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Home My WebLink About22-186 Unsigned Resolution No. 22-186 RESOLUTION AUTHORIZING ACCEPTANCE OF ILLINOIS DEPARTMENT OF TRANSPORTATION SUSTAINED TRAFFIC ENFORCEMENT PROGRAM (STEP) GRANT AND AUTHORIZING THE EXECUTION OF A GRANT AGREEMENT (Agreement No. HS-23-0036, 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$110,880 for occupant protection and impaired driving enforcement. BE IT FURTHER RESOLVED BY THE CITY COUNCIL OF THE CITY OF ELGIN, ILLINOIS, that Richard G. Kozal, City Manager, and Debra Nawrocki, Chief Financial Officer, be and are hereby authorized and directed to execute a grant agreement with the State of Illinois and 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. Kaptai_n David J. Kaptain, Mayor Presented: October 26, 2022 Adopted: October 26, 2022 Omnibus Vote: Yeas: 9 Nays: 0 Attest: s/Kimberly Dewis Kimberly Dewis, City Clerk Agreement No.HS-23-0036, 04-02 GRANT AGREEMENT k � S'• , BETWEEN THE STATE OF ILLINOIS, ILLINOIS DEPARTMENT OF TRANSPORTATION AND CITY OF ELGIN The ILLINOIS DEPARTMENT OF TRANSPORTATION (Grantor)with its principal office at 2300 S. Dirksen Parkway, Springfield, IL 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 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("State")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, NX1 VYN6MFXU9 is Grantee's correct UEI, if applicable; Grantee has an active State registration and SAM registration; and 366005862 is Grantee's correct FEIN or Social Security Number. Grantee further certifies, if applicable: (a)that Grantee is not subject to backup withholding because(i)Grantee is exempt from backup withholding, or(ii)Grantee has not been notified by the Internal Revenue Service(IRS)that Grantee is subject to backup withholding as a result of a failure to report all interest or dividends, or(iii)the IRS has notified Grantee that Grantee is no longer subject to backup withholding; and (b) Grantee is a U.S. citizen or other U.S. person. 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 applicable ❑ Medical Corporation tax classification) ® Governmental Unit ❑ P= partnership ❑ Estate or Trust ❑ C =corporation If 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. State of Illinois GRANT AGREEMENT FISCAL YEAR 2023/1 18 22 Page 1 of 42 Agreement No.HS-23-0036,04-02 1.2 Amount of Agreement. Grant Funds(check one) ❑ shall not exceed or ® are estimated to be $110,880.00 , of which $110,880.00 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 69A375213000040201L0 the federal awarding agency is National Highway Traffic Safety Administration and the federal award date is 01/19/21 . If applicable, the Assistance Listing Program Title is State and Community Highway Safety/National Priority Safety Programs and the Assistance Listing Number is 20.600 . The Catalog of State Financial Assistance(CSFA) Number is 494-10-0343 , and the CSFA Name is State and Community Highway Safety The State Award Identification Number is 343-35156 1.4 Term. This Agreement shall be effective on 10/01/2022 and shall expire on 09/30/2023 (the "Term"), unless terminated pursuant to the 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, misinterpretations, 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 2023/1 18 22 Page 2 of 42 Agreement No.HS-23-0036,04-02 1.6 Signatures. In witness whereof, the Parties hereto have caused this Agreement to be executed by their duly authorized representatives. ® Check if under$250,000. If under$250,000 the Secretary's signature may be delegated. Illinois Department of Transportation City OLFW By: Brt-4~'�IAU Signature of Omer Osman,P.E.Secretary of Transportation Signature of Authorized Representative By: Date: October 26, 2022 Signature of Designee Printed Name:Rick Kozal Date: Printed Title: City Manager Printed Name:Cynthia Watters Email: Kozal_R@Cityofelgin.org Printed Title: Bureau Chief of Safety Programs& Eng. Designee B ,( By: Signature of Authorized Representative Signature of Date: October 26, 2022 Printed Name:Debra Nawrocki By: Printed Title: Chief Financial Officer Signature of Designee Date: Email: nawrocki_d@cityofelgin.org Printed Name: Printed Title: Designee By: Signature of By: Signature of Designee Date: Printed Name: Printed Title: Designee By: Signature of By: Signature of Designee Date: Printed Name: Printed Title: Designee By: Signature of Fourth Other Approver's Name and Title Date: Printed Name: Printed Title: Designee State of Illinois GRANT AGREEMENT FISCAL YEAR 2023/1 18 22 Page 3 of 42 Agreement No.HS-23-0036,04-02 ARTICLE II REQUIRED REPRESENTATIONS 2.1 Standing and Authority. Grantee warrants that: (a) Grantee is duly organized, validly existing and in good standing, if applicable 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$30,000. 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, ("2 CFR Part 200"), and are incorporated herein by reference. 44 III. Admin. Code 7000.40(c)(1)(A). The requirements of 2 CFR Part 200 apply to the Grant Funds awarded through this Agreement, regardless of whether the original source of the funds is State or federal, unless an exception is noted in federal or State statutes or regulations. 44 III. Admin. Code 7000.10(c)(8); 30 ILCS 708/5(b). 2.5 Compliance with Registration Requirements. Grantee certifies that it: (i)is registered with the federal SAM; (ii) is in good standing with the Illinois Secretary of State, if applicable; (iii)has a valid DUNS Number; (iv) has a valid UEI, if applicable; and (v)has successfully completed the annual registration and prequalification through the Grantee Portal. It is Grantee's responsibility to remain current with these registrations and requirements. If Grantee's status with regard to any of these requirements changes, 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 2023/1 18 22 Page 4 of 42 Agreement No.HS-23-0036, 04-02 ARTICLE III DEFINITIONS 3.1 Definitions. Capitalized words and phrases used in this Agreement have the meanings stated in 2 CFR 200.1 unless otherwise stated below. "Agreement" or"Grant Agreement" has the same meaning as in 44 III. Admin. Code 7000.30. "Allowable Costs" has the same meaning as in 44 III. Admin. Code 7000.30. "Award" has the same meaning as in 44 III. Admin. Code 7000.30. "Budget" has the same meaning as in 44 III. Admin. Code 7000.30. "Catalog of State Financial Assistance"or"CSFA" has the same meaning as in 44 III.Admin.Code 7000.30. "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 7000.30. "Direct Costs" has the same meaning as in 44 III. Admin. Code 7000.30. "Disallowed Costs" has the same meaning as in 44 III. Admin. Code 7000.30. "DUNS Number" has the same meaning as in 44 III. Admin. Code 7000.30. "Financial Assistance" has the same meaning as in 44 III.Admin. Code 7000.30. "Fixed-Rate" has the same meaning as in 44 III.Admin. Code. 7000.30. "Fixed-Rate" is in contrast to fee-for-service, 44 III. Admin. Code 7000.30. "GATU"means the Grant Accountability and Transparency Unit within the Governor's Office of Management and Budget. "Grant Funds" means the Financial Assistance made available to Grantee through this Agreement. "Grantee Portal" has the same meaning as in 44 III.Admin. Code 7000.30. "Indirect Costs" has the same meaning as in 44 III. Admin. Code 7000.30. "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 7000.30. "Obligations" has the same meaning as in 44 III.Admin. Code 7000.30. "Period of Performance" has the same meaning as in 44 III. Admin. Code 7000.30. "Prior Approval" has the same meaning as in 44 III. Admin. Code 7000.30. "Profit" means an entity's total revenue less its operating expenses, interest paid, depreciation, and taxes. "Profit" is synonymous with the term "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. "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), the federal repository into which an entity must provide information required for the conduct of business as a recipient. "Unallowable Costs" has the same meaning as in 44 III. Admin. Code 7000.30. "Unique Entity Identifier"or"UEI" has the same meaning as in 44 III. Admin. Code 7000.30. State of Illinois GRANT AGREEMENT FISCAL YEAR 2023/1 18 22 Page 5 of 42 Agreement No.HS-23-0036,04-02 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. Pre-Award Costs. Pre-award costs are not permitted unless specifically authorized by the Grantor in Exhibit A, PART TWO, or PART THREE of this Agreement. If they are authorized, pre-award costs must be charged to the initial Budget Period of the Award, unless otherwise specified by the Grantor. 2 CFR 200.458. 4.3 Return of Grant Funds. Any Grant Funds remaining that are not expended or legally obligated by Grantee, including those funds obligated pursuant to ARTICLE XVII, 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. A Grantee who is required to reimburse Grant Funds 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; 44 III. Admin. Code 7000.450(c). In addition, as required by 44 III. Admin. Code 7000.440(b)(2), unless granted a written extension, Grantee must liquidate all obligations incurred under the Award at the end of the period of performance. 4.4 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. 2 CFR 200.305; 44 III. Admin. Code 7000.120. 4.5 Payments to Third Parties. Grantee agrees that Grantor shall have no liability to Grantee 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 when 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. 4.6 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. 4.7 Interest. (a) All interest earned on Grant Funds held by a Grantee shall be treated in accordance with 2 CFR 200.305(b)(9), unless otherwise provided in PART TWO or PART THREE. Any amount due shall be remitted annually in accordance with 2 CFR 200.305(b)(9)or.to the Grantor, as applicable. (b) Grant Funds shall be placed in an insured account,whenever possible, that bears interest, unless exempted under 2 CFR 200.305(b)(8). State of Illinois GRANT AGREEMENT FISCAL YEAR 2023/1 18 22 Page 6 of 42 Agreement No.HS-23-0036, 04-02 4.8 Timely Billing Required. Grantee must submit any payment request to Grantor within fifteen (15)days of the end of the quarter, unless another billing schedule is specified in PART TWO , PART THREE, or Exhibit C. 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. 4.9 Certification. Pursuant to 2 CFR 200.415, each invoice and report submitted by Grantee(or sub-grantee) must contain the following certification by an official authorized to legally bind the Grantee(or sub-grantee): By signing this report[or payment request or both], I certify to the best of my knowledge and belief that the report[or payment request] is true, complete, and accurate; that the expenditures, disbursements and cash receipts are for the purposes and objectives set forth in the terms and conditions of the State or federal pass-through award; and that supporting documentation has been submitted as required by the grant agreement. I acknowledge that approval for any other expenditures described herein shall be considered conditional subject to further review and verification in accordance with the monitoring and records retention provisions of the grant agreement. 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; 30 ILCS 708/120). 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 State Award (44 III. Admin. Code 7000.360) is incorporated herein by reference. 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. 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. State of Illinois GRANT AGREEMENT FISCAL YEAR 2023/1 18 22 Page 7 of 42 Agreement No.HS-23-0036,04-02 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 by reference. 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 or 44 III. Admin. Code 7000.370(b). 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. 6.3 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 Part 200 Subpart E and Appendices III, IV, V, and VII. 7.2 Indirect Cost Rate Submission. (a) All grantees, except for Local Education Agencies(as defined in 34 CFR 77.1), must make an Indirect Cost Rate election in the Grantee Portal, even grantees that do not charge or expect to charge Indirect Costs. 44 III. Admin. Code 7000.420(e). (i) Waived and de minimis Indirect Cost Rate elections will remain in effect until the Grantee elects a different option. (b) Grantee must submit an Indirect Cost Rate Proposal in accordance with federal and State regulations, in a format prescribed by Grantor. For grantees who have never negotiated an Indirect Cost Rate before, the Indirect Cost Rate Proposal must be submitted for approval no later than three months after the effective date of the Award. For grantees who have previously negotiated an Indirect Cost Rate, the Indirect Cost Rate Proposal must be submitted for approval within 180 days of the Grantee's fiscal year end, as dictated in the applicable appendices, such as: (i) Appendix V and VII to 2 CFR Part 200 governs Indirect Cost Rate Proposals for state and local governments. (ii) Appendix III to 2 CFR Part 200 governs Indirect Cost Rate Proposals for public and private institutions of higher education. (iii) Appendix IV to 2 CFR Part 200 governs Indirect(F&A)Costs Identification and Assignment, and Rate Determination for Nonprofit Organizations, and (iv) Appendix V to 2 CFR Part 200 governs state/Local Governmentwide Central Service Cost Allocation Plans. (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 and a copy of all documentation regarding the allocation methodology for costs used to negotiate that rate, e.g., without limitation, the State of Illinois GRANT AGREEMENT FISCAL YEAR 2023/1 18 22 Page 8 of 42 Agreement No.HS-23-0036, 04-02 cost policy statement or disclosure narrative statement. Grantor will accept that Indirect Cost Rate, up to any statutory, rule-based or programmatic limit. (d) A grantee who does not have a current negotiated rate, may elect to charge a de minimis rate of 10% of modified total direct costs which may be used indefinitely. No documentation is required to justify the 10% Indirect Cost Rate. 2 CFR 200.414(f). 7.3 Transfer of Costs. Cost transfers between Grants, whether as a means to compensate for cost overruns or for other reasons, are unallowable. 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 Part 200 Appendix Vill. 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. To comply with 2 CFR 200.305(b)(7)(i)and 30 ILCS 708/520, Grantee shall use reasonable efforts to ensure that funding streams are delineated within Grantee's accounting system. 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. 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. (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. State of Illinois GRANT AGREEMENT FISCAL YEAR 2023/1 18 22 Page 9 of 42 Agreement No.HS-23-0036, 04-02 (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. 2 CFR 200.303. (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 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). 7.10 Management of Program Income. Grantee is encouraged to earn income to defray program costs where appropriate, subject to 2 CFR 200.307. ARTICLE Vlll REQUIRED CERTIFICATIONS 8.1 Certifications. Grantee 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). (d) 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). (e) 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.). (f) 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). State of Illinois GRANT AGREEMENT FISCAL YEAR 2023/1 18 22 Page 10 of 42 Agreement No.HS-23-0036,04-02 (g) 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. (h) 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.). (i) Clean Air Act and Clean Water Act. Grantee certifies that it is in compliance with all applicable standards, orders 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.). 0) 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 2 CFR 200.205(a), or by the State (30 ILCS 708/25(6)(G)). (k) 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. (1) 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. (m) 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. (n) Criminal Convictions. Grantee certifies that neither it nor a managerial agent of Grantee(for non- governmental grantees only, this includes any officer, director or partner 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 (o) 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). (p) 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. State of Illinois GRANT AGREEMENT FISCAL YEAR 2023/1 18 22 Page 11 of 42 Agreement No.HS-23-0036, 04-02 (q) 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. (r) 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). (s) Federal Funding Accountability and Transparency Act of 2006. Grantee certifies that it is in compliance with the terms and requirements of 31 USC 6101. (t) Illinois Works Review Panel. For Awards made for public works projects, as defined in the Illinois Works Jobs Program Act, Grantee certifies that it and any contractor(s)or sub-contractor(s)that performs work using funds from this Award, shall, upon reasonable notice, appear before and respond to requests for information from the Illinois Works Review Panel. 30 ILCS 559/20-25(d). 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. 30 ILCS 708/40. Additionally, if Grantee receives over$10 million in total Financial Assistance, 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 XII 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: (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-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 (as amended)(42 USC 12101 et seq.); and (f) The Age Discrimination Act(42 USC 6101 et seq.). State of Illinois GRANT AGREEMENT FISCAL YEAR 2023/1 18 22 Page 12 of 42 Agreement No.HS-23-0036, 04-02 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 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-grantees are also subject to certification and disclosure. Pursuant to Appendix II(I)to 2 CFR Part 200, Grantee shall forward all disclosures by contractors regarding this certification to Grantor. 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 200.334, unless a different retention period is specified in 2 CFR 200.334, 44 III. Admin. Code 7000.430(a)and (b)or PART TWO or PART THREE. 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 200.337 and 44 III. Admin. Code 7000.430(f), 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 200.337, 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. State of Illinois GRANT AGREEMENT FISCAL YEAR 2023/1 18 22 Page 13 of 42 Agreement No.HS-23-0036, 04-02 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. 2 CFR 200.329; 200.332. 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 200.208. Unless so specified, the first of such reports shall cover the first three months after the Award begins and reports must be submitted no later than the due date(s)specified in PART TWO or PART THREE, unless additional information regarding required financial reports is 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 208(b)(3)and 200.328. Any report required by 30 ILCS 708/125 may be detailed in PART TWO or PART THREE. 13.2 Close-out Reports. (a) Grantee shall submit a Close-out Report no later than the due date specified in PART TWO or PART THREE,which must be no later than 60 calendar days following the end of the period of performance for this Agreement or Agreement termination. The format of this Close-out Report shall follow a format prescribed by Grantor. 2 CFR 200.344; 44 III. Admin. Code 7000.440(b) (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 200.345. 13.3 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. Grantee should refer to the State of Illinois Grantee Compliance Enforcement System for policy and consequences for failure to comply. 44 III.Admin.Code 7000.80. 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, PART THREE or Exhibit G. 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. Pursuant to 2 CFR 200.208, specific conditions may be imposed requiring Grantee to report more frequently based on the risk assessment or the merit review of the application. In such cases, Grantor shall notify Grantee of same in Exhibit G. Pursuant to 2 CFR 200.329 and 44 III. Admin. Code 7000.410(b)(2), periodic Performance Reports shall be submitted no later than the due date(s)specified in PART TWO or PART THREE. For certain construction-related Awards, such reports may be exempted as identified in PART TWO or PART THREE. 2 CFR 200.329. 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, no later than the due date specified in PART TWO or PART THREE, which must be no later than 60 calendar days following the end of the period of performance or Agreement termination. 2 CFR 200.344; 44 III. Admin. Code 7000.440(b)(1). State of Illinois GRANT AGREEMENT FISCAL YEAR 2023/1 18 22 Page 14 of 42 Agreement No.HS-23-0036, 04-02 14.3 Content of Performance Reports. Pursuant to 2 CFR 200.329(b)and (c)all Performance Reports must relate the financial data and accomplishments to the performance goals and objectives of this Award and also include the following: 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 and demonstration of cost effective practices(e.g. through unit cost data); 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. 2 CFR 200.301; 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 and policies set forth by the Governor's Office of Management and Budget. See 30 ILCS 708/65(c.);44 III.Admin.Code 7000.90. 15.2 Consolidated Year-End Financial Reports(CYEFR . All grantees are required to complete and submit a CYEFR through the Grantee Portal, except those exempted by federal or State statute or regulation, as set forth in PART TWO or PART THREE. The CYEFR is a required schedule in the Grantee's audit report if the Grantee is required to complete and submit an audit report as set forth herein. (a) This Paragraph 15.2 applies to all grantees, unless exempted pursuant to a federal or state statute or regulation, which is identified in PART TWO or PART THREE. (b) The CYEFR must cover the same period as the Audited Financial Statements, if required, and must be submitted in accordance with the audit schedule at 44 III.Admin.Code 7000.90. If Audited Financial Statements are not required, however, then the CYEFR must cover the Grantee's fiscal year and must be submitted within 6 months of the Grantee's fiscal year-end. (c) CYEFRs must include an in relation to opinion from the auditor of the financial statements included in the CYEFR. (d) CYEFRs shall follow a format prescribed by Grantor. 15.3 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 report packet must be completed as described in 2 CFR 200.512 (single audit)or 2 CFR 200.507(program-specific audit), 44 III.Admin.Code 7000.90(h)(1)and the current GATA audit manual and submitted to the Federal Audit Clearinghouse, as required by 2 CFR 200.512. The results of peer and external quality control reviews, management letters issued by auditors and their respective corrective action plans if significant deficiencies or material weaknesses are identified, and the Consolidated Year-End Financial Report(s) must be submitted to the Grantee Portal. The due date of all required submissions set forth in this paragraph is 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 Grantee's 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$500,000 or more in State Grants, Grantee must have a financial statement audit conducted in accordance with the Generally Accepted Government Auditing Standards(GAGAS). Grantee may be subject to additional requirements in PART TWO, PART THREE or Exhibit G based on the Grantee's risk profile. State of Illinois GRANT AGREEMENT FISCAL YEAR 2023/1 18 22 Page 15 of 42 Agreement No.HS-23-0036,04-02 (ii) If, during its fiscal year, Grantee expends less than $500,000 in State Grants, but expends $300,000 or more in State Grants, Grantee must have a financial statement audit conducted in accordance with the Generally Accepted Auditing Standards(GAAS). (iii) If Grantee is a Local Education Agency(as defined in 34 CFR 77.1), Grantee shall have a financial statement audit conducted in accordance with GAGAS, as required by 23 III. Admin. Code 100.110, regardless of the dollar amount of expenditures of State Grants. (iv) If Grantee does not meet the requirements in subsections 15.3(b)and 15.3(c)(i-iii) but is required to have a financial statement audit conducted based on other regulatory requirements, Grantee must submit those audits for review. (v) Grantee must submit its financial statement audit report packet, as set forth in 44 III. Admin. Code 7000.90(h)(2)and the current GATA audit manual, to the Grantee Portal within the earlier of(i)30 calendar days after receipt of the auditor's report(s)or(ii)6 months after the end of the Grantee's audit period. 15.4 "For-Profit" Entities. (a) This paragraph applies to Grantees that are"for-profit"entities. (b) Program-Specific Audits. If, during its fiscal year, Grantee expends$750,000 or more in federal pass- through funds from State Grants, Grantee is required to have a program-specific audit conducted in accordance with 2 CFR 200.507. The auditor must audit federal pass-through programs with federal pass-through Awards expended that, in the aggregate, cover at least 50 percent(0.50)of total federal pass-through Awards expended. The audit report packet must be completed as described in 2 CFR 200.507 (program-specific audit), 44 III. Admin. Code 7000.90 and the current GATA audit manual, and must be submitted to the Grantee Portal. The due date of all required submissions set forth in this Paragraph is 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 Grantee's audit period. (c) Financial Statement Audit. If, during its fiscal year, Grantee expends less than $750,000 in federal pass- through funds from State Grants, Grantee must follow all of the audit requirements in Paragraphs 15.3(c)(i)-(v), above. (d) Publicly-Traded Entities. If Grantee is a publicly-traded company, Grantee is not subject to the single audit or program-specific audit requirements, but is required to submit its annual audit conducted in accordance with its regulatory requirements. 15.5 Performance of Audits. For those organizations required to submit an independent audit report, the audit is to be conducted by the Illinois Auditor General (as required for certain governmental entities only), or a Certified Public Accountant or Certified Public Accounting Firm licensed in the State of Illinois or accordance with Section 5.2 of the Illinois Public Accounting Act(225 ILCS 450/5.2). For audits required to be performed subject to Generally Accepted Government Auditing standards or Generally Accepted Auditing standards, Grantee shall request and maintain on file a copy of the auditor's most recent peer review report and acceptance letter. Grantee shall follow procedures prescribed by Grantor for the preparation and submission of audit reports and any related documents. 15.6 Delinquent Reports. When such audit reports or financial statements required under this ARTICLE are prepared by the Illinois Auditor General, if they are not available by the above-specified due date, they will be provided to Grantor within thirty(30)days of becoming available. Otherwise, Grantee should refer to the State of Illinois Grantee Compliance Enforcement System for the policy and consequences for late reporting. 44 III.Admin. Code 7000.80. 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 Parry. 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 200.340(a)(4). State of Illinois GRANT AGREEMENT FISCAL YEAR 2023/1 18 22 Page 16 of 42 Agreement No.HS-23-0036,04-02 (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) if the Award no longer effectuates the program goals or agency priorities as set forth in Exhibit A PART TWO or PART THREE; 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 U.S. Constitution, regulations or the terms and conditions of this or any Award, Grantor may impose additional conditions on Grantee, as described in 2 CFR 200.208. 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 200.339. 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. 44 III. Admin. Code 7000.80 and, 7000.260. 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 200.342; 44 III. Admin. Code 7000.80 and, 7000.260. 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 200.343. 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 200.340(d). 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. Grantee must notify any potential sub-recipient that the sub-recipient shall obtain and provide to the Grantee a Unique Entity Identifier prior to receiving a subaward. 2 CFR 25.300. State of Illinois GRANT AGREEMENT FISCAL YEAR 2023/1 18 22 Page 17 of 42 Agreement No.HS-23-0036, 04-02 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. The terms of this Agreement shall apply to all subawards authorized in accordance with Paragraph 17.1. 2 CFR 200.101(b) (2)• 17.3 Liability as Guaranty. Grantee shall be liable as guarantor for any Grant Funds it obligates to a sub-grantee or sub-contractor pursuant to Paragraph 17.1 in the event the Grantor determines the funds were either misspent or are being improperly held and the sub-grantee or sub-contractor is insolvent or otherwise fails to return the funds. 2 CFR 200.345; 30 ILCS 705/6; 44 III. Admin. Code 7000.450(a). 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, UEI, SAM registration status, Related Parties, senior management(for non-governmental grantees only), or address. 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. To the extent permitted by Illinois law, 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. 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,for non-governmental grantees only, 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 or governance structure, as applicable. 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 won 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. State of Illinois GRANT AGREEMENT FISCAL YEAR 2023/1 18 22 Page 18 of 42 Agreement No.HS-23-0036, 04-02 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 200.113 and 30 ILCS 708/35. 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 currently holding an elective office in this State, including, but not limited to, a seat in the General Assembly. In addition, where the Grantee is not an instrumentality of the State of Illinois, as described in this Paragraph, Grantee agrees that payments made by Grantor under this Agreement will not be used to compensate, directly or indirectly, any person 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. An instrumentality of the State of Illinois includes,without limitation, State departments, agencies, boards,and Sate universities. An instrumentality of the State of Illinois does not include, without limitation, municipalities and units of local government and related entities. See definition of"Local government,"2 CFR 200.1. 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. ARTICLE XXII EQUIPMENT OR PROPERTY 22.1 Purchase of Equipment. For any equipment purchased in whole or in part with Grant Funds, if Grantor determines that Grantee has not met the conditions of 2 CFR 200.439, the costs for such equipment will be disallowed. Grantor shall notify Grantee in writing that the purchase of equipment is disallowed. 22.2 Prohibition against Disposition/Encumbrance. Any equipment, material, or real property that Grantee purchases or improves with Grant Funds may not be sold, transferred, encumbered (other than original financing)or otherwise disposed of during the Grant Term without Prior Approval of Grantor unless a longer period is required in PART TWO or PART THREE and permitted by 2 CFR Part 200 Subpart D. Any real property acquired or improved using Grant Funds must comply with the requirements of 2 CFR 200.311. Grantee acknowledges that real property, equipment, and intangible property that are acquired or improved in whole or in part by Grant Funds are subject to the provisions of 2 CFR 200.316 and the Grantor may require the Grantee to record liens or other appropriate notices of record to indicate that personal or real property has been acquired or improved with this Award and that use and disposition conditions apply to the property. 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. 22.4 Equipment Instructions. Grantee must obtain disposition instructions from Grantor when equipment, purchased in whole or in part with Grant Funds, are no longer needed for their original purpose. Notwithstanding anything to the contrary contained within this Agreement, Grantor may require transfer of any equipment to Grantor or a third party for any reason, including, without limitation, if Grantor terminates the Award or Grantee no longer conducts Award activities. The Grantee shall properly maintain, track, use, store and insure the equipment according to applicable best practices, manufacturer's guidelines, federal and state laws or rules, and Grantor requirements stated herein. 22.5 Domestic Preferences for Procurements. In accordance with 2 CFR 200.322, as appropriate and to the extent consistent with law, the Grantee should, to the greatest extent practicable under this Award, provide a preference for the purchase, acquisition, or use of goods, products, or materials produced in the United States(including but not limited to iron, aluminum, steel, cement, and other manufactured products). The requirements of this paragraph must be included in all subawards and in all contracts and purchase orders for work or products under this Award. State of Illinois GRANT AGREEMENT FISCAL YEAR 2023/1 18 22 Page 19 of 42 Agreement No.HS-23-0036,04-02 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 Grant Funds are used in whole or in part to produce any written publications, announcements, reports, flyers, brochures or other written materials, Grantee shall obtain Prior Approval for the use of those funds (2 CFR 200.467)and 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 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. ARTICLE XXV LAWSUITS AND INDEMNIFICATON 25.1 Independent Contractor. Neither Grantee nor any employee or agent of Grantee acquires any employment rights with Grantor 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 and Liability. (a) Non-governmental entities. This subparagraph applies only if Grantee is a non-governmental entity. To the extent permitted by law, Grantee agrees to hold harmless Grantor against any and all liability, loss, damage, cost or expenses, including attorney's 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. (b) Governmental entities. This subparagraph applies only if Grantee is a governmental entity. Neither Party shall be liable for actions chargeable to the other Party under this Agreement including, but not limited to, the negligent acts and omissions of Party's agents, employees or subcontractors in the performance of their duties as described under this Agreement, unless such liability is imposed by law. This Agreement shall not be construed as seeking to enlarge or diminish any obligation or duty owed by one Parry against the other or against a third party. ARTICLE XXVI 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. State of Illinois GRANT AGREEMENT FISCAL YEAR 2023/1 18 22 Page 20 of 42 Agreement No.HS-23-0036, 04-02 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 either Party to assert any right or remedy hereunder will act as a waiver of either Party's right to assert such right or remedy at a later time or constitute a course of business upon which either Party may rely for the purpose of denial of such a right or remedy. 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. 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)). State of Illinois GRANT AGREEMENT FISCAL YEAR 2023/1 18 22 Page 21 of 42 Agreement No.HS-23-0036, 04-02 26.12 Precedence. (a) Except as set forth in subparagraph (b), below, the following rules of precedence are controlling for this Agreement. 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 rule(s), the relevant statute(s)or rules shall control. (b) Notwithstanding the provisions in subparagraph (a), above, if a relevant federal or state statute(s)or rule(s) requires an exception to this Agreement's provisions, or an exception to a requirement in this Agreement is granted by GATU, such exceptions must be noted in PART TWO or PART THREE, and in such cases, those requirements control. 26.13 Illinois Grant Funds Recovery Act. In the event of a conflict between the Illinois 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. 26.14 Headinos. 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. 26.15 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. 26.16 Counterparts. This Agreement may be executed in one or more counterparts, each of which 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. 26.17 Attorney Fees and Costs. Unless prohibited by law, 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. 26.18 Continuing Responsibilities. The termination or expiration of this Agreement does not affect; (a)the right of the Grantor to disallow costs and recover funds based on a later audit or other review; (b)the obligation of the Grantee to return any funds due as a result of later refunds, corrections or other transactions, including, without limitation, final Indirect Cost Rate adjustments and those funds obligated pursuant to ARTICLE XVII; (c)the Consolidated Year-End Financial Report; (d)audit requirements established in ARTICLE XV; (e) property management and disposition requirements established in 2 CFR 200.310 through 2 CFR 200.316 and ARTICLE XXII; or(f) records related requirements pursuant to ARTICLE XII. 44 III. Admin. Code 7000.450. State of Illinois GRANT AGREEMENT FISCAL YEAR 2023/1 18 22 Page 22 of 42 Agreement No.HS-23-0036, 04-02 EXHIBIT A PROJECT DESCRIPTION CSFA Number NOSA/SAIN Number GATA Registration Number 494-10-0343 343-35156 674095 The Grantee shall utilize grant funds to meet desired safety project goals, milestones, deliverables, performance standards, and performance measures as specified in the 23-0343-05 NOFO. The funding shall be used as per the agreed upon budget pending the FFY23 federal budget, dollar amounts, and dates. In addition, the National Highway Traffic Safety Administration (NHTSA)grant funding policy determines allowable costs under specific conditions. Please see 23 CFR Part 1300, Uniform Procedures for State Highway Safety Grant Programs for allowable costs. The Sustained Traffic Enforcement Program (STEP)grant focuses on high visibility enforcement(HVE)on specific times and dates of the year. The enforcement efforts are designed to reduce fatalities and serious injuries at some of the deadliest times of the year for vehicle travel. There are six required holiday campaigns and agencies have the option of participating in the optional campaigns and/or additional enforcement. Each agency has different needs and focuses, and the additional enforcement options can be used to help address those issues. The Grantee shall utilize grant funds to help meet the STEP grant goals by meeting milestones, deliverables, performance standards, and performance measures. Such will be documented when submitting the BSPE 205 Local/ State Mobilizations Data Collection form per directions in Exhibit B. The funding shall be issued as per the agreed upon budget pending the FFY23 federal budget, dollar amounts, and dates. In addition, the National Highway Traffic Safety Administration (NHTSA)grant funding policy determines allowable costs under specific conditions. The Grantee is eligible to receive allowable costs as they appear in the approved finalized budget. However, the Grantee may request funding changes to the approved finalized budget should allocated costs need updated to better fit the needs of the Grantee after the commencement of the grant agreement. The Grantee is not eligible to receive indirect costs unless requested in the application and is eligible for a provisional rate as listed in the budget of this grant agreement. Grantees receiving indirect cost rates must adhere to appropriate protocol or may be subjected to the information listed in Article XXVI subsection 26.13 of this grant agreement. The STEP grant operates during the federal fiscal year from October 1-September 30 and are funded on a reimbursement basis per the requirements set forth in Exhibit C of this Agreement. The STEP grant funding line items eligible for reimbursement are personnel services and indirect costs(only where an approved rate has been requested prior to the execution of this Agreement and has been issued provisionally or finalized). Campaign Specifications: All approved campaigns and amounts are explained in the BSPE 411 STEP Attachment. Please reference to determine which campaigns you applied and were approved for. State of Illinois GRANT AGREEMENT FISCAL YEAR 2023/1 18 22 Page 23 of 42 Agreement No.HS-23-0036, 04-02 EXHIBIT B DELIVERABLES OR MILESTONES I. The Grantee shall submit the BSPE 205 Mobilizations Data Collection form within two(2)calendar weeks or fourteen (14)calendar days after completion of each campaign. The BSPE 205 Mobilizations Data Collection form must be submitted after the following holiday campaigns: Halloween; Thanksgiving; Christmas/New Year's; Super Bowl; St. Patrick's Day; Distracted Driving; Memorial Day; Independence Day; and Labor Day. The information in the BSPE 205 Mobilizations Data Collection form must accurately reflect the duties performed during the campaign. All BSPE 205 Mobilizations Data Collection forms shall be submitted electronically to DOT.BSPEDATA@illinois.gov II. The Grantee shall adhere to the following for STEP grant funding: (a) Conduct at least six(6). All impaired driving patrols must have a primary emphasis on increased enforcement of impaired driving laws 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. All speeding patrols must have a primary emphasis on increased enforcement of speeding laws and secondary enforcement emphasis on impaired driving, occupant protection and distracted driving laws. (b) Each STEP enforcement campaign,whether holiday or additional enforcement, must: (i)Conduct pre-enforcement activities including but not limited to: news releases; TV interviews; media events; community education; and court(prosecutors and judges) personnel. (ii) Complete campaign activities. Conduct the enforcement campaign for the minimum specified overtime hours. Patrols must be continual and spread out over the enforcement campaign period during times of high crash incidence. (iii) Send post-enforcement news releases to highlight campaign effectiveness including but not limited to: number of citations written and hours patrolled. (iv)Obtain and collect data from enforcement campaign. Report this information on the BSPE 205 Mobilizations Data Collection form. The BSPE 205 Mobilizations Data Collection form is due for collection on the date listed for the specific campaign on the enforcement campaign calendar. For additional campaigns, the report is due within two(2)weeks or fourteen (14)calendar days after the completion of each campaign and shall be submitted via email to DOT.BSPEDATA@illinois.gov. III. The grants funding opportunities under NOFO 23-0343-05 STEP are funded by NHTSA. Therefore, the Grantee shall have an acceptable accounting system in existence capable of identifying the federal- related costs separately from their general operating costs. The Grantee shall also adhere to all Fixing America's Surface Transportation Act(FAST Act, P.L. 114-94)rules and regulations under the criteria specific to STEP grant funding. Any questions regarding the FAST Act rules and regulations must be sent electronically to DOT.TSgrants@illinois.gov. IV. The Grantee shall submit the BoBS 2832 Grantee Required Reporting form on a regular basis pursuant to Article XIII and Article XIV in this agreement. The specifics for reporting the BoBS 2832-whether quarterly or monthly-are listed in Exhibit G and Part II of this Agreement. The required reporting of the BoBS 2832 was brought about as a requirement for all IDOT grantees regardless of the financial thresholds set forth by Public Act 096-0795 or the Federal Funding Accountability and Transparency(FFATA). The required reporting for the Grantee shall vary from grant to grant. However, the specifics for reporting for this specific Agreement are listed as such: Quarterly reports are due no later than 5:00 p.m. on: January 30, 2023; April 30, 2023; July 30, 2023; and the final report on October 30, 2023. Quarterly reports will consist of: Quarter 1 (October 1, 2022-December 31, 2022 due January 30, 2023); Quarter 2 (January 1, 2023- March 31, 2023 due April 30, 2023); Quarter 3(April 1, 2023-June 30, 2023 due July 30, 2023); and Quarter 4(July 1, 2023-September 30, 2023 due October 30, 2023). The Grantee must submit the State of Illinois GRANT AGREEMENT FISCAL YEAR 2023/1 18 22 Page 24 of 42 Agreement No.HS-23-0036,04-02 BoBS 2832 on or before the corresponding quarterly due dates even in the event that the Agreement is not fully executed until after the October 1, 2022 federal fiscal year start date. In the event that an Agreement is not fully executed until after October 1, 2022, the Grantee shall report Quarter 1 beginning the date the Agreement was fully executed. Any pending issues(e.g., overlap of campaign versus quarterly reporting dates) must be communicated to the Grantor Contact listed in Exhibit D of this Agreement a minimum of twenty-four(24) hours prior to the submission date. Monthly reports are due no later than 5:00 p.m. on: November 30, 2022, December 30, 2022; January 30, 2023; March 2, 2023; March 30, 2023; April 30, 2023; May 30, 2023; June 30, 2023; July 30, 2023; August 30, 2023, September 30, 2023, and October 30, 2023. The due dates are thirty(30)days after the conclusion of each month. Monthly reports shall consist of the following due dates for the entirety of the month listed: October 31, 2022 due November 30, 2022; November 2022 due December 30, 2022; December 2022 due January 30, 2023; January 30, 2023 due March 2, 2023; February 2023 due March 30, 2023; March 2023 due April 30, 2023; April 2023 due May 30, 2023; May 2023 due June 30, 2023; June 2023 due July 30, 2023; July 2023 due August 30, 2023; August 2023 due September 30, 2023; and September 2023 due October 30, 2023. All reports shall be submitted electronically to the Grantor Contact listed in Exhibit D. Any pending issues(e.g., overlap of campaign versus quarterly reporting dates)must be communicated to the Grantor Contact listed in Exhibit D of this Agreement a minimum of twenty-four(24) hours prior to the submission date. The grants funding opportunities under NOFO 23-0343-05 are funded by both the State of Illinois and NHTSA. Therefore, the Grantee shall have an acceptable accounting system in existence capable of identifying the federal- related costs separately from their general operating costs. The Grantee shall also adhere to all Fixing America's Surface Transportation Act(FAST Act, P.L. 114-94)rules and regulations under the criteria specific to their particular grant safety program. Any questions regarding the FAST Act rules and regulations must be sent electronically to DOT.TSgrants@illinois.gov. Campaign Specifications: A. Mandatory Enforcement Campaigns-these campaigns are a requirement of the grant and agencies must participate. The applicant agency can apply for funds to conduct Impaired Driving and/or Occupant Protection Enforcement for each campaign. Agencies must participate in the following campaigns with the predetermined message and enforcement emphasis: ❑ Thanksgiving (Occupant Protection) ❑ Christmas/New Year's (Impaired Driving) ❑ St. Patrick's Day (Impaired Driving) ❑ Memorial Day (Occupant Protection) ❑ Independence Day (Impaired Driving) ❑ Labor Day (Impaired Driving) Mandatory Enforcement Campaign Requirements: The applicant can apply for funds to conduct Impaired Driving and/or Occupant Protection Enforcement for each campaign and at least one must be conducted. There are separate requirements and desired outputs for each enforcement type. Each campaign will also have a primary message and enforcement emphasis (e.g. "Click It or Ticket" or"Drive Sober Or Get Pulled Over'). Agencies are encouraged to conduct enforcement campaigns for both Impaired Driving and Occupant Protection. Other traffic safety citations may be issued during mandatory campaigns. Examples of other citations for violations directly relating to contributory causes of crashes would be speeding, electronic device use, failure to yield, disobeying traffic control signal/device, etc., in addition to DUI arrests and seat belt use citations. Occupant Protection Enforcement: •A minimum of thirty (30) percent of total mandatory campaign hours for the grant year shall be worked between the hours of 6:00 p.m. and 6:00 a.m. Nighttime hours can be scheduled when most appropriate by the grant agency. (Example; If an agency's total mandatory and optional campaign hours add up to 100 hours, a minimum of 30 hours must be worked between 6:00 State of Illinois GRANT AGREEMENT FISCAL YEAR 2023/1 18 22 Page 25 of 42 Agreement No.HS-23-0036,04-02 p.m. and 6:00 a.m.). Thus, the agency has the flexibility to schedule nighttime hours when most appropriate during the grant year. •Thirty (30) percent of all citations while working Occupant Protection enforcement should be for occupant restraint violations. • See the Desired Outputs section for citation/traffic stop expectations. (Exhibit E) Impaired Driving Enforcement: • Patrol hours must occur between 6:00 p.m. and 6:00 a.m. Impaired driving patrol hours may be extended outside of 6:00 p.m. and 6:00 a.m. with pre-approval from your assigned IDOT Safety Grant Administrator(GA). (See Exhibit D) Daytime patrol hours can be conducted BY ARIDE/DRE-TRAINED OFFICERS ONLY between the hours of 6:00 a.m. and 6:00 p.m. •All officers conducting grant-funded, alcohol-related enforcement 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 SFST Course or other N HTSA/I LETS B-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 ILETSB SFST instructor. Officers may also attend training at an agency other than their own if the training is conducted by a certified SFST 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. • See the Desired Outputs section for citation/traffic stop expectations. (Exhibit E) B. Optional Enforcement Campaigns—these campaigns are optional. An agency can participate in zero, one, two, three or all of them if they so choose. Agencies may participate in the following campaigns with the predetermined message emphasis: ❑ Halloween (Impaired Driving) ❑ Super Bowl (Impaired Driving) ❑ Distracted Driving (Distracted Driving) ❑ Child Passenger Safety (Occupant Protection) Optional Enforcement Campaign Requirements: Like the mandatory campaigns, the applicant agency can apply for funds to conduct Impaired Driving and/or Occupant Protection Enforcement for the Halloween, Super Bowl campaigns. Distracted Driving and Child Passenger Safety only have one campaign focus, but all campaigns will have a primary message and enforcement emphasis(as seen above). Although the focus of the campaign may be occupant protection, impaired driving, child passenger safety, or distracted driving, your agency can still issue other citations such as but not limited to speeding. Occupant Protection Enforcement: • See Mandatory Occupant Protection Enforcement Requirements (Exhibit E) State of Illinois GRANT AGREEMENT FISCAL YEAR 2023/1 18 22 Page 26 of 42 Agreement No.HS-23-0036, 04-02 Impaired Driving Enforcement: • See Mandatory Impaired Driving Enforcement Requirements (Exhibit E) Distracted Driving Enforcement: • Only conducted in the month of April. • No time of day or week requirements. • See the Desired Outputs section for citation/traffic stop expectations. (Exhibit E) C.Additional Enforcement-Agencies can apply for funding to conduct additional enforcement along with the mandatory and optional campaigns. The focus, time, and date are completely up to the department based on their traffic enforcement needs but they cannot be used during the mandatory campaign dates. Agencies shall conduct enforcement focusing on contributory causes of crashes, i.e., speeding, impaired driving, electronic device use, failure to yield, disobeying traffic control signal/device, as well as occupant restraint violations. In the past, grantees would apply for a specific amount of funds for the type of additional enforcement. Now, agencies can apply for funds as one lump sum under this section without defining a specific enforcement type. These additional enforcement funds will be used when the agency decides it is most necessary, as long as it is outside of the mandatory campaign dates. Funds can be used as needed throughout the grant year. Additional Enforcement Requirements: •Additional Traffic Safety Enforcement Efforts can be scheduled anytime, day or night outside the mandatory campaign dates. Agencies shall conduct enforcement focusing on contributory causes of crashes, i.e., speeding, impaired driving, electronic device use, failure to yield, disobeying traffic control signal/device, as well as occupant restraint violations. •Additional Traffic Safety Enforcement funds cannot exceed fifty(50) percent of the requested mandatory and optional enforcement funds. •Agencies shall submit only one BSPE 205 reporting form and one BSPE 500 reimbursement claim for the entire month when additional enforcement was worked. The BSPE 205 must be submitted within two weeks(14 days)from the end of the month when work was completed. The BSPE 500 shall be submitted within 45 days from the end of the month when work was completed. • See the Desired Outputs section for citation/traffic stop expectations. (Exhibit E) State of Illinois GRANT AGREEMENT FISCAL YEAR 2023/1 18 22 Page 27 of 42 Agreement No.HS-23-0036, 04-02 EXHIBIT C PAYMENT Grantee shall receive $110,880.00 under this agreement. Enterspecific terms of agreement here: I. Invoices submitted by the Grantee will be for expenses that have been incurred to complete the scope of services/ responsibilities in Exhibit A. If the Grantee's invoices are deemed by the Grantor or auditors to not be sufficiently documented for supplies and equipment purchased or other services rendered, the Grantor may require further records and supporting documents to verify the amounts, recipients and uses of all funds invoiced pursuant to this Agreement. Furthermore, if any of the deliverables or milestones in Exhibit B are not satisfactorily completed, the Grantee will refund payments made under this Agreement to the extent that such payments were made for any such incomplete or unsatisfactory deliverable. The Grantee shall submit all claims on the BSPE 500 STEP Claim for Reimbursement form. All claims for reimbursement and final reports are due to the Grantor by 5 p.m. on Tuesday, November 1, 2023. Failure to submit these documents by the required due date will significantly delay payment and may result in additional time and paperwork by filing through the Illinois Court of Claims should the claim be determined to be lapsed. Any expenditure made prior to the agreement Start date is the responsibility of the Grantee. (a)The Grantee must submit the BSPE 500 form and supporting documentation to the Grantor pursuant to this Agreement via email at: DOT.BSPE.Claims@illinois.gov If issues arise submitting the BSPE 500, please contact your Grantor contact. II. All claims and supporting documents shall be signed and dated electronically by either the project director or the authorized representative of the Grantee. (a)The claim must include: (i)The Agreement Number. (ii) Requests for reimbursement must be requested on the Grantor's designated form, BSPE 500. (iii) Back up documentation, which may include invoices and receipts for expenditures, must be submitted with each claim. III. Review and Approval (a) Upon submittal of a claim, the assigned Grantor Contact listed in Exhibit D of this Agreement reviews and checks: (i) Mathematical accuracy of the claim. (ii)That requested reimbursement is consistent with items included in the approved budget. (iii)That total amount requested for reimbursement is proportional to total amount budgeted. (iv)That expenditures for each line item are less than or equal to the budgeted amounts and are allowable. (v)Completion of the work. (b) Failure to provide a complete claim may delay or prevent reimbursement. If there are problems with the claim, the assigned Grantor contact listed in Exhibit D of this Agreement will contact the Grantee to resolve the issue so that payment can be made, assuming all expenses are allowable. This may include submission of a new or corrected claim by the Grantee. (c)The assigned Grantor contact listed in Exhibit D of this Agreement will review and approve or reject the claim within thirty (30) days of the Grantee's submittal. If rejected, the claim will not be processed for payment until revisions are approved by the Grantee. IV. Manager Approval (a) Once a claim is approved for payment, the Grantor's Finance Unit processes the claim for payment by the Comptroller. State of Illinois GRANT AGREEMENT FISCAL YEAR 2023/1 18 22 Page 28 of 42 Agreement No.HS-23-0036,04-02 V. Send Payment (a)Once approved, the Comptroller forwards payment either via Electronic Fund Transfer(EFT)or by mailing a check to the Grantee's Remittance Address listed on this Agreement. VI. Indirect Cost Rate Eligibility (a) Indirect cost rate shall be referred to as indirect cost rate or rate(s)throughout the language of this Agreement. (b)The Grantee is only eligible to receive an indirect cost rate if requested on the grant application and the following stipulations are met: (b)The Grantee is only eligible to receive an indirect cost rate if requested on the grant application and the following stipulations are met: (i)The Grantee has a finalized indirect cost rate for the corresponding fiscal year wherein the expenses are allowable under the Negotiated Indirect Cost Rate Agreement(NICRA)or other applicable agreement between the agency and an appropriate third party; If this is the first time for negotiating an indirect cost rate, the grantee has the option to request a 10% provisional De Minimis rate until the rate is finalized. (ii)The Grantee is eligible to claim a provisional rate at the commencement of the grant agreement should the rate for the corresponding fiscal year not yet be finalized; (iii)The Grantee adheres to the requirements for receiving an indirect cost rate including, but not limited to, have appropriate approval to receive indirect cost funds and finalize the indirect cost rate that have been provisionally offered in a timely manner(timeliness is at the discretion of the Grantor). (1) Indirect Cost Rates are based on the Grantee's fiscal year, therefore, other restrictions and deadlines may apply. The Grantee must work with the Grantor's Support Services Manager to determine such additional restrictions. The Grantor's Support Services Manager may be reached by emailing DOT.TSgrants@illinois.gov. (c)The Grantee acknowledges that provisional rates are not guaranteed for the duration of this grant agreement. A rate shall be finalized prior to the end of the Agreement on Friday, September 30, 2023. (i) Indirect cost rates finalized at a differing rate from the provisional rate may result in an amendment to this Agreement. iii. Any overpayment of indirect costs on reimbursement submittals from the grantee paid under the provisional rate shall be deducted by the Grantor from the total amount owed on remaining reimbursement submittals once the rate is finalized even in the event that the amendment has not been issued or executed. The Grantee will be responsible for repaying to the Grantor any indirect cost overpayment that cannot be recouped from remaining reimbursement submittals. iv. If provisional indirect cost rates are not finalized by July 1 st of the grant year within this agreement, the Grantor may recollect all indirect costs that were issued under the provisional rate. These funds will be recollected through remaining reimbursement submittals, or if no further expenditures are submitted for reimbursement, the Grantor will issue a recollection statement to the Grantee. (d)The Grantee is fully aware and in understanding of the Illinois Grant Funds Recovery Act as listed in Article XXVI subsection 26.13 of this Agreement. (e)The Grantee acknowledges that the rate may be denied, altered, or otherwise amended outside the scope of rate requirements listed in Exhibit C subsection VI of this agreement. (f)All state university grant recipients shall adhere to the 20%on-campus/10%off-campus rate as per the memorandum issued January 24, 2020 to Grantor grant and program staff from the Grantor's Acting Chief Financial Officer. State of Illinois GRANT AGREEMENT FISCAL YEAR 2023/1 18 22 Page 29 of 42 Agreement No.HS-23-0036, 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: Becky Edwards Title: Safety Grant Administrator Address: 2300 South Dirksen Parkway, Springfield, IL 62764 Phone: 217-521-797 TTY#: N/A Fax#: N/A Email Address: Becky.Edwards@illinois.gov GRANTEE CONTACT Name: Mark Whaley Title: Sergeant Address: 150 Dexter Ct., Elgin, IL 60120 Phone: 847-289-2519 TTY#: N/A Fax#: N/A Email Address: whaley_m@Cityofelgin.org Additional Information: State of Illinois GRANT AGREEMENT FISCAL YEAR 2023/1 18 22 Page 30 of 42 Agreement No.HS-23-0036, 04-02 EXHIBIT E PERFORMANCE MEASURES The Grantee shall: I. Improve highway safety through increased enforcement and media campaigns. The STEP enforcement program shall run from October 01, 2022 -September 30, 2023 pending the FFY23 federal and FY23 state budgets, amounts, and dates. The Grantee shall submit the BSPE 205 Mobilizations Data Collection form. The BSPE 205 Mobilizations Data Collection form must be submitted within two(2)calendar weeks or fourteen (14)calendar days from the completion of each campaign. All BSPE 205 Mobilizations Data Collection forms shall be submitted electronically to DOT.BSPEDATA@illinois.gov II. The grants funding opportunities under NOFO 23-0343-05 STEP are funded by NHTSA. Therefore, the Grantee shall have an acceptable accounting system in existence capable of identifying the federal-related costs separately from their general operating costs. This accounting system shall be used in the quarterly reports to include information concerning monetary performance measures as it relates to the final approved budget. The Grantee shall also adhere to all Fixing America's Surface Transportation Act(FAST Act, P.L. 114-94) rules and regulations under the criteria specific to their particular grant safety program. Any questions regarding the FAST Act rules and regulations must be sent electronically to DOT.TSgrants@illinois.gov III. Respond to inquiries and/or requests by the assigned Grantor contact listed in Exhibit D of this Agreement and any authorized agent of the Grantor: (a) Respond within a maximum of five(5) business days. (b)Send all required documentation to DOT.TSgrants@illinois.gov or the email of the assigned Grantor Contact listed in Exhibit D of this Agreement. (c)Alert Grantor, the assigned Grantor contact listed in Exhibit D of this Agreement, and any authorized agent of the Grantor to any issue with accessing, retrieving, securing, procuring, or otherwise establishing necessary documentation as inquired or requested by the Grantor within a maximum of five(5) business days. (i)Official documentation of any and all issues must be submitted to DOT.TSgrants@illinois.gov or the email of the assigned Grantor Contact listed in Exhibit D of this Agreement. IV. The Grantee shall submit the BoBS 2832 Grantee Required Reporting form on a regular basis as stated in Exhibits B and G of this Agreement. V. Desired Performance Outcomes by Enforcement Type: Mandatory and Optional Campaigns: Occupant Protection: 1.Average a minimum of one (1)traffic citation for every 60 minutes of patrol. 2. Thirty(30) percent should be for occupant restraint violations. a. Front and back seat child and adult occupants. Impaired Driving: 1. A minimum of one DUI arrest for every fifteen (15) hours of patrol. 2. Average a minimum of one(1)traffic citation for every sixty(60)minutes of patrol. Distracted Driving (optional campaign only): 1.Average a minimum of one(1)traffic citation for every 60 minutes of patrol. 2. Fifty(50)percent should be for electronic device use violations. Additional Enforcement: 1. Average a minimum of one(1)traffic citation for every 60 minutes of patrol. State of Illinois GRANT AGREEMENT FISCAL YEAR 2023/1 18 22 Page 31 of 42 Agreement No.HS-23-0036,04-02 2. Average a minimum of two(2)traffic stops per hour. Campaign Requirements: For each mandatory, optional, and additional campaign completed, the agency shall: • Conduct pre-and post-enforcement activities. Examples: news releases; TV interviews; media events; community education; and court(prosecutors and judges)personnel; etc. • Conduct the enforcement campaign for the minimum specified overtime hours. Patrols must be continual and spread out over the enforcement campaign period during times of high crash incidence. • Obtain and collect data from campaign. Report this information on the BSPE 205 form. • Officers are encouraged to issue multiple citations to drivers and/or passengers who have committed multiple violations. •The grantee may be asked to participate in promotional events and regional meetings at the request of BSPE. passengers who have committed multiple violations. •The grantee may be asked to participate in promotional events and regional meetings at the request of BSPE. State of Illinois GRANT AGREEMENT FISCAL YEAR 2023/1 18 22 Page 32 of 42 Agreement No.HS-23-0036, 04-02 EXHIBIT F PERFORMANCE STANDARDS Performance Standards shall include: I. Ilncreased citations issued through officer hireback(overtime)enforcement details as described in the Attachment (BSPE 411)of the application packet for NOFO 23-0343-05 STEP. II. Electronic submission of the BSPE 205 Mobilizations Data Collection form to DOT.BSPEDATA@illinois.gov within two (2)calendar weeks or fourteen (14)calendar days of the completion of each campaign. III. The Grantee shall submit the BoBS 2832 Grantee Required Reporting form on a regular basis as stated in Exhibits B and G of this Agreement. IV. Timeliness of corrective actions will be determined on a case-by-case basis dependent on the urgency to which an issue needs to be addressed. This may be determined by the Grantor, the assigned Grantor contact listed in Exhibit D of this Agreement, any authorized agent of the Grantor, a third party retained by the Grantor, or coordination between the Grantor and the Grantee. (a)The Grantee shall generate and maintain invoices, implementation plan documents and materials and all other related documents including, but not limited to, email and mail correspondence in addition to other materials as listed in this Agreement. (b)The Grantee is not permitted to file advance pay requests, but may file accurate quarterly advance pay requests no sooner than thirty(30)days prior to the start of the quarter for which an advance is requested. (c)The Grantee shall file accurate documentation to be compliant with Exhibits B and E in this Agreement. V. Requirements concerning officers or deputies on hire back for STEP enforcement shall include: (a) Daily instructions shall be given at roll call outlining program objectives and enforcement performance measurements. (b) Local agencies shall utilize only Illinois Law Enforcement Training and Standards Board(ILETSB)certified police officers or deputies for the overtime enforcement. (c)All officers or deputies conducting grant-funded, alcohol-related enforcement patrols under this Agreement must be trained in the Standardized Field Sobriety Test(SFST). (i)Approved training in this area consists of the 24-hour National Highway Traffic Safety Administration (NHTSA), DWI Detection and SFST Course or other NHTSA/ ILETSB-approved refresher course. (ii)To satisfy this requirement, officers and deputies must complete an I LETS B-accred ited academy, a 24-hour SFST course or an SFST refresher course every four(4)years from the date of their last completed certified training. (iii)These courses must be taught by certified SFST instructors. (iv)A Grantee may provide in-house training for its own officers or deputies conducted by officers from the same agency, provided the trainer is a certified SFST instructor. Officers or deputies may also attend training at an agency other than their own as long as the training is conducted by a certified SFST instructor. In these situations, a class roster showing all officers or deputies who completed the training must be sent to the ILETSB. Upon request, the Grantee must be able to produce verification of compliance with this requirement. VI. Requirements concerning STEP enforcement shall include: (a) Hire back traffic enforcement shall be provided for the specified hours spread throughout the enforcement period with an emphasis on impaired driving, occupant restraint, and/or speeding laws. (b) Officers are permitted and encouraged to issue multiple citations to drivers and/or passengers who have committed State of Illinois GRANT AGREEMENT FISCAL YEAR 2023/1 18 22 Page 33 of 42 Agreement No.HS-23-0036, 04-02 multiple violations such as: DUI; other alcohol-related offenses;failure to wear seat belt and/or properly restrain a child; speeding; or illegal use of an electronic device. VII. Requirements concerning distribution of public information and/or media: (a)The Grantor will provide materials to assist the Grantee in preparing public information campaigns and news releases. (b)The Grantee must be prepared to participate in promotional events at the request of the Grantor. (c)Adhere to requirements set forth in Exhibit B in subsection II and subsection III of this Agreement. (d)Adhere to media requirements set forth in Section III in subsection III of this Agreement. VIII. All required forms shall be submitted in accordance with this Agreement. State of Illinois GRANT AGREEMENT FISCAL YEAR 2023/1 18 22 Page 34 of 42 Agreement No.HS-23-0036, 04-02 EXHIBIT G SPECIFIC CONDITIONS Grantor may remove(or reduce)a Specific Condition included in this Exhibit G by providing written notice to the Grantee, in accordance with established procedures for removing a Specific Condition. These specific conditions, as listed in the accepted Notice of State Award (NOSA), are based upon the grantee's responses to the Fiscal and Administrative Risk Assessment(ICQ), the Programmatic Risk Assessment(PRA)and any pertinent Merit Based Review process(if applicable). Additional Reporting Requirements may also be found in Part TWO and Part THREE of this agreement. The Grantee shall submit the BoBS 2832 Grantee Required Reporting form on a regular basis as stated in Exhibits B and G of this Agreement. Based on the risks below, the Grantee shall submit the BoBS 2832 Grantee Required Reporting form QUARTERLY. These specific conditions, as listed in the accepted Notice of State Award (NOSA), are based upon the grantee's responses to the Fiscal and Administrative Risk Assessment(ICQ), the Programmatic Risk Assessment(PRA)and any pertinent Merit Based Review process (if applicable). Fiscal And Administrative: I. Financial and Regulatory Reporting i.Log indicating report submittal due dates and actual report submittal dates with explanation if late. Undertake all steps to adhere to GAAP, supply the Grantor contact with a plan for said steps, and restate all financial statements as necessary for the given fiscal year. Corrective Action: Grantee shall provide all required reports on-time and without error. In addition, the Grantee shall implement performance measures that tie to financial data if not currently in place. Condition may be removed upon request after one year. State of Illinois GRANT AGREEMENT FISCAL YEAR 2023/1 18 22 Page 35 of 42 Agreement No.HS-23-0036, 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: Audit. Grantee shall permit, and shall require its contractors and auditors to permit, the Grantor, and any authorized agent of the Grantor, to inspect all work, materials, payrolls, audit working papers, and other data and records pertaining to the Project; and to audit the books, records, and accounts of the Grantee with regard to the Project. The Grantor may, at its sole discretion and at its own expense, perform a final audit of the Project. Such audit may be used for settlement of the grant and Project closeout. Grantee agrees to implement any audit findings contained in the Grantor's authorized inspection or review, final audit, the Grantee's independent audit, or as a result of any duly � borized inspection or review A. Code of Conduct 1. Personal Conflict of Interest -The Grantee shall maintain a written code or standard of conduct which shall govern the performance of its employees, officers, board members, or agents engaged in the award and administration of contracts supported by state or federal funds. Such code shall provide that no employee, officer, board member or agent of the Grantee may participate in the selection, award, or administration of a contract supported by state or federal funds if a conflict of interest, real or apparent would be involved. Such a conflict would arise when any of the parties set forth below has a financial or other interest in the firm selected for award: a. the employee, officer, board member, or agent; b. any member of his or her immediate family; c. his or her partner; or d. an organization which employs, or is about to employ, any of the above. The conflict of interest restriction for former employees, officers, board members and agents shall apply for one year. The code shall also provide that Grantee's employees, officers, board members, or agents shall neither solicit nor accept gratuities,favors or anything of monetary value from contractors, potential contractors, or parties to subcontracts. The Grantor may waive the prohibition contained in this subsection, provided that any such present employee, officer, board member, or agent shall not participate in any action by the Grantee or the locality relating to such contract, subcontract, or arrangement. The code shall also prohibit the officers, employees, board members, or agents of the Grantee from using their positions for a purpose that constitutes or presents the appearance of personal or organizational conflict of interest or personal gain. 2. Organizational Conflict of Interest -The Grantee will also prevent any real or apparent organizational conflict of interest. An organizational conflict of interest exists when the nature of the work to be performed under a proposed third party contract or subcontract may,without some restriction on future activities, result in an unfair competitive advantage to the third party contractor or Grantee or impair the objectivity in performing the contract work. Dispute Resolution. In the event of a dispute in the interpretation of the provisions of this Agreement, such dispute shall be settled through negotiations between the Grantor and the Grantee. In the event that agreement is not consummated at this negotiation level, the dispute will then be referred through proper administrative channels for a decision and ultimately, if necessary, to the Secretary of the Illinois Department of Transportation. The Grantor shall decide all claims, questions and disputes which are referred to it regarding the interpretation, prosecution and fulfillment of this Agreement. The Grantor's decision upon all claims, questions and disputes shall be final and conclusive. State of Illinois GRANT AGREEMENT FISCAL YEAR 2023/1 18 22 Page 36 of 42 Agreement No.HS-23-0036, 04-02 Procurement Procedures/Employment of Grantor Personnel 1. Procurement of Goods or Services - Federal Funds - For purchases of products or services with any Federal funds that costs more than $10,000.00 but less than the simplified acquisition threshold fixed at 41 U.S.C. 134), (currently set at$250,000.00)the Grantee shall obtain price or rate quotations from an adequate number(no less than three (3))of qualified sources. Procurement of products or services with any Federal funds for$250,000 or more will require the Grantee to use the Invitation for Bid process or the Request for Proposal process. In the absence of formal codified procedures of the Grantee, the procedures of the Grantor will be used. The Grantee may only procure products or services from one source with any Federal funds if: (1)the products or services are available only from a single source; or(2)the Grantor authorizes such a procedure; or(3)the Grantor determines competition is inadequate after solicitation from a number of sources. For Micro-Purchase(2 C.F.R. 200.67) Procurement of Goods or Services with Federal Funds: where the aggregate amount does not exceed the micro-purchase threshold currently set at$10,000(or$2,000 if the procurement is construction and subject to Davis-Bacon), to the extent practicable, the Grantee must distribute micro-purchases equitably among qualified suppliers. Micro-purchases may be awarded without soliciting competitive quotations if the Grantee considers the price to be reasonable. The micro-purchase threshold is set by the Federal Acquisition Regulation at 48 C.F.R. Subpart 2.1 2. Procurement of Goods or Services -State Funds --For purchases of products or services with any State of Illinois funds that cost more than$20,000.00, ($10,000.00 for professional and artistic services) but less than the small purchase amount set by the Illinois Procurement Code Rules, (currently set at$100,000.00 and $100,000.00 for professional and artistic services)the Grantee shall obtain price or rate quotations from an adequate number (no less than three(3))of qualified sources. Procurement of products or services with any State of Illinois funds for $50,000.00 or more for goods and services and $20,000.00 or more for professional and artistic services)will require the Grantee to use the Invitation for Bid process or the Request for Proposal process. In the absence of formal codified procedures of the Grantee, the procedures of the Grantor will be used. The Grantee may only procure products or services from one source with any State of Illinois funds if: (1)the products or services are available only from a single source; or(2)the Grantor authorizes such a procedure; or, (3)the Grantor determines competition is inadequate after solicitation from a number of sources. The Grantee shall include a requirement in all contracts with third parties that the contractor or consultant will comply with the requirements of this Agreement in performing such contract, and that the contract is subject to the terms and conditions of this Agreement. For Procurement of Goods or Services that cost less than $20,000.00, the Grantee shall comply with the following procurement standards: ($1-$1999, no Grantor Involvement) 1. Estimate the total cost of the procurement. 2. The Grantee may choose any vendor desired. 3. Grantee may choose to award without soliciting competitive quotations if Grantee considers the price to be reasonable. ($2,000-$4,999, requires Grantor approval) 1. Identify a need for goods or services. 2. Estimate the total cost of the procurement. 3. Develop specifications to solicit quotes. 4. Obtain quotes from three(3)vendors. Grantee is encouraged to use the registered small business vendor directory(ipg.vendorreg.com). 5. Grantee's purchasing officer shall obtain authorization from Grantor's point of contact provided on Exhibit D. 6. Award to the responsive bidder with the lowest price. State of Illinois GRANT AGREEMENT FISCAL YEAR 2023/1 18 22 Page 37 of 42 Agreement No.HS-23-0036, 04-02 ($5,000-$9,999, requires Grantor approval) 1. Identify a need for goods or services. 2. Estimate the total cost of the procurement. 3. Develop specifications to solicit quotes. 4. Obtain quotes from three(3)vendors. Grantee is encouraged to use the registered small business vendor directory(ipg.vendorreg.com). 5. Grantee's purchasing officer shall obtain authorization from Grantor's point of contact provided on Exhibit D. 6. Award to the responsive bidder with the lowest price. ($10,000-$19,999, requires Grantor approval) 1. Identify a need for goods or services. 2. Estimate the total cost of the procurement. 3. Identify registered small businesses in the applicable category. 4. Develop specifications to solicit quotes. 5. Email ALL identified small business vendors a request for quote(ipg.vendorreg.com) 6. Prepare or submit information to Grantor's point of contact in Exhibit D. 7. Obtain authorization from Grantor's point of contact provided on Exhibit D. 8. All applicable forms must be approved prior to awarding the contract. 3. Employment of Grantor Personnel --The Grantee will not employ any person or persons currently employed by the Grantor for any work required by the terms of this Agreement. Reporting. Grantee agrees to submit periodic financial and performance reporting on the approved IDOT BoBS 2832 form. Grantee shall file Quarterly BoBS 2832 reports with Grantor describing the expenditure(s)of the funds and performance measures related thereto. The first BoBS 2832 report shall cover the reporting period after the 10/1/2022 effective date of the Agreement. Quarterly reports must be submitted no later than 30 calendar days following the period covered by the report. For the purpose of reconciliation, the Grantee must submit a BoBS 2832 report for the period ending 12/31 (Grantee's Fiscal Year End date). A BoBS 2832 report marked as"Final Report" must be submitted to the Grantor 60 days after the end date of the Agreement. Failure to submit the required BoBS 2832 reports may cause a delay or suspension of funding. The Grantee must submit a BoBS 2832 report for the period ending 9/30 - Federal Fiscal Year End Grantee shall submit to Grantor a BOBS 2832 report for the period ending September 30 within 30 calendar days of the end of the Federal Fiscal Year. The Grantee must submit the following other required reports: Please specify In addition to the aforementioned reporting requirements, Grantee shall submit the following reports: BSPE 500, BSPE 205, ® Renewal.This Agreement may not be renewed. [Here is where the Grantor lists its specific requirements.] State of Illinois GRANT AGREEMENT FISCAL YEAR 2023/1 18 22 Page 38 of 42 Agreement No.HS-23-0036,04-02 State of Illinois GRANT AGREEMENT FISCAL YEAR 2023/1 18 22 Page 39 of 42 Agreement No.HS-23-0036, 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: I. Cost records and accounts pertaining to the work covered by this agreement shall be kept available for inspection for a period of time following the date of final reimbursement payment. Copies of such records shall be made available upon request to the Grantor's FOIA Officer by emailing DOT.FOIAOfficer@illinois.gov. II. The GRANTEE shall abide by conditions set forth by IDOT: (a) Seat Belt Policy. The GRANTEE shall have in place or establish a department seat belt policy that assures the safety of all personnel by requiring every person, regardless of seating position, to wear at all times a properly adjusted seat belt in all vehicles owned, leased, or rented by the department. This also applies to the operation of privately owned or other vehicles if used on-duty. Due to the police exemption it is insufficient to simply state, "...In accordance with the Illinois Mandatory Seat Belt Law (625 ILCS 5/12-603.1)". A copy of the seat belt policy must be provided to the GRANTOR and also be retained locally in the project file and available for review. (b) GRANTEE expenditures may be used to meet the Benefit to Local requirement set forth by NHTSA. (c) Enforcement grantees will conduct continual enforcement throughout patrols and officers leaving their safety patrol to aid operations outside of the grant is not permitted to be paid as part of the grant. This time must be noted in the claim. (d)Any program income collected during the year must be approved by IDOT and expended during the life of this grant and within the parameters. (e) Policy on Media Materials. All forms of media, including but not limited to, printed materials, scripts for trainings and public service announcements, and/or interview talking points, must be approved by the GRANTOR prior to any media campaigns whether voluntary or program-required. The GRANTEE shall submit all media electronically to the GRANTOR Contact listed in Exhibit D of this Agreement. Failure to submit media for approval prior to the media campaign shall result in forfeiture of monetary reimbursement for any and all unapproved media. All media must be submitted a minimum of two (2)weeks prior to the start of the media campaign. (f) Paid time off is to be used within the grant year it was earned. Paid time off is non-transferable. (g) Programs and deliverables created and/or developed with grant funds may be used by the Grantor at its discretion. III. The GRANTEE shall abide by conditions set forth by NHTSA: (a) Prohibition on Using Grant Funds to Check for Helmet Usage. The State and each subrecipient will not use 23 U.S.C. Chapter 4 grant funds for programs to check helmet usage or to create checkpoints that specifically target motorcyclists. (b) Policy on Seat Belt Use. In accordance with Executive Order 13043, Increasing Seat Belt Use in the United States, dated April 16, 1997, the GRANTEE is encouraged to adopt and enforce on-the-job seat belt use policies and programs for its employees when operating company-owned, rented, or personally-owned vehicles. The National Highway Traffic Safety Administration (NHTSA) is responsible for providing leadership State of Illinois GRANT AGREEMENT FISCAL YEAR 2023/1 18 22 Page 40 of 42 Agreement No.HS-23-0036, 04-02 and guidance in support of this Presidential initiative. For information and resources on traffic safety programs and policies for employers, please contact the Network of Employers for Traffic Safety (NETS), a public- private partnership dedicated to improving the traffic safety practices of employers and employees. You can download information on seat belt programs, costs of motor vehicle crashes to employers, and other traffic safety initiatives at http://www.idot.iIlinois.gov/transportation-system/safety/grants/index. The NHTSA website (www.nhtsa.gov) also provides information on statistics, campaigns, and program evaluations and references. (c) Policy on Banning Text Messaging While Driving. In accordance with Executive Order 13513, Federal Leadership On Reducing Text Messaging While Driving, and DOT Order 3902.10, Text Messaging While Driving, States are encouraged to adopt and enforce workplace safety policies to decrease crashes caused by distracted driving, including policies to ban text messaging while driving company-owned or rented vehicles, Government-owned, leased or rented vehicles, or privately-owned vehicles when on official Government business or when performing any work on or behalf of the Government. States are also encouraged to conduct workplace safety initiatives in a manner commensurate with the size of the business, such as establishment of new rules and programs or re-evaluation of existing programs to prohibit text messaging while driving, and education, awareness, and other outreach to employees about the safety risks associated with texting. (d) During the performance of this contract/funding agreement, the contractor/funding recipient agrees— i. To comply with all Federal nondiscrimination laws and regulations, as may be amended from time to time; ii. Not to participate directly or indirectly in the discrimination prohibited by any Federal non-discrimination law or regulation, as set forth in appendix B of 49 CFR part 21 and herein; iii. To permit access to its books, records, accounts, other sources of information, and its facilities as required by the State highway safety office, US DOT or NHTSA; iv. That, in event a contractor/funding recipient fails to comply with any nondiscrimination provisions in this contract/funding agreement, the State highway safety agency will have the right to impose such contract/ agreement sanctions as it or NHTSA determine are appropriate, including but not limited to withholding payments to the contractor/funding recipient under the contract/agreement until the contractor/funding recipient complies; and/or canceling, terminating, or suspending a contract or funding agreement, in whole or in part; and v. To insert this clause, including paragraphs (i)through (v), in every subcontract and sub-agreement and in every solicitation for a subcontract or sub-agreement, that receives Federal funds under this program. (e) Buy America. As set forth in 49 U.S.0 53230) and 49C.F.R. Part 661, only steel, iron and manufactured products produced in the United State may be purchased with Federal funds unless the Secretary of Transportation determines that such domestic purchases would be inconsistent with the public interest; that such materials will increase the cost of the overall project contract by more than 25 percent. Clear justification for the purchase of non-domestic items must be in the form of a waiver request submitted to and approved by the Secretary of Transportation. (f) Hatch Act, 5 U.S.C. 1501-1508 and 7324-7328, which limits the political activities of employees whose principal employment activities are funded in whole or in part with federal funds; (g) The Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, (42 U.S.C. 4601), (prohibits unfair treatment of persons displaced or whose property has been acquired because of Federal or Federal-aid programs and projects); State of Illinois GRANT AGREEMENT FISCAL YEAR 2023/1 18 22 Page 41 of 42 Agreement No.HS-23-0036, 04-02 (h) Federal-Aid Highway Act of 1973, (23 U.S.C. 324 et seq.), and Title IX of the Education Amendments of 1972, as amended (20 U.S.C. 1681-1683 and 1685-1686) (prohibit discrimination on the basis of sex); (i)The Civil Rights Restoration Act of 1987, (Pub. L. 100-209), (broadens scope, coverage and applicability of Title VI of the Civil Rights Act of 1964, The Age Discrimination Act of 1975 and Section 504 of the Rehabilitation Act of 1973, by expanding the definition of the terms "programs or activities"to include all of the programs or activities of the Federal aid recipients, sub-recipients and contractors, whether such programs or activities are Federally-funded or not); 0)Titles II and III of the Americans with Disabilities Act(42 U.S.C. 12131-12189) (prohibits discrimination on the basis of disability in the operation of public entities, public and private transportation systems, places of public accommodation, and certain testing) and 49 CFR parts 37 and 38; (k) Executive Order 12898, Federal Actions to Address Environmental Justice in Minority Populations and Low-Income Populations (prevents discrimination against minority populations by discouraging programs, policies, and activities with disproportionately high and adverse human health or environmental effects on minority and low-income populations); and (1) Executive Order 13166, Improving Access to Services for Persons with Limited English Proficiency (guards against Title VI national origin discrimination/discrimination because of limited English proficiency (LEP) by ensuring that funding recipients take reasonable steps to ensure that LEP persons have meaningful access to programs (70 FR at 74087 to 74100). (m) RESTRICTION ON STATE LOBBYING (applies to sub-recipients as well as States) None of the funds under this program will be used for any activity specifically designed to urge or influence a State or local legislator to favor or oppose the adoption of any specific legislative proposal pending before any State or local legislative body. Such activities include both direct and indirect (e.g., "grassroots") lobbying activities, with one exception. This does not preclude a State official whose salary is supported with NHTSA funds from engaging in direct communications with State or local legislative officials, in accordance with customary State practice, even if such communications urge legislative officials to favor or oppose the adoption of a specific pending legislative proposal. State of Illinois GRANT AGREEMENT FISCAL YEAR 2023/1 18 22 Page 42 of 42