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04-259
} Resolution No. 04-259 RESOLUTION AUTHORIZING EXECUTION OF A GRANT AGREEMENT WITH THE ILLINOIS HISTORIC PRESERVATION AGENCY FOR AN ELGIN NORTHWEST AREA ARCHITECTURAL SURVEY AND INVENTORY BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF ELGIN,ILLINOIS,that Ed Schock, Mayor,be and is hereby authorized and directed to execute a grant agreement with the Illinois Historic Preservation Agency for an Elgin Northwest Area Architectural Survey and Inventory, a copy of which is attached hereto and made a part hereof by reference. s/Ed Schock Ed Schock, Mayor Presented: September 22, 2004 Adopted: September 22, 2004 Omnibus Vote: Yeas: 6 Nays: 0 Attest: s/Dolonna Mecum Dolonna Mecum, City Clerk 1. Illinois Historic .._.: Preservation Agency 1, 1 Old State Capitol Springfield,tate Ca itol Plaza • S rin field, IL 62701-1507 • (217)782-4836 • TTY(217)524-7128 GRANT AGREEMENT Grantee/Sponsor: City of Elgin Heritage Commission 150 Dexter Court Elgin IL 60120- Kane County Grant Number: CL20040093 Project Name: Elgin Northwest Area Intensive Survey Grant Term: October 1, 2003 to September 30,2005 General Description of Project/Scope of Work: An intensive level survey of the historic resources in the area of Elgin commonly known as the Northwest Neighborhood. Financial Breakdown Total Project Cost: $28,370.00 State Grant: $17,022.00 (Maximum amount reimbursable under this agreement.) Local Match: $11,348.00 Incorporations The following items are hereby incorporated into this Grant Agreement: ATTACHMENTS: General Provisions, Special Conditions APPLICATION MATERIALS: Grant Manual: Certified Loca/Government Grant Program FFY2004 ON FILE SEPARATELY: IRS W-9 form,Assurances, US Dept of Interior Certifications Disclosure Certification Under penalties of perjury, I certify that ( 366-00-5862 uis my correct Federal Taxpayer Identification Number(FEIN). I am doing business as a: ❑Not For Profit Corporation EgGovemment Entity [Other ELGIN CITY OF agency name as shown on W-9 Signatures STATE OF ILLINOIS GRANTEE/SPONSOR signature gnature William L. Wheeler David M. Dorgan printed name printed name State Historic Preservation City Manager Officer, IHPA Clty of Elgin title and agency name title and agency name date date mmmirmim • STATE OF ILLINOIS HISTORIC PRESERVATION AGENCY GRANT AGREEMENT General Provisions DEFINITIONS Agreement: Grant Agreement Grantee: Entity which has applied for and been selected to receive a grant paid by the State of Illinois. Sponsor: Entity to which grant payments are made. Usually the same as the grantee. Contractor: A vendor, working under the supervision of the grantee, whose work is either paid with state grant funds, paid by grantee matching funds, or donated and allocated to the grant project. IHPA: Illinois Historic Preservation Agency Grantor: Illinois Historic Preservation Agency GMS: The Grants Management Section of the Preservation Services Division of the Illinois Historic Preservation Agency SHPO: State Historic Preservation Office(r) NPS: National Park Service, Department of the Interior Grant Term: The period of time for grant activity and payment. Timeline: An approved project timeline with beginning and ending dates, dated milestones, and planned due dates for events, draft products, final products, and the completion report. Products: Brochures, Photographs of building preservation, etc. — but NOT the completion report. Survey: The Survey Report is a product of the grant, usually a detailed photographic and narrative document—but NOT the completion report. Completion Report: A two part report (narrative and financial spreadsheet) reviewing the project plans, activity, and outcome which conforms to a specific format criteria. LAWS LAWS OF ILLINOIS: This Agreement shall be construed in accordance with the laws of the State of Illinois including but not limited to: (a) The Illinois Grant Fund Recovery Act(30 ILCS 705 et. seq.) (b) The Illinois State Agency Historic Resources Preservation Act (20 ILCS 3420) (c) Public Officer Prohibited Activities Act(50 ILCS 105) (d) Illinois Governmental Ethics Act(5 ILCS 420) TERMINATION FOR CAUSE: The Illinois Historic Preservation Agency has the absolute right, at its discretion, but with cause, to terminate this Agreement and not to render payment for any or all services provided for in this Agreement upon giving five days prior written notice. The Illinois Historic Preservation Agency has the absolute right to require repayment subject to the provisions of the Illinois Grant Fund Recovery Act. CERTIFICATIONS: By signing this Agreement, the grantee certifies compliance with each of the laws and contractual requirements listed below. Additional information for each requirement may be requested from the GMS. A letter of explanation for any area of non-compliance should be submitted to IHPA prior to fully executing the Agreement. (e) The Americans with Disabilities Act(42 U.S.C. 12101 et esq.) and the regulations thereunder (28 CFR 35.130) (f) Default on Repayment of Educational Loan (5 ILCS 105/15a) (g) Illinois Purchasing Act(30 ILCS 505/10.1, 505/10.3) especially debarment under Section 10.1 or 10.3. (h) Non-Bribery (30 ILCS 500/50-5) Page 2 of 6 • STATE OF ILLINOIS HISTORIC PRESERVATION AGENCY GRANT AGREEMENT (i) Drug Free Workplace Act(30 ILCS 580/1) (j) International Anti-Boycott (30 ILCS 582) (k) Equal Employment Opportunities—Affirmative Action/Sexual Harassment (775 ILCS 5/2-105) (I) The Illinois Human Rights Act, the U.S. Civil Rights Act, Section 504 of the Federal Rehabilitation Act, The Public Works Employment Discrimination Act, and the Business Enterprise of Minorities, Females and Persons with Disabilities Act. (m)Section 33-E3 or 33-E4 of the Criminal Code of 1961 (720 ILCS 5/33E-3, 720 ILCS 5/33E (n) Discriminatory Club Dues (775 ILCS 25/1) (o) The Prevailing Wage Act(820 ILCS 130/0.01 et seq.) and The Interagency Wetlands Policy Act (20 ILCS 830/1 et seq.) (p) Historic Preservation Fund grants must conform to the provisions of 18 U.S.C. 1913. (q) Single Audit Act of 1984. GRANT PROJECT WORK RULES: All work to be performed pursuant to this Agreement will be completed in accordance with: the "Secretary of the Interior's Standards for the Treatment of Historic Properties" ( see http://www2.cr.nps.gov'tps/secstanl.htm or copy available from the GMS); the grant proposal as approved or adjusted by IHPA; and any plans and specifications which were submitted to and approved by the Illinois Historic Preservation Agency. DESIGNATED ADMINISTRATOR: Grantee shall notify Grantor in writing of the person(s) designated by the Grantee to administer the grant on behalf of the Grantee, sign required reports, submit billings, and shall provide written notice of any changes in that designation. Care should be taken to comply with 36 CFR Part 61. APPROVAL OF WORK: The Grantor shall approve all work undertaken with grant funds. Changes in the scope of work, timeline, products, or budget must have prior written approval of the Grantor. The execution of this Agreement is not authorization to begin work. Once specific work plans have been reviewed and approved, a "Begin" letter from IHPA will authorize commencement of the work. RFP's and other public announcements soliciting contractors shall be approved by IHPA before they are published. AMENDMENTS: Except for minor changes to work timeline, budget allocations, or scope of work, this agreement may be amended only by a written amendment signed by both parties. GRANT TERM: All costs charged to the grant must be incurred within the grant term. The grantee must have prior written approval from the Illinois Historic Preservation Agency for any deviation from the grant term requirements. TIMELINE: An approved timeline must be submitted to the Illinois Historic Preservation Agency within 30 days of the date of this Agreement. The grantee must meet the performance milestones and other due dates in the timeline regardless of the term of the contract. DURATION: This Agreement shall become effective on the date of signature by the Illinois Historic Preservation Agency. It shall remain in force until 1) the grant term expires, 2) full completion of work and final payment, or 3)termination of the grant. PROGRESS REPORTING: Acceptable Progress Reports (IHPA Form 7) must be submitted to the GMS Office on or before the 10th of every month for the previous review period (month or quarter). Page 3 of 6 • STATE OF ILLINOIS HISTORIC PRESERVATION AGENCY GRANT AGREEMENT PRODUCTS: Both interim (draft) and final products must be approved by the Grantor. Those which do not conform to the terms and conditions of this grant agreement or which do not meet the Secretary of the Interior's Standards must be corrected within the grant term or the Grantee will not be reimbursed. COPYRIGHT, PATENTS, TRADEMARKS: No work produced under this Agreement shall become in whole or in part the subject of any application for copyright, patent, or trademark. Products and reports produced under this Agreement shall become the property of the State of Illinois, including any rights that otherwise might be available to the Grantee under copyright, patent, and trademark laws. Grantee specifically agrees that the compensation provided for hereunder also includes such rights to the State. COMPLETION: A completion report is due 30 days from the end of the project. The required content and format of completion reports is described in specific detail in the Grants Manual. All completion reports must contain a narrative (a. through f.) and a spreadsheet (g.) supported by billing forms 1-6 as shown below, but certain grant types have additional narrative requirements or products required: a. A complete description of the project components. For construction projects, include clear, labeled photographs of the completed project. b. An assessment of the degree of success achieved by the project. c. A discussion of the problems that were encountered in the implementation of the project. d. Resumes relating relevant experience for the principal individuals or firms engaged in the project. e. A description of all promotional and publicity activities involved in the project. This should include copies of all newspaper articles, handouts, news releases, etc. f. At least two copies of any publications including brochures, guidebooks, newsletters, planning documents, videotapes, or any other items prepared for distribution or implementation as local policy. AND g. A fiscal report formatted as follows: Final work-cost breakdown (Actual vs. Planned). Item Budgeted Actual Difference Amount Cost TOTAL Donor (individual, government, etc.), Source (private funds, state funds, etc.), Kind (volunteer time, cash, etc.), and amount of other federal or non-federal funds applied during the project period. Donor Source Kind Budgeted Actual Difference Amount Cost TOTAL Page 4 of 6 • STATE OF ILLINOIS HISTORIC PRESERVATION AGENCY GRANT AGREEMENT FINANCIAL FUNDING: Obligations of the State shall cease immediately if, in any fiscal year, the State of Illinois Legislature, the President, or the U.S. Congress fails to appropriate or otherwise make available funds for this contract. The State will use its best efforts to secure sufficient appropriations to cover this contract. The grantee acknowledges that this is a one-time grant which obligates neither the grantor nor the State of Illinois to provide further funding for completion or continuation of projects or ongoing costs of any future undertakings incurred by the grantee. FINANCIAL RECORDS: The Grantee shall maintain an adequate accounting system and auditing procedures to provide effective accountability and control of property, funds, and assets sufficient to meet grantee needs. If the grantee receives federal funds as a result of this Agreement, they shall comply with the Single Audit Act of 1984 and, if required under the Act, will forward the most recent audit performed under the Single Audit Act of 1984 to the Historic Preservation Agency with this signed agreement. CONTRACTING: The Grantee shall provide the Grantor with copies of Requests for Proposals, Requests for Bids, or other requests for goods or services exceeding $25,000 or for professional services exceeding $20,000. A copy of the resulting agreement shall be retained as part of the permanent grant record. Selected professional contractors must meet the minimum qualifications in 36 CFR Part 61. COMPENSATION: This Agreement will be paid on a reimbursement basis only upon receipt of acceptable proof of expenditure, except that the last 20% of the grant will be disbursed after Grantor's acceptance of final completion report in accordance with the applicable program manual. RETENTION OF RECORDS: The Grantee shall maintain and preserve for a period of five years after date of final payment to Grantee and during that period shall produce, upon request of the agency, all books, accounts, reports, files, data, electronic records, and other evidence pertaining to costs incurred by Grantee in connection with this agreement for the purposes of audit. The five year period begins after all payments, litigation, audits, and claims are closed. Records of durable property will be kept for five years beyond the final disposition date. AUDIT: IHPA reserves the right to require or conduct a Financial/Compliance Audit if it deems such action to be in the best interest of the State of Illinois. Page 5 of 6 • STATE OF ILLINOIS HISTORIC PRESERVATION AGENCY GRANT AGREEMENT Special Conditions—Certified Local Government Grants Program LAWS: This Agreement shall be construed in accordance with the National Register Programs Guidelines (NPS-49) issued by the National Park Service, Department of the Interior. During the grant term, the grantee will comply with OMB Circular A-87 or A-102 as applicable. CERTIFIED LOCAL GOVERNMENTS: Applicants must be eligible for grant funds under the Department of the Interior rules for certified local governments, and must have maintained good standing as a certified local government for the duration of the grant to receive final payment. COMPLETION: Certified Local Government Grantees must provide six copies of publications or other products to allow for distribution at the federal and state level to the National Park Service, IHPA, the State Historical Library, and others. Certain products do not easily lend themselves to this requirement, for example, survey projects have additional requirements. See the manual or contact the GMS for specific exceptions. PUBLICATIONS: All publications funded included in the grant must have prior written approval by the Illinois Historic Preservation Agency before publication. If written approval by the IHPA is not given, all costs pertinent to the publication may be disallowed. ACKNOWLEDGEMENT: Any and all publications of any type produced through this grant, including web sites and audio-visual materials, must bear the Illinois Historic Preservation Agency logo and acknowledgment. All meetings, publications, and products must acknowledge the NPS and include required Civil Rights, ADA, and Equal Rights language or bulletins per the instructions in the Manual. PROGRESS REPORTING: Reports are due monthly by the 10th of the next month: June 10th for May, July 10th for June, and so on for all 12 months. Page 6 of 6 i , ASSURANCES-NON-CONSTRUCTION PROGRAMS - Public reporting burden for this collection of information is estimated to average 15 minutes per response, including time for reviewing instructions,searching existing data sources,gathering and maintaining the data needed,and completing and reviewing the collection of information. Send comments regarding the burden estimate or any other aspect of this collection of information,including suggestions for reducing this burden,to the Office of Management and Budget,Paperwork Reduction Project(0348-0040),Washington DC 20503. PLEASE DO NOT RETURN YOUR COMPLETED FORM THE OFFICE OF MANAGEMENT AND BUDGET. SEND IT TO THE ADDRESS PROVIDED BY THE SPONSORING AGENCY. Note: Certain of these assurances may not be applicable to your project or program,If you have questions, please contact the awarding agency. Further,certain federal assistance awarding agencies may require applicants to certify to additional assurances. If such is the case,you will be notified. As the duly authorized representative of the applicant I certify that the applicant: 1.Has the legal authority to apply for Federal assistance,and the institutional,managerial and financial capability(including funds sufficient to pay the non-Federal share of project costs)to ensure proper planning, management and completion of the project described in this application. 2.Will give the awarding agency,the Comptroller General of the United States,and,if appropriate,the State, through any authorized representative,access to and the right to examine all records,books,papers,or documents related to the award;and will establish a proper accounting system in accordance with generally accepted accounting standards or agency directives. 3.Will establish safeguards to prohibit employees from using their positions for a purpose that constitutes or presents the appearance of personal or organizational conflict of interest,or personal gain. 4.Will initiate and complete the work within the applicable time frame after receipt of approval of the awarding agency. 5.Will comply with the Intergovernmental Personnel Act of 1970(42 U.S.C. §§4728-4763)relating to prescribed standards for merit systems for programs funded under one of the nineteen statutes or regulations specified in Appendix A of OPM's Standards for a Merit System of Personnel Administration(5 CFR,900, Subpart F). 6.Will comply with all Federal statues relating to non-discrimination. These include but are not limited to: (a) Title VI of the Civil Rights Act of 1964(P.L.88-352)which prohibits discrimination on the basis of race,color or national origin,(b)Title IX of the Education Amendments of 1972,as amended(20 U.S.C.§§ 1681-1683,and 1685-1686)which prohibits discrimination on the basis of sex;(c)Section 504 of the Rehabilitation Act of 1973, as amended(29 U.S.C. §794)which prohibit discrimination of the basis of handicaps,(d)the Age Discrimination Act of 1975,as amended(42 U.S.C.§§6101-6107)which prohibits discrimination on the basis of age;(e)the Drug Abuse Office and Treatment Act of 1972(P.L.93-255),as amended,relating to non- discrimination on the basis of drug abuse,(f)the Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970(P.L 91-616),as amended,relating to nondiscrimination on the basis of alcohol abuse or alcoholism;(g)§§ 523 and 527 of the Public Health Service Act of 1912(42 U.S.C.290 dd-3 and 290 ee-3),as amended,relating to confidentiality of alcohol and drug abuse patient records; (h)Title V111 of the Civil Rights Act of 1968(42 U.S.C.§3601 et seq.),as amended,relating to non-discrimination in the sale, rental or financing of housing: (i)any other non-discrimination provisions in the specific statute(s)under which application for Federal assistance is being made,and j)the requirements of any other non-discrimination Statutes)which may apply to the application. 7.Will comply,or has already complied,with the requirements of Titles 11 and[I[of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970(P.L.91-646)which provides for fair and equitable treatment of persons displaced or whose property is acquired as a result of Federal and federally assisted programs. These requirements apply to all interests in real property acquired for project purposes regardless of Federal participation in purchases. 8.Will comply with the provisions of the Hatch Act(5 U.S.C.§§ 1501-1508 and 7324-7328)which limit the political activities of employees whose principal employment activities are funded in whole or in part with Federal funds. • • 9.Will comply,as applicable,with the provisions of the Davis-Bacon Act(40 U.S.C. §§276a to 276a-7),the Copeland Act(40 U.S.C. §276c and 18 U.S.C.§874),the Contract Work Hours and Safety Standards Act(40 U.S.C.§§327-333)regarding labor standards for federally assisted construction subagreements. 10.Will comply with the flood insurance purchase requirements of Section 102(a)of the Flood Disaster Protection Act of 1973(P.L.93-234)which requires recipients in a special flood hazard area to participate in the program and to purchase flood insurance if the total cost of insurable construction and acquisition is$10,000 or more. 11.Will comply with environmental standards which may be prescribed pursuant to the following: (a)institution of environmental quality control measures under the National Environmental Policy Act of 1969(P.L. 91-190) and Executive Order(EO) 11514;(b)Environmental Policy Act of 1969(P.L.91-190)and Executive Order(EO) 11514;(b)notification of violating facilities pursuant to EO 11738;(c)protection of wetlands pursuant to EO 11990;(d)evaluation of flood hazards in floodplains in accordance with EO 11988;(e)assurance of project consistency with the approved State management program developed under the Coastal Zone Management Act of 1972(16 U.S.C.§§ 1451 et seq.);(f)conformity of Federal actions to State(Clean Air)Implementation Plans under Section 176(c)of the Clean Air Act of 1955,a„amended(42 U.S.C. §7401 et seq.);(g)protection of underground sources of drinking water under the Safe Drinking Water Act of 1974,as amended,(P.L.93-523); and(h)protection of endangered species under the Endangered Species Act of 1973,as amended,(P.L.93-205). 12.Will comply with the Wild and Scenic Rivers Act of 1968(16 U.S.C.If 1271 et seq.)related to protecting components or potential components of the national wild and scenic rivers system. 13.Will assist the awarding agency in assuring compliance with Section 106 of the National Historic Preservation Act of 1966,as amended(16 U.S.C.470),E.O. 11593(identification and preservation of historic properties),and the Archaeological and Historic Preservation Act of 1974(16 U.S.C.469a-1 et seq.). 14. Will comply with P.L.93-348 regarding the protection of human subjects involved in research,development, and related activities supported by this award of assistance. 15. Will comply with the Laboratory Animal Welfare Act of 1966(P.L.89-544,as amended,7 U.S.C. §§2131 et seq.)pertaining to the care,handling,and treatment of warm blooded animals held for research,teaching,or other activities supported by this award of assistance. 16.Will comply with the Lead-Based Paint Poisoning Prevention Act(42 U.S.C.§§4801 et seq.)which prohibits the use of lead based paint in construction or rehabilitation of residence structures. 17. Will cause to be performed the required financial and compliance audits in accordance with the Single Audit Act Amendments of 1996 and OMB Circular No.A-133,"Audits of States,Local Governments,and Non-Profit Organizations. 18.Will cause to be performed the required financial and compliance audits in accordance with the Single Audit Act of 1984. SIGNATURE OF AUTHORIZED CERTIFYING OFFICIAL TITLE )1;;Z:A22.01/ APPLICANT ORGANIZATION IP ATE SUBMITTED '/( X Y '?'/°7 AUTHORIZED FOR LOCAL REPRODUCTION SF 424D(4/88) • U.S.Department of the Interior Certifications Regarding Debarment,Suspension and Other Responsibility Matters,Drug-Free Workplace Requirements and Lobbying Persons signing this form should refer to the regulations referenced below Certification Regarding Debarment, Suspension, Ineligibility and for complete instructions: Voluntary Exclusion-Lower Tier Covered Transactions-(See Appendix B of Subpart D of 43 CFR Part 12.) Certification Regarding Debarment,Suspension,and Other Responsibility Matters - Primary Covered Transactions - The prospective primary Certification Regarding Drug-Free Workplace Requirements-Alternate I. participant further agrees by submitting this proposal that it will (Grantees Other Than Individuals) and Alternate II. (Grantees Who are include the clause titled, "Certification Regarding Debarment, Individuals)-(See Appendix C of Subpart D of 43 CFR Part 12) Suspension, Ineligibility and Voluntary Exclusion - Lower Tier Covered Transaction," provided by the department or agency Signature on this form provides for compliance with certification entering into this covered transaction, without modification, in all requirements under 43 CFR Parts 12 and 18. The certifications shall be lower tier covered transactions and in all solicitations for lower tier treated as a material representation of fact upon which reliance will be covered transactions. See below for language to be used or use this form placed when the Department of the Interior determines to award the for certification and sign. (See Appendix A of Subpart D of 43 CFR Part covered transaction,grant,cooperative agreement or loan. 12.) PART A:Certification Regarding Debarment,Suspension,and Other Responsibility Matters- Primary Covered Transactions CHECK_IF THIS CERTIFICATION IS FOR A PRIMARY COVERED TRANSACTION AND IS APPLICABLE. (I) The prospective primary participant certifies to the best of its knowledge and belief,that it and its principals: (a) Are not presently debarred,suspended,proposed for debarment,declared ineligible,or voluntarily excluded by any Federal department or agency; (b) Have not within a three-year period preceding this proposal been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining,attempting to obtain,or performing a public(Federal,State or local)transaction or contract under a public transaction;violation of Federal or State antitrust statutes or commission of embezzlement,theft,forgery, bribery, falsification or destruction of records,making false statements,or receiving stolen property; (e) Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity(Federal,State or local)with commission of any of the offenses enumerated in paragraph(1)(b)of this certification;and (d) Have not within a three-year period preceding this application/proposal had one or more public transactions (Federal, State or local) terminated for cause or default. (2) Where the prospective primary participant is unable to certify to any of the statements in this certification,such prospective participant shall attach an explanation to this proposal. PART B: Certification Regarding Debarment,Suspension,Ineligibility and Voluntary Exclusion- Lower Tier Covered Transactions CHECK_IF THIS CERTIFICATION IS FOR A LOWER TIER COVERED TRANSACTION AND IS APPLICABLE. (I) The prospective lower tier participant certifies, by submission of this proposal, that neither it nor its principals is presently debarred, suspended, proposed for debarment,declared ineligible,or voluntarily excluded from participation in this transaction by any Federal department or agency. (2) Where the prospective lower tier participant is unable to certify to any of the statements in this certification,such prospective participant shall attach an explanation to this proposal. D1-2010 June 1995 (This form replaces D1-1953,01-1954, 01-1955,131-1956 and 01-19631 • PART C:Certification Regarding Drug-Free Workplace Requirements CHECK_IF THIS CERTIFICATION IS FOR AN APPLICANT WHO IS NOT AN INDIVIDUAL. Alternate 1. (Grantees Other Than Individuals) A. The grantee certifies that it will or continue to provide a drug-free workplace by: (a)Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance is prohibited in the grantee's workplace and specifying the actions that will be taken against employees for violation of such prohibition; (b) Establishing an ongoing drug-free awareness program to inform employees about-- (I) The dangers of drug abuse in the workplace; (2) The grantee's policy of maintaining a drug-free workplace; (3) Any available drug counseling,rehabilitation,and employee assistance programs;and (4) The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace; (c) Making it a requirement that each employee to be engaged in the performance of the grant be given a copy of the statement required by paragraph(a); (d) Notifying the employee in the statement required by paragraph(a)that,as a condition of employment under the grant,the employee will-- (I) Abide by the terms of the statement;and (2) Notify the employer in writing of his or her conviction for a violation of a criminal drug statute occurring in the workplace no later than five calendar days after such conviction; (e) Notifying the agency in writing,within ten calendar days after receiving notice under subparagraph(d)(2)from an employee or otherwise receiving actual notice of such conviction. Employers of convicted employees must provide notice,including position title,to every grant officer on whose grant activity the convicted employee was working,unless the Federal agency has designated a central point for the receipt of such notices. Notice shall include the identification numbers(s)of each affected grant; (f) Taking one of the following actions,within 30 calendar days of receiving notice under subparagraph(d)(2),with respect to any employee who is so convicted— (1) Taking appropriate personnel action against such an employee,up to and including termination,consistent with the requirements of the Rehabilitation Act of 1973,as amended;or (2) Requiring such employee to participate satisfactorily in a drug abuse assistance or rehabilitation program approved for such purposes by a Federal,State,or local health,law enforcement,or other appropriate agency; (g) Making a good faith effort to continue to maintain a drug-free workplace through implementation of paragraphs(a)(b),(c),(d),(e)and(t). B. The grantee may insert in the space provided below the site(s for the performance of work done in connection with the specific grant: Place of Performance(Street address,city,county,state,zip code) Check if there are workplaces on file that are not identified here. PART D: Certification Regarding Drug-Free Workplace Requirements CHECK_IF THIS CERTIFICATION IS FOR AN APPLICANT WHO IS AN INDIVIDUAL. Alternate II. (Grantees Who Are Individuals) (a) The grantee certifies that, as a condition of the grant, he or she will not engage in the unlawful manufacture, distribution, dispensing, possession,or use of a controlled substance in conducting any activity with the grant; (b) If convicted of a criminal drug offense resulting from a violation occurring during the conduct of any grant activity,he or she will report the conviction,in writing,within 10 calendar days of the conviction,to the grant officer or other designee,unless the Federal agency designates a central point for the receipt of such notices. When notice is made to such a central point,it shall include the identification number(s)of each affected grant. DI-2010June 1995 (This form replaces DI-1953,DI-1954, DI-1955,DI-1956 and DI-1963) ' h� PART E: Certification Regarding Lobbying Certification for Contracts,Grants,Loans,and Cooperative Agreements CHECK IF CERTIFICATION IS FOR THE AWARD OF ANY OF THE FOLLOWING AND THE AMOUNT EXCEEDS$100,000:A FEDERAL GRANT OR COOPERATIVE AGREEMENT: SUBCONTRACT,OR SUBGRANT UNDER THE GRANT OR COOPERATIVE AGREEMENT. CHECK IF CERTIFICATION IS FOR THE AWARD OFA FEDERAL LOAN EXCEEDING THE AMOUNT OF$150,000,OR A SUBGRANT OR SUBCONTRACT EXCEEDING$100,000,UNDER THE LOAN. The undersigned certifies,to the best of his or her knowledge and belief,that: (I) No Federal appropriated funds have been paid or will be paid,by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of an agency, a Member of Congress, and officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract,the making of any Federal grant,the making of any Federal loan,the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. (2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency,a Member of Congress,an officer or employee of Congress,or an employee of a Member of Congress in connection with this Federal contract,grant,loan,or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying,"in accordance with its instructions. (3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts,subgrants,and contracts under grants,loans,and cooperative agreements)and that all subrecipients shall certify accordingly. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352,title 31,U.S.Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than$10,000 and not more than$100,000 for each such failure. As the authorized certifying official,l hereby certify that the above specified certifications are true. SIGNATURE OF AUTHORIZED CERTIFYING OFFICIAL David M- Dorgan, City Manager, City of Elgin TYPED NAME AND T TLE DATE DI-2010 June 1995 (This form replaces 01-1953,D1-1954, DI-1955,01-1956 and D1-1963) • r, SIGNATURE AUTHORIZATIQN 1. The following person(s) are authorized to sign the agreement and any financial or scope of work amendments. Name Title Signature Name Title Signature by: Sign-4v-re David M. Dorgan, City Manager, City of Elgin Printed Name, Title, and Organization 2. The following person(s) are authorized to sign the grant management documents certifying such things as monthly reports of work completed, expenditures, volunteer and paid time, except that they may not verify their own time worked. vRMI•I t 4 fi %sr* Name Title Signature Name Title Signature Name Title Signature Name Title Signature by: , APS Name • Jrr?-1 5F--eug7N PYtiC9M 4 73kaam-RtAl Printed Name, Title, and Organization Sy16 iTr � Agenda Item No. � � �; �i§ City of Elgin Eraro<<e, G September 3, 2004 ;--w= N QUALITY HOUSING TO: Mayor and Members of the City Cou :1 FROM: David Dorgan, City Manager 14 Sarosh Saher, Urban Design &`'reservation Specialist SUBJECT: Northwest Area Architectural Survey and Inventory PURPOSE The purpose of this memorandum is to provide the Mayor and members of the City Council with information to consider entering into an agreement with the Illinois Historic Preservation Agency (IHPA) to receive a grant to complete an architectural survey and inventory of properties in the rhk City's Northwest Area. RECOMMENDATION It is recommended that the City Council authorize an agreement between the Illinois Historic Preservation Agency (IHPA) and the City of Elgin to obtain a $17,022.00 grant to complete an architectural survey and inventory of properties in the Northwest Neighborhood. BACKGROUND The City has regularly conducted building inventories and surveys of older established neighborhoods. Since 1972, ten surveys have been completed in various neighborhoods under the guidance of the Elgin Heritage Commission. Of these, eight have been funded through grants obtained from the Certified Local Government (CLG) Grant program administered by the Illinois Historic Preservation Agency (IHPA). The Heritage Commission has undertaken a plan to continue these architectural inventories as part of a comprehensive effort to inventory the city's older established neighborhoods. The plan has also been made a part of the Citywide Comprehensive Plan currently being prepared. A survey and inventory of structures in a portion of the Northwest neighborhood is being proposed to assess approximately 586 structures (36 blocks) in the area, prepare an inventory of architectural features, document current condition and denote any changes to the structures over time. The required fieldwork involves taking three black and white photographs of each principal structure from the public right of way. This information will be provided to the City in the form of a computerized data base as well as hard copy. A summary report on the findings of the survey will include the architectural and historic context of the neighborhood. Northwest Area Survey and Inventory September 3, 2004 Page 2 The information obtained from the survey will be used for neighborhood development plans, rehabilitation guidelines for individual buildings, and broader community based projects. The information will be useful in the event the neighborhood considers creating a historic district, or a conservation district, which would provide the neighborhood with the means of achieving preservation at a neighborhood level without some of the perceived burdens of the traditional historic district regulatory approach. The development of Conservation districts, an alternative to historic districts, would use the data obtained from the survey for economic development purposes to respond to the following needs and issues: • To protect and stabilize property values within older established neighborhoods. • To prevent blight caused by insensitive in-fill development • To provide focus for the economic revitalization of the conservation area and its surrounding areas. • To lessen the adverse effects of incompatible uses by preventing new uses that conflict with the existing uses on the block or neighborhood. • To encourage property owners and residents to improve neighborhoods • To protect desirable and unique physical features of neighborhoods In recent years, neighborhood groups and real estate agents within the areas already surveyed have been using the information to promote the homes, historical and architectural heritage in order to foster the wider public knowledge and appreciation of such neighborhoods. Residents have used the information contained in the individual inventory forms to research the architecture and history of their homes to obtain heritage building plaques. The summary booklets containing the history and development of the neighborhoods have been distributed to residents throughout the community. The books are always made available at various City related events when the Elgin Heritage Commission takes an active role in distributing and presenting the information to citizens. The City of Elgin has been offered a grant from the Illinois Historic Preservation Agency (IHPA) in Springfield to complete the architectural survey of the Northwest Area neighborhood. The grant was approved as part of the Certified Local Government grant program for which Elgin is eligible. The total cost of the project is $28,370.00. The grant to the City of Elgin from the state historic preservation office is in the amount of$17,022.00 (approx. 60%). The local share from the City of Elgin will be $11,348.00 (approx 40%). Of the local share, $2,000 is required to consist of in-kind staff time to administer the project. The in-house administration of the program will be carried out by the Urban Design &Preservation Specialist. The City will enter into a grant agreement with the State Preservation Office prior to approving a irk contract with a consultant to survey the neighborhood. A copy of the grant agreement is attached. The City will need to pay the entire project cost and then be reimbursed by the IHPA after completion of the project, anticipated in July 2005. The IHPA has reimbursed the City in a timely manner on several previous projects of this nature. rNorthwest Area Survey and Inventory September 3, 2004 Page 3 COMMUNITY GROUPS/INTERESTED PERSONS CONTACTED The project is included in the Elgin Heritage Commission's long term plan to survey older established neighborhoods in the city. The Commission's Survey Review Subcommittee will review proposals submitted by contractors and make a recommendation to select the firm to complete the project. /ft,‘..,,,FINANCIAL IMPACT The IHPA grant would total $17,022 and require $11,348 in matching funds from the City. The City would need to bear the total cost of survey work at$28,370 prior to reimbursement from the State preservation office. A transfer of funds will need to be made in the amount of $26,370 from the Riverboat Fund Contingency Account, account number 275-0000-791.84-01 to the Elgin Heritage Commission, account number 275-0000-791.80-46, project number 039620. The remaining $2,000 (staff time) will be funded from the General Fund, Planning Department Administration Full Time Salaries, account number 010-1501-715.01-01. It is anticipated that the reimbursement of the $17,022.00 grant from the state will likely be received in July 2005. orik LEGAL IMPACT \‘1\144V Illinois Historic Preservation Agency (IHPA) will require the City of Elgin to enter into an agreement to participate in the grant program. ALTERNATIVES 1. Authorize an agreement between the Illinois Historic Preservation Agency (IHPA) and the City of Elgin to obtain a grant to complete an architectural survey and inventory of properties in the Northwest Neighborhood to be funded by the IHPA in the amount of $17,022.00, and matched by the City in the amount of$11,348.00. 2. Reject the agreement to obtain the grant to survey the Northwest Area neighborhood. Respectfully Submitted for Council consideration. 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Ili ...._ --mss - -...., - _ . ,. r -_ _ - + ---+ _ - - MVC-660F 640x480x 16M jpeg r ,. . ... : ..rr ..• , .-,., * -•_'''',,_. '''''... ", ,,, . of.'.,',' r- ' '.,:,.% i-,01 =: „..-:-.' , . Iii .4 ..: • + ' � • + r ' - i + ! �, a » - f Wa.+' • ' : 11#, IC 'I ' • a — 1- "—T-- -'�— — _ - a M61 F 640x480x16M jpeg rik ifeeL\ Illinois Historic .___.: Preservation Agency Capitol Plaza • Springfield,IL 62701-1507 • (217)782-4836 • TTY(217)524-7128 ��� 1 Old State Cap A March 22, 2004 Proposed Project Timeline-Please review Project Begin Date: L 2/1/204 I Sarosh Saher, Grant Manager Project End Date: I 7/30/2005 I City of Elgin Heritage Commission Final Completion Report and I I 150 Dexter Court Billings Due: Elgin, IL 60120 RE: Elgin Northwest Area Intensive Survey GRANT NUMBER CL20040093 Congratulations! I am pleased to inform you that your application for a 2004 Certified Local Government Grant has been selected for a grant award. We will contact you soon to discuss your grant, particularly any modifications we are suggesting for your scope of work, budget, or timeline. rYou may already know that the Illinois budget for federal Historic Preservation Grants is not yet finalized. You should be mindful that payment under the Certified Local Government grants is always subject to an award of sufficient funds to Illinois by the Federal Government. It is important that grants be recorded in the state's accounting system as soon as possible after they are awarded. To expedite that, you will find a grant agreement and other required paperwork enclosed with this letter. The forms should be signed and returned to IHPA no later than May 20, 2004. This allows about 60 days for you to resolve any questions or concerns, discuss the grant agreement at the local level, and get the agreement signed by the proper authority. If you have any question or need training, please do not hesitate to phone Madeline Gumble, Grants Administrator at(217)785-4513 or your IHPA project manager listed below. We are very happy to help you with your grant, because your success is also our success. You are to be commended for your preservation efforts that serve the citizens of Illinois. . Sincerely, • lily. tiek & Ld ynr Maynard A. Crossland Director r IHPA Project Manager Tracey Sculle Name and Number: (217) 785-4324 Illinois Historic r .---..` Preservation Agency /11 1 Old State Capitol Plaza • Springfield, IL 62701-1507 • (217)782-4836 • TTY(217)524-7128 GRANT AGREEMENT Grantee/Sponsor: City of Elgin Heritage Commission 150 Dexter Court Elgin IL 60120- Kane County Grant Number: CL20040093 Project Name: Elgin Northwest Area Intensive Survey Grant Term: October 1,2003 to September 30, 2005 General Description of Project/Scope of Work: An intensive level survey of the historic resources in the area of Elgin commonly known as the Northwest Neighborhood. fipb, Financial Breakdown Total Project Cost: $28,370.00 State Grant: $17,022.00 (Maximum amount reimbursable under this agreement.) Local Match: $11,348.00 Incorporations The following items are hereby incorporated into this Grant Agreement: ATTACHMENTS: General Provisions, Special Conditions APPLICATION MATERIALS: Grant Manual: Certified Local Government Grant Program FFY2004 ON FILE SEPARATELY: IRS W-9 form,Assurances, US Dept of Interior Certifications Disclosure Certification Under penalties of perjury, I certify that I 366-00-5862 lis my correct Federal Taxpayer Identification Number(FEIN). I am doing business as a: ❑Not For Profit Corporation DGovemment Entity DOther ELGIN CITY OF agency name as shown on W-9 Signatures STATE OF ILLINOIS GRANTEE/SPONSOR signature signature rib* William L. Wheeler printed name printed name State Historic Preservation Officer, IHPA title and agency name title and agency name date date STATE OF ILLINOIS HISTORIC PRESERVATION AGENCY GRANT AGREEMENT General Provisions DEFINITIONS Agreement: Grant Agreement Grantee: Entity which has applied for and been selected to receive a grant paid by the State of Illinois. Sponsor: Entity to which grant payments are made. Usually the same as the grantee. Contractor: A vendor, working under the supervision of the grantee, whose work is either paid with state grant funds, paid by grantee matching funds, or donated and allocated to the grant project. IHPA: Illinois Historic Preservation Agency Grantor: Illinois Historic Preservation Agency GMS: The Grants Management Section of the Preservation Services Division of the Illinois Historic Preservation Agency SHPO: State Historic Preservation Office(r) NPS: National Park Service, Department of the Interior Grant Term: The period of time for grant activity and payment. Timeline: An approved project timeline with beginning and ending dates, dated milestones, and planned due dates for events, draft products, final products, and the completion report. Products: Brochures, Photographs of building preservation, etc. — but NOT the completion report. Survey: The Survey Report is a product of the grant, usually a detailed photographic and narrative document— but NOT the completion report. Completion Report: A two part report (narrative and financial spreadsheet) reviewing the project plans, activity, and outcome which conforms to a specific format criteria. LAWS LAWS OF ILLINOIS: This Agreement shall be construed in accordance with the laws of the State of Illinois including but not limited to: (a) The Illinois Grant Fund Recovery Act(30 ILCS 705 et. seq.) (b) The Illinois State Agency Historic Resources Preservation Act (20 ILCS 3420) (c) Public Officer Prohibited Activities Act(50 ILCS 105) (d) Illinois Governmental Ethics Act(5 ILCS 420) TERMINATION FOR CAUSE: The Illinois Historic Preservation Agency has the absolute right, at its discretion, but with cause, to terminate this Agreement and not to render payment for any or all services provided for in this Agreement upon giving five days prior written notice. The Illinois Historic Preservation Agency has the absolute right to require repayment subject to the provisions of the Illinois Grant Fund Recovery Act. CERTIFICATIONS: By signing this Agreement, the grantee certifies compliance with each of the laws and contractual requirements listed below. Additional information for each requirement may be requested from the GMS. A letter of explanation for any area of non-compliance should be submitted to IHPA prior to fully executing the Agreement. (e) The Americans with Disabilities Act(42 U.S.C. 12101 et esq.) and the regulations thereunder(28 CFR 35.130) (1) Default on Repayment of Educational Loan (5 ILCS 105/15a) (g) Illinois Purchasing Act(30 ILCS 505/10.1, 505/10.3) especially debarment under Section 10.1 or 10.3. (h) Non-Bribery (30 ILCS 500/50-5) Page 2 of 6 STATE OF ILLINOIS HISTORIC PRESERVATION AGENCY GRANT AGREEMENT (i) Drug Free Workplace Act(30 ILCS 580/1) (j) International Anti-Boycott (30 ILCS 582) (k) Equal Employment Opportunities —Affirmative Action/Sexual Harassment (775 ILCS 5/2-105) (I) The Illinois Human Rights Act, the U.S. Civil Rights Act, Section 504 of the Federal Rehabilitation Act, The Public Works Employment Discrimination Act, and the Business Enterprise of Minorities, Females and Persons with Disabilities Act. (m)Section 33-E3 or 33-E4 of the Criminal Code of 1961 (720 ILCS 5/33E-3, 720 ILCS 5/33E (n) Discriminatory Club Dues (775 ILCS 25/1) (o) The Prevailing Wage Act(820 ILCS 130/0.01 et seq.) and The Interagency Wetlands Policy Act (20 ILCS 830/1 et seq.) (p) Historic Preservation Fund grants must conform to the provisions of 18 U.S.C. 1913. (q) Single Audit Act of 1984. GRANT PROJECT WORK RULES: All work to be performed pursuant to this Agreement will be completed in accordance with: the"Secretary of the Interior's Standards for the Treatment of Historic Properties" ( see http://www2.cr.nps.govitpsisecstanl.htm or copy available from the GMS); the grant proposal as approved or adjusted by IHPA; and any plans and specifications which were submitted to and approved by the Illinois Historic Preservation Agency. DESIGNATED ADMINISTRATOR: Grantee shall notify Grantor in writing of the person(s) designated by the Grantee to administer the grant on behalf of the Grantee, sign required reports, submit billings, and r shall provide written notice of any changes in that designation. Care should be taken to comply with 36 CFR Part 61. • APPROVAL OF WORK: The Grantor shall approve all work undertaken with grant funds. Changes in the scope of work, timeline, products, or budget must have prior written approval of the Grantor. The execution of this Agreement is not authorization to begin work. Once specific work plans have been reviewed and approved, a "Begin" letter from IHPA will authorize commencement of the work. RFP's and other public announcements soliciting contractors shall be approved by IHPA before they are published. AMENDMENTS: Except for minor changes to work timeline, budget allocations, or scope of work, this agreement may be amended only by a written amendment signed by both parties. GRANT TERM: All costs charged to the grant must be incurred within the grant term. The grantee must have prior written approval from the Illinois Historic Preservation Agency for any deviation from the grant term requirements. TIMELINE: An approved timeline must be submitted to the Illinois Historic Preservation Agency within 30 days of the date of this Agreement. The grantee must meet the performance milestones and other due dates in the timeline regardless of the term of the contract. DURATION: This Agreement shall become effective on the date of signature by the Illinois Historic Preservation Agency. It shall remain in force until 1) the grant term expires, 2) full completion of work and final payment, or 3)termination of the grant. rk PROGRESS REPORTING: Acceptable Progress Reports (IHPA Form 7) must be submitted to the GMS Office on or before the 10th of every month for the previous review period (month or quarter). Page 3 of 6 • STATE OF ILLINOIS HISTORIC PRESERVATION AGENCY GRANT AGREEMENT rib* PRODUCTS: Both interim (draft) and final roducts must be approved by the Grantor. Those which do P PP Y • not conform to the terms and conditions of this grant agreement or which do not meet the Secretary of the Interior's Standards must be corrected within the grant term or the Grantee will not be reimbursed. COPYRIGHT, PATENTS, TRADEMARKS: No work produced under this Agreement shall become in whole or in part the subject of any application for copyright, patent, or trademark. Products and reports produced under this Agreement shall become the property of the State of Illinois, including any rights that otherwise might be available to the Grantee under copyright, patent, and trademark laws. Grantee specifically agrees that the compensation provided for hereunder also includes such rights to the State. COMPLETION: A completion report is due 30 days from the end of the project. The required content and format of completion reports is described in specific detail in the Grants Manual. All completion reports must contain a narrative (a. through f.) and a spreadsheet (g.) supported by billing forms 1-6 as shown below, but certain grant types have additional narrative requirements or products required: a. A complete description of the project components. For construction projects, include clear, labeled photographs of the completed project. b. An assessment of the degree of success achieved by the project. c. A discussion of the problems that were encountered in the implementation of the project. d. Resumes relating relevant experience for the principal individuals or firms engaged in the project. e. A description of all promotional and publicity activities involved in the project. This should include copies of all newspaper articles, handouts, news releases, etc. f. At least two copies of any publications including brochures, guidebooks, newsletters, planning documents, videotapes, or any other items prepared for distribution or implementation as local policy. AND g. A fiscal report formatted as follows: Final work-cost breakdown (Actual vs. Planned). Item Budgeted Actual Difference Amount Cost TOTAL Donor (individual, government, etc.), Source (private funds, state funds, etc.), Kind (volunteer time, cash, etc.), and amount of other federal or non-federal funds applied during theproject period. Donor Source Kind Budgeted Actual Difference Amount Cost I TOTAL Page 4 of 6 STATE OF ILLINOIS HISTORIC PRESERVATION AGENCY GRANT AGREEMENT r FINANCIAL FUNDING: Obligations of the State shall cease immediately if, in any fiscal year, the State of Illinois Legislature, the President, or the U.S. Congress fails to appropriate or otherwise make available funds for this contract. The State will use its best efforts to secure sufficient appropriations to cover this contract. The grantee acknowledges that this is a one-time grant which obligates neither the grantor nor the State of Illinois to provide further funding for completion or continuation of projects or ongoing costs of any future undertakings incurred by the grantee. FINANCIAL RECORDS: The Grantee shall maintain an adequate accounting system and auditing procedures to provide effective accountability and control of property, funds, and assets sufficient to meet grantee needs. If the grantee receives federal funds as a result of this Agreement, they shall comply with the Single Audit Act of 1984 and, if required under the Act, will forward the most recent audit performed under the Single Audit Act of 1984 to the Historic Preservation Agency with this signed agreement. CONTRACTING: The Grantee shall provide the Grantor with copies of Requests for Proposals, Requests for Bids, or other requests for goods or services exceeding $25,000 or for professional services exceeding $20,000. A copy of the resulting agreement shall be retained as part of the permanent grant record. Selected professional contractors must meet the minimum qualifications in 36 CFR Part 61. COMPENSATION: This Agreement will be paid on a reimbursement basis only upon receipt of acceptable proof of expenditure, except that the last 20% of the grant will be disbursed after Grantor's Owacceptance of final completion report in accordance with the applicable program manual. RETENTION OF RECORDS: The Grantee shall maintain and preserve for a period of five years after date of final payment to Grantee and during that period shall produce, upon request of the agency, all books, accounts, reports, files, data, electronic records, and other evidence pertaining to costs incurred by Grantee in connection with this agreement for the purposes of audit. The five year period begins after all payments, litigation, audits, and claims are closed. Records of durable property will be kept for five years beyond the final disposition date. AUDIT: IHPA reserves the right to require or conduct a Financial/Compliance Audit if it deems such action to be in the best interest of the State of Illinois. Page 5 of 6 STATE OF ILLINOIS HISTORIC PRESERVATION AGENCY GRANT AGREEMENT Special Conditions—Certified Local Government Grants Program LAWS: This Agreement shall be construed in accordance with the National Register Programs Guidelines (NPS-49) issued by the National Park Service, Department of the Interior. During the grant term, the grantee will comply with OMB Circular A-87 or A-102 as applicable. CERTIFIED LOCAL GOVERNMENTS: Applicants must be eligible for grant funds under the Department of the Interior rules for certified local governments, and must have maintained good standing as a certified local government for the duration of the grant to receive final payment. COMPLETION: Certified Local Government Grantees must provide six copies of publications or other products to allow for distribution at the federal and state level to the National Park Service, IHPA, the State Historical Library, and others. Certain products do not easily lend themselves to this requirement, for example, survey projects have additional requirements. See the manual or contact the GMS for specific exceptions. PUBLICATIONS: All publications funded included in the grant must have prior written approval by the Illinois Historic Preservation Agency before publication. If written approval by the IHPA is not given, all costs pertinent to the publication may be disallowed. ACKNOWLEDGEMENT: Any and all publications of any type produced through this grant, including web sites and audio-visual materials, must bear the Illinois Historic Preservation Agency logo and acknowledgment. All meetings, publications, and products must acknowledge the NPS and include ribkrequired Civil Rights, ADA, and Equal Rights language or bulletins per the instructions in the Manual. PROGRESS REPORTING: Reports are due monthly by the 10th of the next month: June 10th for May, July 10th for June, and so on for all 12 months. toPP- Page 6 of 6 ASSURANCES-NON-CONSTRUCTION PROGRAMS Public reporting burden for this collection of information is estimated to average 15 minutes per response,including time for reviewing instructions,searching existing data sources,gathering and maintaining the data needed,and completing and reviewing the collection of information. Send comments regarding the burden estimate or any other aspect of this collection of information,including suggestions for reducing this burden,to the Office of Management and Budget,Paperwork Reduction Project(0348-0040),Washington DC 20503. PLEASE DO NOT RETURN YOUR COMPLETED FORM THE OFFICE OF MANAGEMENT AND BUDGET. SEND IT TO THE ADDRESS PROVIDED BY THE SPONSORING AGENCY. Note: Certain of these assurances may not be applicable to your project or program,If you have questions, please contact the awarding agency. Further,certain federal assistance awarding agencies may require applicants to certify to additional assurances. If such is the case,you will be notified. As the duly authorized representative of the applicant I certify that the applicant: 1.Has the legal authority to apply for Federal assistance,and the institutional,managerial and financial capability(including funds sufficient to pay the non-Federal share of project costs)to ensure proper planning, management and completion of the project described in this application. 2.Will give the awarding agency,the Comptroller General of the United States,and,if appropriate,the State, through any authorized representative,access to and the right to examine all records,books,papers,or documents related to the award;and will establish a proper accounting system in accordance with generally accepted accounting standards or agency directives. 3.Will establish safeguards to prohibit employees from using their positions for a purpose that constitutes or presents the appearance of personal or organizational conflict of interest,or personal gain. 4.Will initiate and complete the work within the applicable time frame after receipt of approval of the awarding agency. 5.Will comply with the Intergovernmental Personnel Act of 1970(42 U.S.C.§§4728-4763)relating to prescribed standards for merit systems for programs funded under one of the nineteen statutes or regulations specified in Appendix A of OPM's Standards for a Merit System of Personnel Administration(5 CFR,900, Subpart F). 6.Will comply with all Federal statues relating to non-discrimination. These include but are not limited to: (a) Title VI of the Civil Rights Act of 1964(P.L.88-352)which prohibits discrimination on the basis of race,color' or national origin,(b)Title IX of the Education Amendments of 1972,as amended(20 U.S.C.§§ 1681-1683,and 1685-1686)which prohibits discrimination on the basis of sex;(c)Section 504 of the Rehabilitation Act of 1973, as amended(29 U.S.C.§794)which prohibit discrimination of the basis of handicaps,(d)the Age Discrimination Act of 1975,as amended(42 U.S.C. §§6101-6107)which prohibits discrimination on the basis of age;(e)the Drug Abuse Office and Treatment Act of 1972(P.L.93-255),as amended,relating to non- discrimination on the basis of drug abuse,(f)the Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970(P.L 91-616),as amended,relating to nondiscrimination on the basis of alcohol abuse or alcoholism;(g)§§ 523 and 527 of the Public Health Service Act of 1912(42 U.S.C.290 dd-3 and 290 ee-3),as amended,relating to confidentiality of alcohol and drug abuse patient records; (h)Title VIII of the Civil Rights Act of 1968(42 U.S.C. §3601 et seq.),as amended,relating to non-discrimination in the sale, rental or financing of housing: (i)any other non-discrimination provisions in the specific statute(s)under which application for Federal assistance is being made,and j)the requirements of any other non-discrimination Statute(s)which may apply to the application. 7.Will comply,or has already complied,with the requirements of Titles 11 and[I[of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970(P.L.91-646)which provides for fair and equitable treatment of persons displaced or whose property is acquired as a result of Federal and federally assisted programs. These requirements apply to all interests in real property acquired for project purposes regardless of Federal participation in purchases. S.Will comply with the provisions of the Hatch Act(5 U.S.C.§§ 1501-1508 and 7324-7328)which limit the political activities of employees whose principal employment activities are funded in whole or in part with Federal funds. 9.Will comply,as applicable,with the provisions of the Davis-Bacon Act(40 U.S.C.§§276a to 276a-7),the Copeland Act(40 U.S.C.§276c and 18 U.S.C.§ 874),the Contract Work Hours and Safety Standards Act(40 U.S.C.§§327-333)regarding labor standards for federally assisted construction subagreements. 10.Will comply with the flood insurance purchase requirements of Section 102(a)of the Flood Disaster Protection Act of 1973(P.L.93-234)which requires recipients in a special flood hazard area to participate in the program and to purchase flood insurance if the total cost of insurable construction and acquisition is$10,000 or more. 11.Will comply with environmental standards which may be prescribed pursuant to the following: (a)institution of environmental quality control measures under the National Environmental Policy Act of 1969(P.L.91-190) and Executive Order(EO) 11514;(b)Environmental Policy Act of 1969(P.L.91-190)and Executive Order(EO) 11514;(b)notification of violating facilities pursuant to EO 11738;(c)protection of wetlands pursuant to EO 11990;(d)evaluation of flood hazards in floodplains in accordance with EO 11988;(e)assurance of project consistency with the approved State management program developed under the Coastal Zone Management Act of 1972(16 U.S.C.§§ 1451 et seq.);(f)conformity of Federal actions to State(Clean Air)Implementation Plans under Section 176(c)of the Clean Air Act of 1955,a„amended(42 U.S.C.§7401 et seq.);(g)protection of underground sources of drinking water under the Safe Drinking Water Act of 1974,as amended,(P.L.93-523); and(h)protection of endangered species under the Endangered Species Act of 1973,as amended,(P.L.93-205). 12.Will comply with the Wild and Scenic Rivers Act of 1968(16 U.S.C.If 1271 et seq.)related to protecting components or potential components of the national wild and scenic rivers system. 13.Will assist the awarding agency in assuring compliance with Section 106 of the National Historic Preservation Act of 1966,as amended(16 U.S.C.470),E.O. 11593(identification and preservation of historic properties),and the Archaeological and Historic Preservation Act of 1974(16 U.S.C.469a-1 et seq.). 14. Will comply with P.L.93-348 regarding the protection of human subjects involved in research,development, and related activities supported by this award of assistance. 15. Will comply with the Laboratory Animal Welfare Act of 1966(P.L.89-544,as amended,7 U.S.C. §§2131 et rikik seq.)pertaining to the care,handling,and treatment of warm blooded animals held for research,teaching,or other activities supported by this award of assistance. 16.Will comply with the Lead-Based Paint Poisoning Prevention Act(42 U.S.C.§§4801 et seq.)which prohibits the use of lead based paint in construction or rehabilitation of residence structures. 17. Will cause to be performed the required financial and compliance audits in accordance with the Single Audit Act Amendments of 1996 and OMB Circular No.A-133."Audits of States,Local Governments,and Non-Profit Organizations. 18.Will cause to be performed the required financial and compliance audits in accordance with the Single Audit Act of 1984. SIGNATURE OF AUTHORIZED CERTIFYING OFFICIAL TITLE APPLICANT ORGANIZATION DATE SUBMITTED AUTHORIZED FOR LOCAL REPRODUCTION SF 424D(4/88) U.S.Department of the Interior Certifications Regarding Debarment,Suspension and Other Responsibility Matters,Drug-Free Workplace Requirements and Lobbying Persons signing this form should refer to the regulations referenced below Certification Regarding Debarment, Suspension, Ineligibility and for complete instructions: Voluntary Exclusion-Lower Tier Covered Transactions-(See Appendix B of Subpart D of 43 CFR Part 12.) Certification Regarding Debarment,Suspension,and Other Responsibility Matters - Primary Covered Transactions - The prospective primary Certification Regarding Drug-Free Workplace Requirements-Alternate I. participant further agrees by submitting this proposal that it will (Grantees Other Than Individuals) and Alternate II. (Grantees Who are include the clause titled, "Certification Regarding Debarment, Individuals)-(See Appendix C of Subpart D of 43 CFR Part 12) Suspension, Ineligibility and Voluntary Exclusion - Lower Tier Covered Transaction," provided by the department or agency Signature on this form provides for compliance with certification entering into this covered transaction, without modification, in all requirements under 43 CFR Parts 12 and 18. The certifications shall be lower tier covered transactions and in all solicitations for lower tier treated as a material representation of fact upon which reliance will be covered transactions. See below for language to be used or use this form placed when the Department of the Interior determines to award the for certification and sign. (See Appendix A of Subpart D of 43 CFR Part covered transaction,grant,cooperative agreement or loan. 12.) PART A:Certification Regarding Debarment,Suspension,and Other Responsibility Matters- Primary Covered Transactions CHECK_IF THIS CERTIFICATION IS FOR A PRIMARY COVERED TRANSACTION AND IS APPLICABLE. (l) The prospective primary participant certifies to the best of its knowledge and belief,that it and its principals: (a) Are not presently debarred,suspended,proposed for debarment,declared ineligible,or voluntarily excluded by any Federal department or agency; (b) Have not within a three-year period preceding this proposal been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining,attempting to obtain,or performing a public(Federal,State or local)transaction or contract under a public transaction;violation of Federal or State antitrust statutes or commission of embezzlement,theft,forgery, bribery, falsification or destruction of records,making false statements,or receiving stolen property; (c) Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity(Federal,State or local)with commission of any of the offenses enumerated in paragraph(I)(b)of this certification;and (d) Have not within a three-year period preceding this application/proposal had one or more public transactions (Federal, State or local) terminated for cause or default. (2) Where the prospective primary participant is unable to certify to any of the statements in this certification,such prospective participant shall attach an explanation to this proposal. PART B: Certification Regarding Debarment,Suspension,Ineligibility and Voluntary Exclusion- Lower Tier Covered Transactions CHECK_IF THIS CERTIFICATION IS FOR A LOWER TIER COVERED TRANSACTION AND IS APPLICABLE. (1) The prospective lower tier participant certifies, by submission of this proposal, that neither it nor its principals is presently debarred,suspended, proposed for debarment,declared ineligible,or voluntarily excluded from participation in this transaction by any Federal department or agency. (2) Where the prospective lower tier participant is unable to certify to any of the statements in this certification,such prospective participant shall attach an explanation to this proposal. DI-2010 June 1995 (This form replaces DI-1953,DI-1954, D1-1955,DI-1956 and DI-1963) • PART C:Certification Regarding Drug-Free Workplace Requirements • r CHECK IF THIS CERTIFICATION IS FOR AN APPLICANT WHO IS NOT AN INDIVIDUAL. Alternate I. (Grantees Other Than individuals) A. The grantee certifies that it will or continue to provide a drug-free workplace by: (a)Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance is prohibited in the grantee's workplace and specifying the actions that will be taken against employees for violation of such prohibition; (b) Establishing an ongoing drug-free awareness program to inform employees about-- (1) The dangers of drug abuse in the workplace; (2) The grantee's policy of maintaining a drug-free workplace; (3) Any available drug counseling,rehabilitation,and employee assistance programs;and (4) The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace; (c) Making it a requirement that each employee to be engaged in the performance of the grant be given a copy of the statement required by paragraph(a); (d) Notifying the employee in the statement required by paragraph(a)that,as a condition of employment under the grant,the employee will— (1) Abide by the terms of the statement;and (2) Notify the employer in writing of his or her conviction for a violation of a criminal drug statute occurring in the workplace no later than five calendar days after such conviction; (e) Notifying the agency in writing,within ten calendar days after receiving notice under subparagraph(d)(2)from an employee or otherwise receiving actual notice of such conviction. Employers of convicted employees must provide notice,including position title,to every grant officer on whose grant activity the convicted employee was working,unless the Federal agency has designated a central point for the receipt of such notices. Notice shall include the identification numbers(s)of each affected grant; (f) Taking one of the following actions,within 30 calendar days of receiving notice under subparagraph(d)(2),with respect to any employee who is convicted-- (1)) Taking appropriate personnel action against such an employee,up to and including termination,consistent with the requirements of the Rehabilitation Act of 1973,as amended;or (2) Requiring such employee to participate satisfactorily in a drug abuse assistance or rehabilitation program approved for such purposes by a Federal,State,or local health,law enforcement,or other appropriate agency; (g) Making a good faith effort to continue to maintain a drug-free workplace through implementation of paragraphs(a)(b),(c),(d),(e)and(t). B. The grantee may insert in the space provided below the site(s for the performance of work done in connection with the specific grant: Place of Performance(Street address,city,county,state,zip code) Check if there are workplaces on file that are not identified here. PART D: Certification Regarding Drug-Free Workplace Requirements CHECK IF THIS CERTIFICATION IS FOR AN APPLICANT WHO IS AN INDIVIDUAL. Alternate II. (Grantees Who Are Individuals) (a) The grantee certifies that, as a condition of the grant, he or she will not engage in the unlawful manufacture, distribution, dispensing, possession,or use of a controlled substance in conducting any activity with the grant; (b) If convicted of a criminal drug offense resulting from a violation occurring during the conduct of any grant activity,he or she will report the conviction,in writing,within 10 calendar days of the conviction,to the grant officer or other designee,unless the Federal agency designates a central point for the receipt of such notices. When notice is made to such a central point,it shall include the identification numbers)of each affected grant. DI-2010June1995 (This form repbces D1-1953,DI-1954, D1-1955,D1.1956 and D1-1963) PART E: Certification Regarding Lobbying Certification for Contracts,Grants,Loans,and Cooperative Agreements r CHECK_/F CERTIFICATION IS FOR THE AWARD OF ANY OF THE FOLLOWING AND THE AMOUNT EXCEEDS 5100.000:A FEDERAL GRANT OR COOPERATIVE AGREEMENT: SUBCONTRACT,OR SUBGRANT UNDER THE GRANT OR COOPERATIVE AGREEMENT. CHECK_IF CERTIFICATION IS FOR THE AWARD OF A FEDERAL LOAN EXCEEDING THE AMOUNT OF$150,000,OR A SUBGRANT OR SUBCONTRACT EXCEEDING S100,000,UNDER THE LOAN. The undersigned certifies,to the best of his or her knowledge and belief,that: (I) No Federal appropriated funds have been paid or will be paid,by or on behalf of the undersigned,to any person for influencing or attempting to influence an officer or employee of an agency, a Member of Congress, and officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract,the making of any Federal grant,the making of any Federal loan,the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. (2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency,a Member of Congress,an officer or employee of•Congress,or an employee of a Member of Congress in connection with this Federal contract,grant, loan,or cooperative agreement,the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying,"in accordance with its instructions. (3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers(including subcontracts,subgrants,and contracts under grants,loans,and cooperative agreements)and that all subrecipients shall certify accordingly. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered,into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352,title 31,U.S.Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than$10,000 and not more than$100,000 for each such failure. As the authorized certifying official,I hereby certify that the above specified certifications are true. SIGNATURE OF AUTHORIZED CERTIFYING OFFICIAL TYPED NAME AND TITLE =<rl DATE DI-2010 June 1995 (This form replaces DI-1953.DI-1954, DI-1955,DI-1956 and 01-1963) SIGNATURE AUTHORIZATION 1. The following person(s) are authorized to sign the agreement and any financial or scope of work amendments. Name Title Signature Name Title Signature by: - Signature Printed Name, Title, and Organization 2. The following person(s) are authorized to sign the grant management documents certifying such things as monthly reports of work completed, expenditures, volunteer and paid time, except that they may not verify their own time worked. Name Title Signature Name Title Signature Name Title Signature Name Title Signature by: Name Printed Name, Title, and Organization row