIPTION
CSFA Number: 494-10-0343 GATA Registration Number: 674095
These funds will allow the agency to conduct special enforcement for impaired driving mobilizations
and/or occupant protection mobilizations during six or more of the following campaigns: 1. Halloween
Campaign, 2. Thanksgiving Campaign, 3. Christmas/New Year's Campaign, 4. Super Bowl Campaign, 5. St.
Patrick's Day Campaign, 6. Memorial Day Campaign, 7. Independence Day Campaign, 8. Labor Day
Campaign, 9. Additional Enforcement and 10. eLAP Enforcement(if applicable, during weekends outside of
eight holiday campaigns listed above).
•
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Agreement No. AP-18-0044 04-02
EXHIBIT B
DELIVERABLES OR MILESTONES
Operational Requirements
Participation in the following campaigns: Thanksgiving, Christmas/New Year's, St. Patrick's Day,
Memorial Day, Independence Day and Labor Day. Each campaign has the following emphasis:
o Thanksgiving (Occupant Protection)
o Christmas/New Year's (Impaired Driving)
o St. Patrick's Day (Impaired Driving)
o Memorial Day(Occupant Protection)
o Independence Day(Impaired Driving)
o Labor Day(Impaired Driving)
• All occupant protection enforcement requires a minimum of 50 percent of their patrol hours
conducted between 9:00 pm and 6:00 am.
• In general, impaired driving patrol hours (roadside safety checks (RSC)and saturation patrols) must
occur between 9:00 pm and 6:00 am. However, these patrol hours can be extended to 6:00 pm to 6:00 am
providing pre-approval is given by the assigned Law Enforcement Liaison (LEL) or IDOT, Bureau of Safety
Programs and Engineering (BSPE)Grant Administrator. Justification for this patrol exception must be given
in writing prior to undertaking patrols during this alternate timeframe.
• The participating agencies have the opportunity to receive funding for a maximum of 12 additional
weekends of impaired driving saturation patrols. Schedules for these additional saturation patrols shall be
provided to the assigned LEL or BSPE Grant Administrator as soon as possible within the grant year.
• Generally, additional weekend impaired driving saturation patrols must occur between 9:00 pm and
6:00 am on a weekend (Friday 9:00 pm —Monday 6:00 am) unless prior approval is received from the
�.. assigned Law Enforcement Liaison (LEL) or BSPE Grant Administrator. Patrol hours can be extended to 6:00
pm to 6:00 am and/or additional weekdays providing pre-approval is given by the assigned Law Enforcement
Liaison (LEL)or BSPE Grant Administrator. Justification for this patrol exception must be given in writing
prior to undertaking patrols during this alternate timeframe.
Methods of Procedure
Conduct at least six (6) and up to 20 enforcement campaigns. All impaired driving patrols must have a
primary emphasis on increased enforcement of impaired driving and secondary enforcement emphasis on
speed, occupant protection and distracted driving laws. All occupant protection patrols must have a primary
emphasis on increased enforcement of occupant restraint laws and secondary enforcement emphasis on
impaired driving laws, speed and distracted driving laws.
Each enforcement campaign, whether holiday or additional patrols must follow a four-step schedule that
consists of the following:
sr�- eps Activity
1 Begin pre-enforcement activities. Examples: letters to editors,local newspapers,TV interviews,media
event,community education,etc.
Begin campaign activities. Conduct the enforcement campaign for a minimum of specified overtime
2 hours. Patrols must be spread out over the enforcement campaign period during the times of high crash
incidence(i.e.weekends,holidays from 9:00 pm—6:00 am).
3 Begin Post-enforcement media releases to highlight campaign effectiveness. Examples: number of
citations written,hours patrolled,etc.
Obtain and collect data from campaign. Report this information on the appropriate form. The forms are
4 due for collection on the date listed for the specific campaign on the attached calendar(page 10). For
additional campaigns the report is due by the 10th day following the enforcement. _ W
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Agreement No. AP-18-0044 04-02
• At the beginning of the grant enforcement campaign, information outlining all phases of the program
shall be given to law enforcement department personnel, news media, and court(prosecutors and judges)
personnel.
• Daily instructions shall be given at roll call outlining program goals.
• Local agencies shall utilize only Illinois Law Enforcement Training and Standards Board (ILETSB)
certified police officers or deputies for the overtime enforcement.
• All officers conducting grant funded, alcohol-related enforcement patrols must be trained in the
Standardized Field Sobriety Test(SFST). Approved training in this area consists of the 24-hour National
Highway Traffic Safety Administration (NHTSA), DWI Detection and Standardized Field Sobriety Testing
Course or other NHTSA/ ILETSB-approved refresher course. To satisfy this requirement, officers must
complete an ILETSB-accredited academy; a 24-hour SFST course or an SFST refresher course every four
(4)years from the date of their last completed certified training. These courses must be taught by certified
SFST instructors. Note: A law enforcement agency may provide in-house training for its own officers
conducted by officers from the same agency, provided the trainer is a certified SFST instructor. Officers may
also attend training at an agency other than their own provided the training is conducted by a certified
instructor. In these situations, a class roster showing all officers who completed the training must be sent to
the ILETSB. Upon request, law enforcement agencies must be able to produce verification of compliance
with this requirement.
• Overtime traffic enforcement shall be provided for the specified hours spread throughout the
enforcement period with an emphasis on impaired driving and occupant restraint laws.
• Officers are permitted and encouraged to issue multiple citations to drivers and/or passengers who
have committed multiple violations such as: 1. DUI; 2. Other alcohol-related offenses; 3. Failure to wear seat
safety belt and/or properly restrain a child; 4. Speeding; 5. Illegal use of electronic device.
• IDOT will reimburse expenditures for personal services by hire-back officers conducting overtime
enforcement.
• IDOT will provide materials to assist the local agency in preparing public information campaigns and
media releases.
• The applicant agency must be prepared to participate in promotional events at the request of BSPE.
• Cost records and accounts pertaining to the work covered by this agreement shall be kept available
for inspection for a period of three (3)years following the date of final reimbursement payment. Copies of
such records shall be made available, upon request, to IDOT representatives.
• All BSPE required forms and shall be submitted in a timely manner.
eLAP Enforcement Activities
• eLAP agencies may only utilize eLAP funds to provide up to time and one-half(1 '/2)overtime pay to
hire back officers to work RSC details.
• Agencies may conduct RSC details on their own or with other agencies as long as the enforcement
takes place only within the specified counties (listed below).
• eLAP agencies must have personnel trained in areas relating to the needs of the enforcement such
as crash investigation, DUI enforcement, BAC testing, Standardized Field Sobriety Testing (SFST) , and
other traffic matters. The agency must also have a selective enforcement policy and procedure regarding
staffing with appropriate supervision.
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Agreement No. AP-18-0044 04-02
• Local agencies shall utilize only Illinois Law Enforcement Training and Standards Board (ILETSB)
certified police officers or deputies for the overtime enforcement. Personnel must also be trained in DUI
enforcement techniques and standardized field sobriety tests.
• All officers conducting grant funded, alcohol-related enforcement patrols must be trained in the
SFST. Approved training in this area consists of the 24-hour National Highway Traffic Safety Administration
(NHTSA), DWI Detection and Standardized Field Sobriety Testing Course or other NHTSA/ILETSB-approved
refresher course. To satisfy this requirement, officers must complete an ILETSB-accredited academy; a 24-
hour SFST course or an SFST refresher course every four (4)years from the date of their last completed
certified training. These courses must be taught by certified SFST instructors. Note: An agency may provide
in-house training for its own officers conducted by officers from the same agency, provided the trainer is a
certified SFST instructor. Officers may also attend training at an agency other than their own provided the
training is conducted by a certified instructor. In these situations, a class roster showing all officers who
completed the training must be sent to the ILETSB. Upon request, agencies must be able to produce
verification of compliance with this requirement.
• Accurate and timely data reporting is required. Enforcement results will be reported to IDOT via form
BSPE 205, STEP Mobilization Data Collection Form no later than the 10th day following the month in which
RSC enforcement was conducted.
• RSCs may only be conducted within these counties: Adams, Champaign, Cook, DeKalb, DuPage,
Grundy, Jackson, Kane, Kankakee, Kendall, Kendall, Lake, LaSalle, Macon, Madison, McHenry, McLean,
Peoria, Rock Island, Sangamon, St. Clair, Tazewell, Vermilion, Will, Williamson, Winnebago.
• All enforcement efforts must be accompanied by an extensive earned media effort, including
utilization of social media, highly publicizing the results of each enforcement detail.
• Enforcement must take place on specified weekends, between Friday at 9:00 pm and Monday at
6:00 am (Exceptions allowed with pre-approval. See previous page)
• Agencies may conduct up to two (2) RSCs during each weekend (identified on the attached
calendar).
• RSC enforcement must be conducted during a minimum of five(5) up to a maximum of 37 weekends
during the grant year.
• RSC details must be a minimum of two(2) hours but no longer than five(5) hours in duration.
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Agreement No. AP-18-0044 04-02
'�. EXHIBIT C
PAYMENT
Grantee shall receive $ 94,323.00 under this Agreement.
Enter specific terms of payment here:
See Addendum 1 for specific campaign information.
State of Illinois
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Agreement No. AP-18-0044 04-02
EXHIBIT D
CONTACT INFORMATION
CONTACT FOR NOTIFICATION:
Unless specified elsewhere, all notices required or desired to be sent by either Party shall be sent to the
persons listed below.
GRANTOR CONTACT
Name: Christopher Peters
Title: Safety Grant Administrator
Address: 2300 South Dirksen Parkway, Room 007, Springfield, Illinois 62764
Phone: 217-558-1717
TTY#:
Fax#: 217/558-0364
E-mail Address: christopher.peters@illinois.gov
GRANTEE CONTACT
Name: Kevin Senne
Title: Sergeant
Address: 151 Dexter Court, Elgin, IL 60120-5503
Phone: 847-289-2661
TTY#:
Fax#: 847-289-2563
E-mail Address: senne_k@cityofelgin.org
Additional Information:
Debra Nawrocki
Finance Director
150 Dexter Court, Elgin, IL 60120
Telephone Number 847-931-5624
Fax Number 847-931-5622
Email address Nawrocki_d@cityofelgin.org
State of Illinois
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Agreement No. AP-18-0044 04-02
EXHIBIT E
PERFORMANCE MEASURES
STEP Reporting
A BSPE 205, STEP Mobilization Data Collection Form, must be submitted to IDOT after each
enforcement campaign. The report is due by the date listed for the specific campaign on the attached current
year enforcement campaign date calendar(on page 10), and shall consist of:
a. Completed BSPE 205 form for all campaigns.
b. Copies of public information and education campaign materials, media releases, articles,
etc., that were published.
STEP Reimbursement
Highway Safety Projects are funded on a reimbursement basis. The law enforcement agency pays
the cost for program operation using local funds. The agency then submits, after each enforcement
campaign, the appropriate BSPE 500 (BSPEa— Impaired Driving or BSPEb-Occupant Protection), Highway
Safety Project Claim for Reimbursement form. This form is available on IDOT's website at
http://www.idot.illinois.gov/home/resources/Forms-Folder/t. Instructions for completing the claim for
reimbursement are included with each respective form. Any expenditure made by an agency prior to the
agreement approval date is the responsibility of the local agency.
The only line items eligible for reimbursement in the STEP program are hire-back Personal Services,
Equipment and Indirect Costs. Funding for equipment is available only to grantees that participate in eLAP
enforcement and is limited; therefore, the grant application needs to be accompanied by a separate
document justifying the purchase of the equipment.
eLAP Reimbursement
Highway Safety Projects are funded on a reimbursement basis. The law enforcement agency pays
the cost for program operation using local funds. The agency then submits, after each eLAP enforcement
campaign, a BSPE 500a— Impaired Driving, Highway Safety Project Claim for Reimbursement form. This
form is available on IDOT's website at http://www.idot.illinois.gov/home/resources/Forms-Folder/t.
Instructions for completing the claim for reimbursement are included with each respective form. Any
expenditure made by an agency prior to the agreement approval date is the responsibility of the local agency.
eLAP Reporting
A BSPE 205, STEP Mobilization Data Collection Form, must be submitted to IDOT after each eLAP
enforcement campaign. The report shall consist of:
1. Completed BSPE 205 form for all campaigns.
2. Copies of public information and education campaign materials, media releases, articles,
etc., that were published.
Evaluation
The BSPE's overall assessment of the effectiveness of the project will be based upon the successful
completion of the required activities and the reduction in crashes over a specified period. This data is to be
submitted in progress reports and the final report. Based upon this data, the BSPE will analyze the
effectiveness of the enforcement project.
State of Illinois
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Agreement No. AP-18-0044 04-02
EXHIBIT F
PERFORMANCE STANDARDS
Project Objectives
Reduce the incidence of motor vehicle crashes,and the resulting injuries and fatalities through increased highly
visible enforcement of occupant protection, laws, impaired driving, distracted driving,motorcycle operation, speed,
pedestrian safety and motorcycle licensing and registration laws during the national and state enforcement campaigns.
Specific Goals:
1. Reduce the number of fatal and non-fatal injury crashes .
2. Increase enforcement of occupant restraint,impaired driving,speed laws, distracted driving laws and
motorcycle safety laws.
3. Achieve higher usage of occupant restraints(seat belt, car seats and booster seats)in ALL seating
positions.
4. Achieve a lower incidence of impaired driving involved injuries and fatalities.
5. Decrease Illinois' unrestrained fatality rate.
6. Decrease Illinois' impaired driving fatality rate.
7. Reduce Illinois' motorcycle fatalities.
STEP ENFORCEMENT PERFORMANCE OBJECTIVES:
Occupant Protection Impaired Driving
• A minimum of one(1)motorist contact(citations • A minimum of one(1)motorist contact(citations
only)for every 60 minutes of patrol. only)for every 60 minutes of patrol.
• Thirty(30)percent of all citations must be for • A minimum of one DUI arrest for every fifteen
occupant protection violations. (15)hours of actual patrol.
• One(1)percent of all citations must be for • A DUI processing rate of no more than two(2)
violations of the Child Passenger Protection Act hours per arrest.
• One(1)percent of all citation smust be for
backseat occupants.
Enforcement performance objectives assist with meeting the program goals.
eLAP Enforcement Performance Objectives:
• A minimum of one(1)motorist contact(citations only)for every 90 minutes of the RSC detail.
• A minimum of one(1)DUI arrest for every 15 hours of the RSC detail.
• A DUI processing rate of no more than two(2)hours.
Other eLAP Requirements:
a) At the beginning of the grant year, information outlining all phases of the program shall be given to law
enforcement agency personnel,news media, and court(prosecutors and judges)personnel.
b) IDOT will provide materials to assist the local agency in preparing public information campaigns, media releases
and social media marketing.
c) The applicant agency must be prepared to participate in news conferences and other promotional events at the
request of IDOT.
d) Costs eligible for reimbursement are personal services, equipment and indirect costs.
All IDOT required forms shall be completed and submitted in a timely manner.
State of Illinois
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Agreement No. AP-18-0044 04-02
EXHIBIT G
SPECIFIC CONDITIONS
Grantor may remove(or reduce)a Specific Condition included in this Exhibit G by providing notice in
writing to the Grantee.
I. Financial and Regulatory Reporting (2 CFR 200.327)
i. Grantee shall submit quarterly IDOT BoBS 2832 form in addition to other required reports.
Corrective Action(s) needed to change status: Implementation of new or enhanced system,
mitigating controls or a combination of both.
Timeframe: One year from the implementation of corrective action.
II.Cost Principles (2 CFR 200.400)
i. Grantee shall submit quarterly IDOT BoBS 2832 form in addition to other required reports.
Corrective Action(s) needed to change status: Implementation of additional controls for reviewing
and approval expenditures.
Timeframe: One year from the implementation of additional controls.
III. Fraud, Waste and Abuse
i. Grantee shall submit quarterly IDOT BoBS 2832 form in addition to other required reports
Requires additional training.
Corrective Action(s) needed to change status: Implementing a fraud awareness program
including information on how to report fraud, waste and abuse without fear of retaliation.
Timeframe: One year after implementation of corrective action.
State of Illinois
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Agreement No. AP-18-0044 04-02
PART TWO—THE GRANTOR-SPECIFIC TERMS
In addition to the uniform requirements in PART ONE, the Grantor has the following additional requirements
for its Grantee:
All claims for reimbursement and final reports are due to the Bureau of Safety Programs and
Engineering by November 1 n following the grant period. Failure to submit these documents by the required
due date will significantly delay payment as it may need to be processed through the Illinois Court of Claims.
Any expenditure made prior to the agreement approval date is the responsibility of the agency.
[See Paragraphs 4.3, 4.6, 4.7, 5.1, 7.8, 12.4, 13.3(a), 14.1, 14.3, and 24.1 for information that may be
required in this PART TWO.]
State of Illinois
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Agreement No. AP-18-0044 04-02
PART THREE-THE PROJECT-SPECIFIC TERMS
In addition to the uniform requirements in PART ONE and the Grantor-Specific Terms in PART TWO, the
Grantor has the following additional requirements for this Project:
N/A
[See Paragraphs 4.3, 4.6, 4.7, 5.1, 7.8, 12.4, 14.1, 14.3, and 24.1 for information that may be required in this
PART THREE.)
State of Illinois
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