11-178 Unsigned Resolution No. 11-178
RESOLUTION
AUTHORIZING ACCEPTANCE OF ILLINOIS DEPARTMENT OF TRANSPORTATION
HIGHWAY SAFETY PROJECT GRANT AGREEMENT
(Local Alcohol Program)
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 Highway Safety
Project grant in the amount of$137,139.55 for Local Alcohol Program,a copy of which is attached
hereto and made a part hereof by reference.
BE IT FURTHER RESOLVED that Sean R. Stegall,City Manager,is hereby authorized and
directed to execute all documents necessary in conjunction with the subject grant program.
s/David J. Kaptain
David J. Kaptain, Mayor
Presented: October 26, 2011
Adopted: October 26, 2011
Vote: Yeas: 7 Nays: 0
Attest:
s/Kimberly Dewis
Kimberly Dewis, City Clerk
r
Illinois Department Highway Safety Project Agreement,
of Transportation Conditions and Certifications
1A. GRANTEE: City of Elgin %City Clerk 2A. Project Title: LAP
(Elgin Police Department)
1B. Address: 150 Dexter Court 2B. Project Number: 2C. PSP Task Number(s):
Elgin, IL 60120-5555 AL2-1720-079 13-08
2D. CFDA Number: 2E. Project Amount:
20.601 $137,139.55
1C. TIN/FEIN: 30-6005862 3. Grant Period: 10/1/2011 through 9/30/2012
1D. Vendor#: D12849
1E. Fund Type: 410 4. DUNS: 010-224-772
1F. ® Federal ❑ State
Required Signatures
By signing below, the GOVERNMENTAL BODY and the DEPARTMENT agree to comply with and abide by all provisions
set forth and any Appendices thereto.
5A. GRANTEE Project Director: 5B. GRANTEE Authorizing Representative:
Name: Leigh Rawson Name: Sean Stegall
Title: Lieutenant/Patrol Division Title: City Manager
Address: 151 Douglas Avenue Elgin, IL 60120 Address: 151 Douglas Avenue Elgin, IL 60120
Phone: 847-289-2503 Phone: 847-931-5614
E-mail: rawson_I @cityofelgin.org E-ma stegall_s @cityofelgin.org //07
A if a.Signature Date / ignatu�ff Date
Ellen Schanzle-Haskins,Chief Counsel Date
(Approved as to form)
By:
Michael R.Stout,Director Date Matthew R.Hughes,Director Date
Division of Traffic Safety Finance&Administration
By:
Gary Hannig,Secretary of Transportation Date
By:
Print Name
Print Title
Printed 10/12/2011 Page 1 of 20 TS 08(Rev.06/16/11)
•
Illinois Department Highway Safety Project Agreement,
of Transportation Conditions and Certifications
1A. GRANTEE: City of Elgin %City Clerk 2A. Project Title: LAP
(Elgin Police Department)
1B. Address: 150 Dexter Court 2B. Project Number: 2C. PSP Task Number(s):
Elgin, IL 60120-5555 AL2-1720-079 13-08
2D. CFDA Number: 2E. Project Amount:
20.601 $137,139.55
1C. TIN/FEIN: 30-6005862 3. Grant Period: 10/1/2011 through 9/30/2012
1D. Vendor#: D12849
1E. Fund Type: 410 4. DUNS: 010-224-772
1F. ® Federal ❑ State
Required Signatures
By signing below, the GOVERNMENTAL BODY and the DEPARTMENT agree to comply with and abide by all provisions
set forth and any Appendices thereto.
5A. GRANTEE Project Director: 5B. GRANTEE Authorizing Representative:
Name: Leigh Rawson Name: Sean Stegall
Title: Lieutenant/Patrol Division Title: City Manager
Address: 151 Douglas Avenue Elgin, IL 60120 Address: 151 Douglas Avenue Elgin, IL 60120
Phone: 847-289-2503 Phone: 847-931-5614
E-mail: rawson_l felgi•r• Email: .'tgall_s� ;,� Igin.o G
//Pi!d%i-■
cr
10-26-11
di*rTre D- - ' / Sig 'ure Date
Ellen Schanzle-Haskins,Chief Counsel Date
(Approved as to form)
By:
Michael R.Stout,Director Date Matthew R.Hughes,Director Date
Division of Traffic Safety Finance&Administration
By:
Gary Hannig,Secretary of Transportation Date
By:
Print Name
Print Title
Printed 10/12/2011 Page 1 of 20 TS 08(Rev.06/16/11)
6. Proposed Project Budget Summary FFY 2012 Total Funds
Personal Services $120,000.00
Fringe Benefits $2,418.00
Social Security $0.00
Travel $0.00
Contractual Services $0.00
Printing $1,500.00
Commodities $0.00
Equipment $5,875.00
Operation of Auto/Equipment $7,346.55
Indirect Costs $0.00
Total $137,139.55
7. Itemization:
Personal Services(if applicable)
Three Patrol Officers($60.00)x 520 x 3=$93,600.00
5 Hrs each Friday and Saturday details(1560 hrs)
Four Roadside Safety Checks
36 officers @ 5 hrs X$60.00 = $10,800.00
Project Coordinator$60.00 x 260= $15,600.00
TOTAL $120,000.00
Fringe Benefits(Employer's Share) (if applicable)
15,600 x 15.5%= $2,418.00
TOTAL $2,418.00
Social Security (Employer's Share) (if applicable)
N/A
TOTAL $0.00
Travel (if applicable)
N/A
TOTAL $0.00
Contractual Services(if applicable)
N/A
Printed 10/12/2011 Page 2 of 20 TS 08(Rev.06/16/11)
•
TOTAL $0.00
7. Itemization: (Cont'd.)
Printing (if applicable)
Posters/Signs/ Banners
TOTAL $1,500.00
Commodities(if applicable)
N/A
TOTAL $0.00
Equipment(if applicable)
(1) Intoximeter EC/IR= $5,875.00
TOTAL $5,875.00
Operation of Automotive Equipment(if applicable)
14,405 miles @ $0.51 per mile (existing state rate)
TOTAL $7,346.55
Indirect Costs(if applicable)
$ x
TOTAL $0.00
FFY 2012 GRAND TOTAL $137,139.55
Printed 10/12/2011 Page 3 of 20 TS 08(Rev.06/16/11)
8. Project Description:
A. Problem Statement:
Nationally in 2009 33,808 people were killed on the roadways of the United States.Thirty two percent(32%) (10,839) of
these died in crashes involving alcohol. In Illinois in 2009 there were 911 people killed, in crashes,with 319 being alcohol
related with 35 being under the age of 21. In Kane Co in 2009 30 people were killed in crashes with 16(50%) being
alcohol related crashes. Kane Co ranks 3 in the State for Alcohol related crash fatalities.
In the City of Elgin,twenty (21) of the fifty-three(57)fatalities in the last ten years were alcohol related or 37%.
In 2008 there were 5 Fatalities and 3 were Alcohol Related, In 2009 olny 1 Fatality occurred and it was Alcohol related.
In 2010 there were 3 Fatalities and None were Alcohol Related. The last year that there were no alcohol related
fatalities in Elgin was 2001. This crisis situation has forced the City of Elgin to search for solutions to reduce traffic related
fatalities, through enforcement of alcohol, speed, and seatbelt restraint laws, along with increased efforts to educate
students and citizens of the City of Elgin. Together,with some financial aid from the Illinois Department of Transportation,
the City of Elgin can reduce traffic related fatalities and address alcohol and drug abuse issues to make the City's
roadways safer.
B. Background:
Printed 10/12/2011 Page 4 of 20 TS 08(Rev.06/16/11)
1. General Characteristics
The City of Elgin is the eighth largest city in Illinois located partly in Cook County,the largest county in the State, and in
Kane County, the fifth largest county in the State. Elgin is located in the Fox Valley, 35 miles west of Chicago. The city
has 5 State Routes(Rt.31, Rt.25, Rt.20, Rt. 19 and Rt.47), along with an interstate highway (1-90). The city also has a
bike trail running north to south through the entire length of the city. The City of Elgin also is home to Illinois largest
casino, the Grand Victoria Riverboat casino which is a source of additional traffic entering and exiting the city as most of
its patrons travel from outside Elgin, the 2008 admission was over 2.1 million. A large-scale annual event which also adds
to increased vehicle traffic is the Fox Valley Fox Trot, and the Independence Day Parade, along with numerous other
Parades and festivals that are put on in Elgin's Festival Park.
2. History of Problem Solving
The City of Elgin is a member of the Kane County Task Force on Drinking and Driving established in1982. The Task
Force adopted a mission statement taking a total systems approach to the problem to develop any and all possible
solutions that will lead to a reduction of death and injury caused by an intoxicated driver. The City of Elgin fully believes
and truly backs this mission statement. The City of Elgin believes this mission can be accomplished through education,
enforcement, and prevention.
The City of Elgin was part of a grant given to Kane County, as a Safe Communities, in 2000. In this grant, the city
participated in saturation patrols with a high rate of success.
The city accounted for 396 hours worked on the grant. The Elgin Police Department issued 995 citations, including 169
Driving Under the Influence citations and 110 Driving Under the Influence arrests. That is 45% of the total Driving Under
the Influence arrests made for the grant and 40% of the citations issued. Speeding citations were 17% and seat belt/child
restraint totaled 14% of the citations issued.
The City of Elgin was given a grant from the Illinois Department of Transportation in 2002 through 2010, and has
participated in the grant requirements to the fullest. In Grant year 09/10, the Elgin Police Department exceeded its
requirements in D.U.I. arrests for the grant, by arresting 259 offenders, which was 50%over the required number.
However the Elgin Police Department feels continuing the fight against Driving Under the Influence would suffer greatly if
funds would not be renewed through another grant. The Elgin Police Department received and is currently active in a LAP
Grant for the year 10/11.
The city has previously participated in Child Passenger Safety Month ( February), Alcohol Awareness Month (April ),
Buckle Up America Week (May), 3-D Month ( December) Click It or Ticket, and Operation Safe Passage. The Traffic
Unit also holds a Seat Belt class twice a month for violators of restraint laws, and participates with U-46 School District
Drivers Education classes twice a year
C. Program Goals and Objectives:
Printed 10/12/2011 Page 5 of 20 TS 08(Rev.06/16/11)
1. Law Enforcement Objectives:
+ Conduct four(4) roadside safety checks and one thousand five hundred and sixty (1560) hours of saturation patrols on a
hire-back basis.
+ Conduct traffic safety training, which will include occupant protection, and Driving Under the Influence, field sobriety
procedures and law to all Elgin police officers.
+ Participate The Kane County States Attorney's Office's No Refusal Weekend
+ Use the Police Dept new Command Post Trailer to make roadside checks more efficient by processing arrestees(No
Valid Drivers License) on site instead of tranporting the arrestees to the station for proccessing.
2. Education Objectives:
+ Plan at least two (2) Driving Under the Influence presentations(on a small or large scale) at local high schools, utilizing
the fatal vision goggles in an effort to educate high school students on drunk driving.
3. Special Events Objective:
+ Participate in two (2) county-wide events displaying traffic safety booths
4. Public Awareness Objectives:
+ Focus public attention on the problem of traffic safety by organizing promotional or informational activities for the
following special observances:
*CLICK IT OR TICKET
*Child Passenger Safety Month (February)
*Alcohol Awareness Month (April)
*Buckle Up America Week(May)
*Operation Safe Passage
*National Drunk and Drugged Driving Prevention Month
+ Participate in our Departments Citizen Academy with instruction in both Driving Under the Influence laws and seatbeit
usage
+Generate a monthly press release to local media.
+ Utilize area churches, sport leagues, and other social avenues to reach the Cities population.
+ Prepare at least one (1) public safety announcement(PSA) using a local celebrity or politician.
+ Utilize the Alliance Against Intoxicated Motorists Drunk Buster awards Program to encourage motorists to report
impaired motorists to the police. The AAIM Drunk Buster Program pays$100 to a citizens who report of an impaired
motorist leads to a DUI arrest.
Printed 10/12/2011 Page 6 of 20 TS 08(Rev.06/16/11)
D. Method of Procedures:
The following action plans are proposed:
1. Law Enforcement Action Plan
+ Review submitted crash data to determine which Elgin roadways would benefit most from saturation patrol and
enforcement.
+ Determine who will be responsible for completing IDOT required forms and mailing them to the Project Coordinator in
a timely fashion.
+ Eliminate officers from the program if enforcement efforts do not meet IDOT expectations.
+ Supply officers with expected performance objectives and guidelines.
+ Participate in ACampaign Safe &Sober.
In order to accomplish the enforcement objectives, this agency will have the following IDOT requirements:
+ Conduct four(4) roadside safety checks and one thousand five hundred and sixty, (1560) hours of saturation patrol in
different areas of the City based on crash data frequency. The RSC's and saturation patrols will be conducted based on
the results of the crash analysis.
+ Objective of at least one traffic contact (citation or written warning)for every 45-60 minutes of actual saturation patrol.
+ Objective of one (1) Driving Under the Influence arrest every ten (10) hours of saturation patrols.
+Objective of one (1) alcohol-related arrest every six (6) hours of saturation patrols.
+ Participate in the national observances of Child Passenger Safety, Buckle Up America, National Drunk and Drugged
Driving Prevention,Alcohol Awareness and National Collegiate Alcohol Awareness Months, along with Safe& Sober
activities.
+ Strict enforcement of seatbelt and child restraint laws during saturations
+ Maintain a D.U.I. processing rate of no more than two (2) hours
+A continued increase in the D.U.I. arrest rate by 10%increase(207/228)
+To try and reduce DUI related fatalities from 3 to 0, a 100%reduction.
2. Education Action Plan:
+ Contact local high schools and colleges to schedule two(2)events mock Driving Under the Influence arrest scenarios
with fatal vision goggles and participate in driver's education classes.
3. Special Events Action Plan:
+ Participate in our Law Enforcement open house, along with participating in our Community Relations Take Back the
Night; both will have Traffic Safety booths.
4. Public Awareness Action Plan
+Will participate in Child Passenger Safety Month (February) and Buckle Up America (May),the Elgin Police will:
+ Conduct at least one media event, press conference or multiple-media activity for each campaign and involve key
community leaders;
+ Plan week-long activities for both campaigns that increase public awareness of these issues.
+ Participate in our Departments Citizen Academy with instruction in both Driving Under the Influence laws and seatbelt
usage
5. Current Equipment used in D.U.I. detection
+ Currently the Elgin Police Department utilizes Fifty(50) P.B.T. testers. 40 P.B.T. are assigned to the patrol division
and the remainder are assigned to School Resource Officers and the Court Room. All sixty-eight marked and semi
marked squads are equipped with digitalCameras, and both front and rear antenna Decatur radars
and seven (7) Lidars(Lasers)
E. Assessment and Evaluation:
Progress Reports will be submitted monthly by the Project Coordinator. These reports are due by the tenth of the month
following the end of the reporting period.This report will include, but is not limited to, the following information:+ Progress
of the project in terms of meeting established objectives.+ Problem areas along with an explanation of corrective action.+
Dates and minutes of coordinator meetings indicating who was present, input given and feedback received.+ Copies of
press releases and published articles.+ Enforcement and crash data will be submitted on the appropriate IDOT forms.The
final report and final claim for reimbursement will be submitted by November 1, 2010. The report will include a narrative
analyzing the projects accomplishments, whether or not the objectives were met, problems or successes encountered,
and the role of the coordinators after the completion of this project. The final claim will include all final expenses not
previously reimbursed for the coordinators. The project will be evaluated on the basis of monthly reports. Overall
assessment of the project will be based upon successful completion of the scheduled objectives.
Printed 10/12/2011 Page 7 of 20 TS 08(Rev.06/16/11)
9. Highway Safety Project Agreement Conditions and Certifications
The following certifications, assurances, general conditions of approval and procedural guidelines constitute a part of the
Highway Safety Project Agreement. Signatories of the Highway Safety Project Agreement Conditions and Certifications
agree that these conditions and procedures will be adhered to unless amended in writing. Any State or Federal statute,
administrative rule, regulation or other publication referred to in this agreement may not contain the complete language.
The official published text,which is incorporated herein by reference, shall be the controlling authority for this agreement.
State of Illinois Certifications, Assurances and Conditions of Approval
A. Laws of Illinois. The Highway Safety Project Agreement ("AGREEMENT")between the Applicant Agency
("GRANTEE")and the Illinois Department of Transportation ("DEPARTMENT") shall be governed in all respects
by the laws of the State of Illinois.
B. Agreement Alterations or Modifications. All alterations or modifications to the AGREEMENT provisions,
conditions or certifications must be requested in writing and must be approved by the DEPARTMENT in writing,
before work is started, to become effective and part of the AGREEMENT. No oral understanding or agreement
shall be binding upon either party.
C. Procurement Procedures. All procurement transactions for Contractual Services, Commodities and Equipment
shall be conducted in a manner that provides maximum open and free competition. The GRANTEE shall also
meet the following minimum procedural requirements.
1. Subcontracting. Subcontracting, assignment or transfer of all or part of the interests of the GRANTEE
concerning any of the obligations covered by this Agreement is prohibited without prior written consent of the
DEPARTMENT.
2. Procurement of Goods or Services—Federal Funds. For purchases of products or services with any Federal
funds that cost more than $3,000.00 but less than the simplified acquisition threshold fixed at
41 U.S.C. 403(11), (currently set at$100,000.00) the GRANTEE shall obtain price or rate quotations from an
adequate number(at least three)of qualified sources. Procurement of products or services with any Federal
funds that are in excess of the simplified acquisition threshold fixed at 41 U.S.C.403(11), (currently set at
$100,000.00)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
DEPARTMENT will be used, provided that the procurement procedures conform to the provisions in Condition
H.10 below. 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 DEPARTMENT authorizes
such a procedure; or, (3)after solicitation of a number of sources, competition is determined inadequate.
3. Procurement of Goods or Services—State Funds. For purchases of products or services with any State of
Illinois funds that cost more than $10,000.00, ($5,000.00 for professional and artistic services) but less than
the small purchase amount set by the Illinois Procurement Code Rules, (currently set at$31,300.00 and
$20,000.00 for professional and artistic services) the GRANTEE shall obtain price or rate quotations from an
adequate number(at least three)of qualified sources. Procurement of products or services with any State of
Illinois funds in excess of the small purchase amount(currently set at$31,300.00 for goods and services and
$20,000.00 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 DEPARTMENT 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 DEPARTMENT authorizes such a procedure; or, (3)after solicitation of a number of
sources, competition is determined inadequate.
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.
4. Employment of DEPARTMENT Personnel. GRANTEE will not employ any person or persons currently
employed by the DEPARTMENT for any work required by the terms of this Agreement.
Printed 10/12/2011 Page 8 of 21
TS 08(Rev.06/16/11)
a
5. The GRANTEE shall maintain records sufficient to detail the significant history of procurement. These
records shall include, but are not necessarily limited to: information pertinent to rationale for the method of
procurement, selection of contract type, contractor selection or rejection and basis for the cost or price.
6. No DEPARTMENT employee shall participate in the procurement of products or services if a conflict of
interest, real or apparent, would be involved. No employee shall solicit or accept anything of monetary value
from bidders or suppliers.
D. Cost Principles. The cost principles of this Agreement are governed by the cost principles found in Title 49,
Code of Federal Regulations, Part 18.22, and OMB Circular A-87, State, local or Indian tribal government or
OMB A-122, Private nonprofit organization other than (1) institution of higher education, (2) hospital, or(3)
organization named in OMB Circular A-122 as not subject to that circular or OMB Circular A-21, Educational
institutions as appropriate; and all costs included in this Agreement are allowable under Title 49, Code of Federal
Regulations, Part 18.22 and OMB Circular A-87, State, local or Indian tribal government or OMB A-122, Private
nonprofit organization other than (1) institution of higher education, (2) hospital, or(3)organization named in
OMB Circular A-122 as not subject to that circular or OMB Circular A-21, Educational institutions as appropriate.
E. Requirements for Consultant Contracts and Subcontracts. After a consultant and/or subcontractor is
selected in accordance with all requirements of this AGREEMENT including the Sections titled Procurement
Procedures and Cost Principles, as detailed herein,the consultant contract or subcontract shall be submitted to
the DEPARTMENT for approval prior to execution. The GRANTEE and consultant and/or subcontractor are
subject to all conditions and certifications of this AGREEMENT and 49 CFR Part 18, Uniform Administrative
Requirements for Grants and Cooperative Agreements to State and Local Government or 49 CFR Part 19
Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals
and Other Non-Profit Organizations, whichever is applicable.
F. Travel Out of State. All out of state travel requires specific approval from the DEPARTMENT on a case by case
basis. To allow adequate time for approval, out of state travel must be submitted for approval at least 30 days
prior to the planned trip.
G. Method of Payment. Funds shall not be advanced to the GRANTEE but rather reimbursed for actual
expenditures upon submission of proper supportive documentation. Copies of the original source records which
evidence all expenditures shall be submitted with claims for reimbursement of costs. Only those costs incurred
within the approved project period and budget are eligible for reimbursement.
1. Because the DEPARTMENT is responsible for obtaining federal reimbursement for project expenditures, it is
necessary that the DEPARTMENT monitor all procedures and documents which will be used to claim and
support project related expenditures. Original documentation to verify the amounts, uses and recipients of all
disbursements of funds shall be retained in accordance with 49 CFR Part 18, Subpart A, Section 18.42 and
shall be available for audit at any time during the project and retention period.
2. Proper supportive documentation required for costs incurred is described in the guidelines entitled,
"Procedures for Submittal of Claims for Reimbursement", incorporated herein by reference and which shall be
furnished by the DEPARTMENT to the GRANTEE. A copy of this document is also available on the
Department's website.
3. Claims for reimbursement shall be in accordance with the rates established in the Project Budget established
in this AGREEMENT and shall be submitted on a monthly or quarterly basis. All claims shall be signed by
both the Project Director and the GRANTEE'S Authorizing Representative. The final claim for reimbursement
must be received by the DEPARTMENT by November 1st or within 30 days following the expiration of the
grant, whichever is earlier, to receive payment. Failure by GRANTEE to present such invoices prior to said
date may require GRANTEE to seek payment of such invoices through the Illinois Court of Claims and the
Illinois General Assembly. No payments will be made for services performed prior to the effective date of this
Agreement.
4. Claims for reimbursement by the GRANTEE to the DEPARTMENT pursuant to this AGREEMENT shall be
sent to your assigned Department contact.
Printed 10/12/2011 Page 9 of 21
TS 08(Rev.06/16/11)
H. Allocation of Grant Funds.
1. The GRANTEE may spend only those funds which are eligible for reimbursement by the DEPARTMENT.
This grant authorizes the GRANTEE to request reimbursement for no more than the limits established by the
Proposed Project Budget.
2. Prior approval from the DEPARTMENT is required for all fund transfers between cost categories of the
Proposed Project Budget. The GRANTEE must submit a written request to the DEPARTMENT detailing the
amount of transfer, the cost categories from and to which the transfer is to be made, and the rationale for the
transfer.
3. This Grant is contingent upon and subject to the availability of funds. The DEPARTMENT, at its sole option,
may terminate or suspend this contract/grant, in whole or in part, without penalty or further payment being
required if(1)the Governor decreases the Department's funding by reserving some or all of the Department's
appropriation(s) pursuant to power delegated to the Governor by the Illinois General Assembly; or(2)the
Department determines, in its sole discretion or as directed by the Office of the Governor, that a reduction is
necessary or advisable based upon actual or projected budgetary considerations. Grantee will be notified in
writing of the failure or appropriation or of a reduction or decrease.
I. Termination or Cancellation of the Highway Safety Project Agreement. No termination or cancellation of the
AGREEMENT shall be effective unless the following conditions are met.
1. The obligation of the State of Illinois and the DEPARTMENT shall cease immediately without penalty or
further payment being required if, in any fiscal year, the Illinois General Assembly or Federal funding source
fails to appropriate or otherwise make available funds for the agreement.
2. This AGREEMENT may be terminated or cancelled by either party upon thirty(30) days written notice.
3. Failure to carry out the conditions set forth herein shall constitute a breach of the AGREEMENT and may
result in termination of the AGREEMENT or such remedy as appropriate. Upon termination, the GRANTEE
will be paid for work satisfactorily completed prior to the date of termination.
J. Project Monitoring.
1. GRANTEE shall consult with and keep the DEPARTMENT fully informed as to the progress of all matters
covered by this Grant.
2. The GRANTEE agrees to submit a report monthly or as otherwise stipulated in the AGREEMENT of all safety
activities related to the grant and/or contract using the template provided by the DEPARTMENT. Additionally
the GRANTEE must inform the DEPARTMENT as soon as possible of any issues/events that may have
significant impact on grant activity or accomplishment. Dependent on the Department's needs to accurately
and timely report project milestones, a supplemental approval of less frequent reporting may be considered
by the Department.
3. The GRANTEE agrees to attend progress meetings upon request of the DEPARTMENT to provide
information and discuss the accomplishments and expectations of the Highway Safety Project.
4. The DEPARTMENT may conduct periodic on-site reviews of all ongoing highway safety projects to monitor
adherence to the AGREEMENT and to review progress, procedures and claims for reimbursement. The
Department's representative shall have access to GRANTEE'S work and applicable records whenever it is in
preparation or progress, and GRANTEE shall provide for such access and inspection.
5. The final report shall be submitted to the DEPARTMENT within 30 days after the expiration date of the project
or as stipulated in this AGREEMENT.
6. GRANTEE will obtain prior approval from the DEPARTMENT with respect to all enforcement locations.
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TS 08(Rev.06/16/11)
K. Prior Approval of Media and Ownership of Data and Creative Material.
1. All articles, publications, news releases, exhibits, video, audio materials, reports and all other work products
produced by the GRANTEE under this grant and/or contract shall be submitted to the DEPARTMENT for
approval prior to development and shall become and remain the property of the DEPARTMENT.
2. All articles, publications, news releases, exhibits, video or audio materials prepared by the GRANTEE shall
use the DEPARTMENT'S logo and shall identify the DEPARTMENT as the funding source by including the
statement: "This project is funded by the Illinois Department of Transportation, Division of Traffic Safety".
3. The DEPARTMENT reserves a royalty-free, nonexclusive and irrevocable license to reproduce, publish or
otherwise use, and to authorize others to use, for State or Federal government purposes: (a)the copyright in
any work developed under a grant, subgrant, or contract under a grant or subgrant; and (b) any rights of
copyright to which a GRANTEE, subgrantee, or a contractor purchases ownership with grant support.
4. TDD. All printed, visual and auditory materials,which contain a phone number, must also contain a TDD
number. The Ameritech relay number(800) 526-0844(TDD only) may be used to fulfill this requirement.
5. Closed Captioning. All public service announcements funded, in whole or in part, through this Federal
highway safety program must be closed-captioned for the hearing impaired.
6. GRANTEE will invite members of the DEPARTMENT to attend media events.
7. GRANTEE will coordinate with the DEPARTMENT to arrange photographic opportunities for major events.
L. Equal Employment Opportunities—Affirmative Action Sexual Harassment—Illinois Human Rights Act.
GRANTEE complies with the Illinois Department of Human Rights Act and rules applicable to public GRANTS,
including equal employment opportunity, refraining from unlawful discrimination, and having written sexual
harassment policies(775 ILCS 5/2-105).
M. Safety Belt Use Requirements.
1. In accordance with the Illinois Mandatory Seat Belt Law(625 ILCS 5/12-603.1)the GRANTEE shall establish
a safety belt use policy requiring employees to use the appropriate occupant restraint protection devices as
provided in the vehicle being driven while on official business.
2. A copy of the safety belt policy shall be provided to the Department and also retained locally in the project file
and available for review.
N. Indemnification. Unless prohibited by State law, the GRANTEE agrees to hold harmless and indemnify the
DEPARTMENT, and its officials, employees, and agents, from any and all losses, expenses, damages(including
loss of use), suits, demands and claims arising out of any work or services performed by the GRANTEE and/or
the GRANTEE'S employees, officials, agents, contractors and subcontractors in connection with this Agreement
and shall defend any suit or action,whether at law or in equity, based on any alleged injury or damage of any
type arising from the actions or inactions of the GRANTEE and/or the GRANTEE'S employees, officials, agents,
contractors and subcontractors, and shall pay all damages,judgments, costs, expenses, and fees, including
attorney's fees, incurred by the DEPARTMENT and its officials, employees and agents in connection therewith.
O. Illinois Grant Funds Recovery Act. Grant Funds are available for expenditure or obligation by the GRANTEE
for the period of time set out in block 3, page 1, of this agreement. All funds remaining at the end of the grant
agreement or at the expiration of the period of time grant funds are available for expenditures or obligation by the
GRANTEE must be returned to the State within 45 days. Any grant funds which have been misspent or are
being improperly held are subject to recovery in accordance with the"Illinois Grant Funds Recovery Act".
(30 ILCS 705).
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The Grantee shall maintain,for a minimum of three years after the completion of the period of time set forth in
the Agreement, all books, records and supporting documents related to the program, project or use for which
grant funds were provided which shall be made available for review and audit by the Department, the Auditor
General, or the Attorney General. The Grantee agrees to cooperate fully with any audit conducted by the
Department, the Auditor General or the Attorney General and to provide full access to all relevant material.
Failure to maintain books, records and supporting documents required by this Section shall establish a
presumption in favor of the State of Illinois for the recovery of any funds paid by the State under the grant for
which the books, records and supporting documents are not available.
For any grant in excess of$25,000.00, GRANTEE shall file quarterly reports, specifying at a minimum, the
progress of the program, project, or use and the expenditure of the grant funds related thereto. Each report shall
be due and must be received by the DEPARTMENT no later than 30 days after the end of the quarter for which
the report is made and shall be filed via the DEPARTMENT's internet site at dot.trafficsafetvreports(a�illinois.Qov.
Failure to file or late filing of said reports may result in the delay, suspension or withholding of grant funds.
GRANTEE, by signature of its authorized representative on page one of this Grant Agreement, certifies under
oath that all information in this Grant Agreement is true and correct to the best of the GRANTEE's knowledge,
information and belief; that the funds shall be used only for the purposes described in this Grant Agreement; and
that the award of grant funds is conditioned upon such certification.
Any grant funds and any grant program administered by a grantor agency subject to this Act are indefinitely
suspended on July 1, 2012, and on July 1st of every 5th year thereafter, unless the General Assembly, by law,
authorizes that grantor agency to make grants or lifts the suspension of the authorization of that grantor agency
to make grants. In the case of a suspension of the authorization of a grantor agency to make grants, the
authority of that grantor agency to make grants is suspended until the suspension is explicitly lifted by law by the
General Assembly, even if an appropriation has been made for the explicit purpose of such grants. This
suspension of grant making authority supersedes any other law or rule to the contrary.
P. Educational Loan Default Act. The GRANTEE certifies that he/she is not in default on an education loan as
provided in the Educational Loan Default Act. (5 ILCS 385/0.01 et seq.)
Q. Property and Equipment.
1. The GRANTEE shall maintain and inventory all property and equipment purchased under this AGREEMENT.
The requirements relative to equipment inventory, use and disposition are detailed in the publication"Property
Management Standards"furnished upon request by the DEPARTMENT.
2. The property and equipment purchased under this grant must be utilized by the GRANTEE for the sole
purpose of furthering the safety project as defined in the project description for its entire useful life.
3. The DEPARTMENT and National Highway Traffic Safety Administration (NHTSA) retain title interest in all
property and equipment purchased under this grant. In the event that the GRANTEE fails or refuses to
comply with the provisions or terminates this AGREEMENT, the DEPARTMENT, at its discretion, may take
either of the following actions: (a) Require the GRANTEE to purchase the property or equipment at fair
market value or other mutually agreed upon amount; or(b) require the GRANTEE to transfer the property or
equipment and title, if any, to the DEPARTMENT, or to another party, as directed by the DEPARTMENT.
4. Nonexpendable property, defined as property having an acquisition cost of$5,000.00 or more with a life
expectancy of more than one year is subject to periodic inspection by the DEPARTMENT. Non-expendable
property purchased under this AGREEMENT shall not be sold, traded, or disposed of in any manner without
the express written permission of the DEPARTMENT.
R. Official Misconduct and Interference with Public Contracting. The GRANTEE certifies that he/she has not
been convicted of Official Misconduct under Section 720 ILCS 5/33-1 for bribery or attempting to bribe an officer
or employee of the State of Illinois, nor has the GRANTEE made an admission of guilt of such conduct which is a
matter of record, nor has an official, agent or employee of the GRANTEE been so convicted nor made an
admission of bribery. Further, the GRANTEE certifies that he/she is not barred from contracting as a penalty for
Interference with Public Contracting under Section 720 ILCS 5/33-e-1, et seq.
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. ■
S. Equal Pay Act of 2003. No employer may discriminate between employees on the basis of sex by paying
wages to an employee at a rate less than the rate at which the employer pays wages to another employee of the
opposite sex for the same or substantially similar work on jobs the performance of which requires equal skill,
effort, and responsibility, and which are performed under similar working conditions subject to exceptions under
Section 820 ILCS 112 as implemented by 56 III. Admin. Code Part 320.
T. Debt Certification. GRANTEE and its affiliates are not delinquent in the payment of any debt to the State (or if
delinquent has entered into a deferred payment plan to pay the debt), and GRANTEE and its affiliates
acknowledge the DEPARTMENT may declare the contract void if this certification is false (30 ILCS 500/50-11) or
if GRANTEE or an affiliate later becomes delinquent and has not entered into a deferred payment plan to pay off
the debt. (30 ILCS 500/50-60.)
U. Traffic Stop Statistical Study. If the GRANTEE is a law enforcement agency required to participate in the
Traffic Stop Statistical Study, the GRANTEE certifies their compliance with all requirements in accordance with
625 ILCS 5/11-212 and the procedures adopted by the DEPARTMENT.
V. Confidentiality Clause. Any documents, data, records, or other information given to or prepared by GRANTEE
pursuant to this Agreement shall not be made available to any individual or organization without prior written
approval by the DEPARTMENT. All information secured by GRANTEE from the DEPARTMENT in connection
with the performance of services pursuant to this Agreement shall be kept confidential unless disclosure of such
information is approved in writing by the DEPARTMENT.
W. Ownership of Documents. All documents, data and records produced by GRANTEE in carrying out
GRANTEE'S obligations and services hereunder, without limitation and whether preliminary or final, shall
become and remain the property of the DEPARTMENT and GRANTEE. The DEPARTMENT shall have the right
to use all such documents, data and records without restriction or limitation and without additional compensation
to GRANTEE. All documents, data and records utilized in performing research shall be available for examination
by the DEPARTMENT upon request. Upon completion of the services hereunder or at the termination of this
Agreement, all such documents, data and records shall, at the option of the DEPARTMENT, be appropriately
arranged, indexed and delivered to the DEPARTMENT by GRANTEE.
X. Audits. The records and supportive documentation for all completed projects are subject to an on-site audit by
the Illinois Department of Transportation, Bureau of Budget and Fiscal Management's Audits Section. The
DEPARTMENT reserves the right to inspect and review, during normal working hours, the work papers of the
independent auditor in support of their audit report.
Y. Records. The GRANTEE shall maintain, for a minimum of three years after the completion of the grant,
adequate books, records and supporting documents related to the grant which shall be made available for review
and audit by the Department, Auditor General or Attorney General; and the GRANTEE agrees to cooperate fully
with any audit conducted by the Department, Auditor General or Attorney General and to provide full access to
all relevant materials. Failure to maintain the books, records and supporting documents required by this Section
shall establish a presumption in favor of the State for the recovery of any funds paid by the State under the grant
for which adequate books, records and supporting documentation are not available to support their purported
disbursement.
Z. Work Product. The DEPARTMENT's or a designated representative shall have access to the GRANTEE'S
work and applicable records whenever it is in preparation or progress, and the GRANTEE shall provide for such
access and inspection. Interim reports shall be submitted at key milestones of the project. A final report shall be
submitted before or at the time of the final invoice.
AA.International Boycott. The GOVERNMENTAL BODY certifies that neither GOVERNMENTAL BODY nor any
substantially owned affiliate is participating or shall participate in an international boycott in violation of the U.S.
Export Administration Act of 1979 or the applicable regulations of the U.S. Department of Commerce. This
applies to contracts that exceed $10,000 (30 ILCS 582).
BB.Forced Labor. The GOVERNMENTAL BODY certifies 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
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DEPARTMENT under this Agreement have been or will be produced in whole or in part by forced labor, or
indentured labor under penal sanction (30 ILCS 583).
10. Federal Certifications, Assurances and Conditions of Approval
The GRANTEE assures that in carrying out any project supported by federal funds it will comply with all applicable federal
statutes, regulations, executive orders, National Highway Traffic Safety Administration (NHTSA)guidelines, Federal
Transit Administration (FTA)Circulars, Office of Management and Budget(OMB)Circulars and other federal requirements
as referenced in the NHTSA Highway Safety Grant Management Manual available at:
http://www.nhtsa.dot.gov/nhtsa/whatsup/tea21/GrantMan/HTML/00_Manl_Contents1_01.html
This Grant is funded by federal funds. The Catalog of Federal Domestic Assistance number for the funds supporting this
grant is listed on the signature page of this agreement. Further information can be found at:
http:/112.46.245.173/cfda/cfda.html
GRANTEE is required to register with the Central Contractor Registration (CCR),which is a web-enabled government-
wide application that collects, validates, stores or disseminates business information about the federal government's
trading partners in support of the contract award, grants and the electronic payment processes. If you do not have a CCR
number, you must register at https://www.bpn.gov/ccr.
As a sub-recipient of a federal grant equal to or greater than $25,000 (or which equals or exceeds that amount by addition
of subsequent funds), this agreement is subject to the following award terms:
http://edocket.access.apo.gov/2010/pdf/2010-22705.pdf and htto://edocket.access.gao.dov/2010/pdf/2010-22706.pdf.
The GRANTEE recognizes that federal laws, regulations, policies, and administrative practices may be modified from time
to time and those modifications may affect project implementation. The GRANTEE agrees that the most recent federal
requirements will apply to the project.
A. BUY AMERICA Provisions. The GRANTEE will comply with the provisions of the Buy America Provisions
(23 USC 313)which contains the following requirements. Only steel, iron and manufactured products produced
in the United States 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 are not
reasonably available and of a satisfactory quality; or that inclusion of domestic 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.
B. Disadvantaged Business Enterprises Program Participation Assurance. In accordance with 49 CFR 26.13,
as amended, the GRANTEE assures that it shall not discriminate on the basis of race, color, national origin, or
sex in the implementation of the project. The GRANTEE further assures it shall take all necessary and
reasonable steps as set forth in 49 CFR Part 26 as amended, to ensure nondiscrimination in the award and
administration of all third party contracts and subagreements. Implementation of the Disadvantaged Business
Enterprise (DBE) program is a legal obligation of the DEPARTMENT, and failure by the GRANTEE to carry out
the applicable requirements of 49 CFR Part 26 as amended and any requirements of the DEPARTMENT'S DBE
program shall be treated as a material breach of this AGREEMENT which may result in the termination of this
AGREEMENT or such other remedy as the DEPARTMENT deems appropriate.
C. Document Retention and Access. The GRANTEE certifies that it will comply with the retention and access
requirements for records established by 49 CFR Part 18, Subpart A, Section 18.42. The required records and
documentation relating to the grant and/or contract shall be retained for a minimum of three years after the
starting date of the retention period as defined in Section 18.42. The DEPARTMENT or their authorized
representative shall have the right of access to any books, documents, papers, or other records of grantees,
subgrantees, contractors and subcontractors which are pertinent to the grant and/or contract, in order to make
audits, examinations, excerpts and transcripts. The right of access is not limited by the required retention period
and shall last as long as the records are retained.
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D. Control of Property. GRANTEE certifies that the control, utilization and disposition of property or equipment
acquired using federal funds is maintained according to the provisions of OMB Circular A-102 Grants and
Administrative Requirements for State and Local Governments or OMB Circular A-110 Uniform Administrative
Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals, and Other Non-Profit
Organizations, whichever is applicable.
E. Certification Regarding Lobbying—Certification for Contracts, Grants, Loans and Cooperative
Agreements.
1. The GRANTEE shall not use any funds appropriate under this AGREEMENT 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.
2. As required by the United States Department of Transportation (USDOT) regulations, "New Restrictions on
Lobbying", at 49 CFR 20.110, the GRANTEE'S authorized representative certifies to the best of his or her
knowledge and belief that for each agreement for federal assistance exceeding $100,000.00:
a. No federal appropriated funds have been or will be paid, by or on behalf of the GRANTEE, to any person
for influencing or attempting to influence an officer or employee of any agency, a member 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 or the extension, continuation, renewal, amendment or modification of any federal contract,
grant, loan or cooperative agreement.
b. If any funds other than federal appropriated funds have been paid or will be paid to any person for
influencing or attempting to influence an officer or employee of any 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 GRANTEE shall complete and submit Standard
Form-LLL, "Disclosure Form to Report Lobbying", in accordance with instructions.
c. The GRANTEE shall require the language of this certification be included in the award documents for all
subawards at all tiers(including subcontracts, subgrants and contracts under grant, loans and
cooperative agreements) and that all subrecipients shall certify and disclose accordingly. The GRANTEE
understands that 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 31 U.S.C. 1352. Any person who fails to file the
required certification shall be subject to a civil penalty of not less than $10,000.00 and not more than
$100,000.00 for each such failure.
F. Certification Regarding Debarment and Suspension. GRANTEE shall comply with Debarment provisions
as contained in 49 CFR Part 29, including Appendices A and B as amended. GRANTEE certifies that to the best
of its knowledge and belief, GRANTEE and GRANTEE'S principals:
1. Are not presently
debarred, suspended, proposed for debarment, declared ineligible or voluntarily excluded from covered
transactions by any federal department or agency.
2. Within a three-
year period preceding this AGREEMENT have not been convicted of or had a civil judgment rendered against
it 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
anti-trust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of
records, making false statements or receiving stolen property.
3. 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 subsection (1)above.
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4. Have not within
a three-year period preceding this AGREEMENT had one or more public transactions(federal, state or local)
terminated for cause or default.
The inability of a prospective GRANTEE to certify to the certification in this section will not necessarily result
in denial of participation in this AGREEMENT. The prospective GRANTEE shall submit an explanation of why
it cannot provide the certification in this section. This certification is a material representation of fact upon
which reliance was placed when the Department determined whether to enter into this transaction. If it is later
determined that GRANTEE knowingly rendered an erroneous certification, in addition to other remedies
available to the federal government, the Department may terminate this Agreement for cause. The
GRANTEE shall provide immediate written notice to the Department if at any time the GRANTEE learns that
its certification was erroneous when submitted or has become erroneous by reason of changed
circumstances. The terms"covered transaction", "debarred", "suspended", "ineligible", "lower tier covered
transaction", "participant", "person", "primary covered transaction", "principal", "proposal", and"voluntarily
excluded", as used in this Part shall have the meaning set out in the Definitions and Coverage sections of the
rules implementing Executive Order 12549.
The GRANTEE aggress that it shall not knowingly enter into any lower tier covered transaction with a person
who is debarred, suspended, declared ineligible or voluntarily excluded from participation in this covered
transaction, unless authorized, in writing, by the Department. The GRANTEE agrees that it will include the
clause titled"Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion-Lower Tier
Covered Transaction", provided by the Department, without modification, in all lower tier covered transactions
and in all solicitations for lower tier covered transactions. The GRANTEE may rely upon a certification of a
prospective participant in a lower tier covered transaction that it is not debarred, suspended, ineligible or
voluntarily excluded from the covered transaction, unless GRANTEE knows the certification is erroneous.
GRANTEE may decide the method and frequency by which it determines the eligibility of its principals. Each
GRANTEE may, but is not required to, check the Nonprocurement List. If a GRANTEE knowingly enters into
a lower tier covered transaction with a person who is suspended, debarred, ineligible or voluntarily excluded
from participation, in addition to other remedies available to the federal government,the DEPARTMENT may
terminate this AGREEMENT for cause or default.
Nothing contained in this section shall be construed to require establishment of a system of records in order
to render in good faith the certification required by this section. The knowledge and information of a
GRANTEE is not required to exceed that which is normally possessed by a prudent person in the ordinary
course of business dealings.
G. Drug Free Workplace Act of 1988—Certification for Drug-Free Workplace. The GRANTEE certifies that it
will comply with 49 CFR 32 Subpart B to provide a drug-free workplace by:
1. 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.
2. Establish a drug-free awareness program to inform employee about the dangers of drug abuse, the
GRANTEE'S policy of maintaining a drug-free workplace, available employee assistance programs and
penalties for violating the policy.
3. Abiding by the notification provisions regarding any criminal drug statute convictions for a violation occurring
in the workplace.
H. Single Audit Act Certification. The Illinois Department of Transportation is the agency responsible for
administering Illinois'federal highway safety funds on behalf of the Governor. Federal funds are provided for this
project by the United States Department of Transportation. This program is listed in the Catalog of Federal
Domestic Assistance (CFDA) as"State and Community Highway Safety 20.600-605". The records and
supportive documentation for all completed projects are subject to an on-site audit and the DEPARTMENT
reserves the right to inspect and review during normal working hours the work product of any independent
auditor in support of their audit.
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The GRANTEE certifies that it will comply with The Single Audit Act of 1984(31 U.S.C. 7501 et seq.), as
amended, which requires the following:
1. State or local governments that receive$500,000.00 or more a year in federal financial assistance shall have
an audit made in accordance with the Office of Management and Budget(OMB) Circular No.A-133.
2. State or local governments that receive less than $500,000.00 a year shall be exempt from compliance with
the Act and other federal audit requirements.
3. Nothing in this paragraph exempts State or local governments from maintaining records of federal financial
assistance or from providing access to such records to Federal Agencies, as provided for in federal law or in
Circular A-133 "Audits of States, Local Governments and Non-Profit Organizations".
4. Acopyofthe
audit report must be submitted to the DEPARTMENT within 30 days after completion of the audit, but no later
than one year after the end of the local government's fiscal year.
5. One copy of the
audit report shall also be sent to: Bureau of Census, Single Audit Clearing House, 1201 East 10th Street,
Jefferson, IN 47132.
I. Davis-Bacon Act Certification. To the extent applicable,the GRANTEE will comply with the Davis-Bacon Act,
as amended, 40 U.S.C. 3141 et seq., the Copeland"Anti-Kickback"Act, as amended, 18 U.S.C. 874, and the
Contract Work Hours and Safety Standards Act, as amended, 40 U.S.C. 3701 et seq., regarding labor standards
for federally assisted sub agreements.
J. Certifications and Assurances Required by the U.S.Office of Management and Budget(OMB)(SF-424B
and SF-424D).
As required by OMB, the GRANTEE certifies that it:
1. Has the legal authority and the institutional, managerial, and financial capability (including funds sufficient to
pay the non-federal share of project cost)to ensure proper planning, management, and completion of the
project;
2. Will give the U.S. Secretary of Transportation, 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 project time periods;
5. Non-Discrimination and Equal Opportunity Assurances in Federally Assisted Programs. The GRANTEE
hereby assures to observe and comply with all provisions of Federal and State Constitutions, statutes and
implementing regulations pertaining to non-discrimination and equal employment opportunity during the
period in which federal assistance is extended to the project, or the project property is used for a purpose
for which the federal assistance is extended or for another purpose involving the provision of similar
services or benefits, or as long as the GRANTEE retains ownership or possession of the project property,
whichever is longer. These assurances of nondiscrimination include but are not limited to:
Title VI of the
Civil Rights Act of 1964. (42 U.S.C. 2000d et seq. as amended). Prohibition against exclusion from
participation in, denial of benefits of, and discrimination under federally assisted programs on ground of
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race, color, or national origin. Implemented by 49 CFR Part 21, Nondiscrimination in Federally-Assisted
Programs of the Department of Transportation—Effectuation of Title VI of the Civil Rights Act of 1964.
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• Non-
Discrimination in Employment and Business Opportunities. (49 U.S.C. 5332 as amended). A person
may not be excluded from participating in, denied a benefit of, or discriminated against under, a project,
program, or activity receiving financial assistance under this chapter because of race, color, creed,
national origin, sex, or age. If a person does not comply with the nondiscrimination provision within a
reasonable time after receiving notice the DEPARTMENT can withhold further financial assistance, refer
the matter to the Attorney General and proceed under Title VI. This section is in addition to Title VI.
• Title IX of the
Educational Amendments of 1972. (20 U.S.C. 1681 et seq. as amended). No person in the United
States shall, on the basis of sex, be excluded from participation in, be denied the benefits of, or be
subjected to discrimination under any education program or activity receiving Federal financial
assistance. Implemented by 49 CFR Part 25, Nondiscrimination on the Basis of Sex in Education
Programs or Activities Receiving Federal Financial Assistance.
• Americans with
Disabilities Act of 1990 and Section 504 of the Rehabilitation Act of 1973. (29 U.S.C. 794 as amended).
No otherwise qualified individual with a disability in the United States, as defined in Section 705(20)of
this title, shall, solely by reason of his or her disability, be excluded from the participation in, be denied
the benefits of, or be subjected to discrimination under any program or activity receiving federal financial
assistance. Implemented by 49 CFR Part 27, Nondiscrimination on the Basis of Disability in Programs
or Activities Receiving Federal Financial Assistance.
• Age
Discrimination Act of 1975. (42 U.S.C. 6101-6107 as amended). No person in the United States shall,
on the basis of age, be excluded from participation in, be denied the benefits of, or be subjected to
discrimination under, any program or activity receiving federal financial assistance.
• The Drug Abuse,
Prevention, Treatment and Rehabilitation Treatment Act, (21 U.S.C. 1101 et seq., as amended).
Relating to nondiscrimination on the basis of drug abuse and treatment.
• Comprehensive
Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970. [(P.L. 91-616);42
CFR 4541 et seq. as amended)]. Relating to nondiscrimination on the basis of alcohol abuse.
• The Public
Health Service Act of 1912. (42 U.S.C. 290dd-2, as amended). Relating to nondiscrimination on the
basis of substance abuse and the confidentiality of records.
• Title VIII of the
Civil Rights Act of 1968. (42 U.S.C. 3601 et seq. as amended). Relating to nondiscrimination in the
sale, rental or financing of housing.
• Each project will
be conducted, property acquisitions will be undertaken, and project facilities will be operated in
accordance with all applicable requirements of 49 U.S.C. 5332 and 49 CFR Part 21, and understand that
this assurance extends to its entire facility and to facilities operated in connection with the project.
• It will promptly
take the necessary actions to effectuate this assurance, including notifying the public that complaints of
discrimination in the provision of transportation-related services or benefits may be filled with U.S. DOT.
Upon request by U.S. DOT, the GRANTEE assures that it will submit the required information pertaining
to its compliance with these requirements.
• It will include in
each subagreement, property transfer agreement, third party contract, third party subcontract, or
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participation agreement adequate provisions to extend the requirements of 49 U.S.C. 5332 and 49 CFR
Part 21 to other parties involved therein including any subrecipient, transferee, third party contractor,
third party subcontractor at any level, successor in interest, or any other participant in the project.
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• Should it transfer
real property, structures, or improvements financed with federal assistance to another party, any deeds
and instruments recording the transfer of that property shall contain a covenant running with the land
assuring nondiscrimination for the period during which the property is used for a purpose for which the
federal assistance is extended or for another purpose involving the provision of similar services or
benefits.
• The United
States has a right to seek judicial enforcement with regard to any matter arising under the Act,
regulations, and this assurance.
• It will make any
changes in its 49 U.S.C. 5332 and Title VI implementing procedures as U.S. DOT may request.
• Any other nondiscrimination statute(s)that may apply to the project.
6. Will comply with all federal environmental standards applicable to the project, including but not limited to:
• Institution of environmental quality control measures under the National Environmental Policy Act of 1969
and Executive Order 11514;
• Notification of violating facilities pursuant to Executive Order 11738;
• Protection of wetlands pursuant to Executive Order 11990;
• Evaluation of flood hazards in floodplains in accordance with Executive Order 11988;
• 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.;
• Conformity of federal Actions to State(Clean Air) Implementation Plans under Section 176(c)of the Clean
Air Act of 1955, as amended, 42 U.S.C. 7401 et seq.;
• Protection of underground sources of drinking water under the Safe Drinking Water Act of 1974, as
amended;
• Protection of endangered species under the Endangered Species Act of 1973, as amended;
• The Wild and Scenic Rivers Act of 1968, 16 U.S.C. 1271 et. seq., which relates to protecting components
or potential components of the national wild scenic rivers system.
7. Will comply with all other federal statutes applicable to the project, including but not limited to:
• Title II and III of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970,
which provides for fair and equitable treatment of persons displaced whose property is acquired as a
result of the federal or federally-assisted programs;
• The 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;
• The Flood Disaster Protection Act of 1973, which requires the purchase of flood insurance in certain
instances;
• Section 106 of the National Historic Preservation Act of 1966, as amended, 16 U.S.C. 470;
• Executive Order 11593, which relates to identification and protection of historic properties;
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• The Archaeological and Historic Preservation Act of 1974, 16 U.S.C. 469a-1 et seq.;
• The Laboratory Animal Welfare Act of 1966, as amended, 7 U.S.C. 2131 et. seq.,which relates to the
care, handling, and treatment of warm-blooded animals held for research, teaching, or other activities
supported by a federal award of assistance;
• The Lead-Based Paint Poisoning Prevention Act, 42 U.S.C. 4801 et seq., which relates to prohibiting the
use of lead-based paint in construction or rehabilitation of residence structures;
• The Single Audit Act Amendments of 1996 and OMB Circular No. A-133, "Audits of States, Local
Governments, and Non-Profit Organizations."
K. Energy Conservation. To the extent applicable,the GRANTEE and its third party contractors at all tiers shall
comply with mandatory standards and policies relating to energy efficiency that are contained in applicable state
energy conservation plans issued in compliance with the Energy Policy and Conservation Act,42 U.S.C. Section
6321 et seq.
L. Clean Water. For all contracts and subcontracts exceeding$100,000.00, the GRANTEE agrees to comply with
all applicable standards, orders, or regulations issued pursuant to the Water Pollution Control Act, 33 U.S.C.
Section 1251 et seq.
M. Clean Air. For all contracts and subcontracts exceeding$100,000.00, the GRANTEE agrees to comply with all
applicable standards, orders, or regulations issued pursuant to the Clean Air Act, 42 U.S.C. 7401 et seq.
N. Eligibility For Employment In The United States. The GRANTEE shall complete and keep on file, as
appropriate, Immigration and Naturalization Service Employment Eligibility Forms (1-9). These forms shall be
used by the GRANTEE to verify that persons employed by the GRANTEE are eligible to work in the United
States.
O. False Or Fraudulent Statements Or Claims. The GRANTEE acknowledges that if it makes a false,fictitious,
or fraudulent claim, statement, submission, or certification to the DEPARTMENT in connection with this
AGREEMENT, the DEPARTMENT reserves the right to impose on the GRANTEE the penalties of 18 U.S.C.
Section 1001,49 U.S.C. Section 5307, 31 U.S.C. Section 3801, and 49 CFR Part 31, as the DEPARTMENT may
deem appropriate. GRANTEE agrees to include this clause in all state and federal assisted contracts and
subcontracts.
P. Changed Conditions Affecting Performance. The GRANTEE shall immediately notify the DEPARTMENT of
any change in conditions or local law, or of any other event which may significantly affect its ability to perform the
Project in accordance with the provisions of this Agreement.
Q. Third Party Disputes Or Breaches. The GRANTEE agrees to pursue all legal rights available to it in the
enforcement or defense of any third party contract, and U.S. DOT and the DEPARTMENT reserve the right to
concur in any compromise or settlement of any third party contract claim involving the GRANTEE. The
GRANTEE will notify U.S. DOT and the DEPARTMENT of any current or prospective major dispute pertaining to
any third party contract. If the GRANTEE seeks to name the DEPARTMENT as a party to the litigation,the
GRANTEE agrees to inform both U.S. DOT and the DEPARTMENT before doing so. The DEPARTMENT
retains a right to a proportionate share of any proceeds derived from any third party recovery. Unless permitted
otherwise by the DEPARTMENT, the GRANTEE will credit the Project Account with any liquidated damages
recovered. Nothing herein is intended to nor shall it waive U.S. DOT's, FTA's or the DEPARTMENT's immunity
to suit.
R. Fly America. GRANTEE will comply with 49 U.S.C. §40118, 4 CFR§52 and U.S. GAO Guidelines B-138942,
1981 U.S. Comp. Gen. LEXIS 2166, March 31, 1981, regarding costs of international air transportation by U.S.
Flag air carriers.
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MEM
S. Non-Waiver. The GRANTEE agrees that in no event shall any action or inaction on behalf of or by the
DEPARTMENT, including the making by the DEPARTMENT of any payment under this Agreement, constitute or
be construed as a waiver by the DEPARTMENT of any breach by the GRANTEE of any terms of this Agreement
or any default on the part of the GRANTEE which may then exist; and any action, including the making of a
payment by the DEPARTMENT, while any such breach or default shall exist, shall in no way impair or prejudice
any right or remedy available to the DEPARTMENT in respect to such breach or default. The remedies available
to the DEPARTMENT under this Agreement are cumulative and not exclusive. The waiver or exercise of any
remedy shall not be construed as a waiver of any other remedy available hereunder or under general principles
of law or equity.
T. Preference For Recycled Products. To the extent applicable, the GRANTEE agrees to give preference to the
purchase of recycled products for use in this AGREEMENT pursuant to the various U.S. Environmental
Protection Agency(EPA)guidelines, "Comprehensive Procurement Guidelines for Products Containing
Recovered Materials,"40 CFR Part 247, which implements Section 6002 of the Resource Conservation and
Recovery Act, as amended, 42 U.S.C. §6962.
U. Cargo Preference. Use of United States Flag Vessels. The GRANTEE agrees to comply with 46 U.S.C.
§55305 and 46 CFR Part 381 and to insert the substance of those regulations in all applicable subcontracts
issued pursuant to this Agreement, to the extent those regulations apply to this AGREEMENT.
All of the requirements listed in Section 10, Federal Certifications, Assurances and Conditions of Approval apply to this
federally funded project. The GRANTEE agrees to include these requirements in each contract and subcontract financed
in whole or in part with federal assistance.
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11 •
11. Federal Taxpayer Identification Number.
For individuals and sole proprietors, list Social Security Number. For other entities, list Employer Identification Number.
Federal Employer Identification Number(FEIN) must NOT be used for sole proprietorships. Under penalties of perjury,
the GRANTEE certifies that 30-6005862 is its correct Federal Taxpayer Identification Number.
The GRANTEE is doing business as(please check one):
❑ Individual ❑ Estate Trust ❑ Sole Proprietorship
® Governmental ❑ Tax Exempt ❑ Non-resident Alien
❑ Pharmacy(non corporate) ❑ Partnership/Legal Corporation ❑ Pharmacy/Funeral Nome/-
Cemetery (Corp.)
❑ Corporation providing or billing ❑ Corporation NOT providing or ❑ Other
medical and/or health care billing medical and/or health
services care services
❑ Limited Liability Company (select applicable tax classification)
❑ D= Disregarded entity
❑ C = Corporation
❑ P = Partnership
If you fail to furnish your correct taxpayer identification number to the DEPARTMENT, you are subject to an IRS penalty of
$50.00 for each such failure unless such failure is due to reasonable cause and not to willful neglect. Willfully falsifying
certifications or affirmations may subject you to criminal penalties,fines and/or imprisonment.
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t
Agreement Award Notification
REQUIRED FOR ALL PROJECTS
Does this project receive Federal funds? ® Yes ❑ No
Amount of Federal funds: $137,139.55
Federal Project Number: AL2-1720-079
CFDA Number*: 20.601
DUNS Number: 010-224-772
*For CFDA(Catalog of Federal Domestic Assistance) Number, refer to original Federal Award/Grant Agreement.
ANNUAL CERTIFICATION FOR COMPLIANCE
WITH FEDERAL OMB-CIRCULAR A-133
NOTICE
• Do not submit this certification to the department with your signed contract.
• This certification applies ONLY to governmental agencies, local units of government and non-profit agencies
expending federal funds for this project. It does not apply to for-profit public or private entities.
• If OMB Circular A-133 applies to your organization, this certification or a copy of your OMB A-133 single audit must
be submitted to the department at the end of your fiscal year for any fiscal year in which you expended any federal
funds related to this contract.
NOTE: ANNUAL COMPLIANCE WITH THIS REQUIREMENT IS MANDATORY FOR EVERY YEAR IN WHICH
FEDERAL FUNDS ARE EXPENDED FOR THIS PROJECT BY ANY STATES, LOCAL GOVERNMENTS OR
NONPROFIT ORGANIZATIONS. FAILURE TO COMPLY WITH THE ANNUAL CERTIFICATION TO THE
DEPARTMENT WILL RESULT IN THE SUSPENSION OF PAYMENTS TO REIMBURSE PROJECT COSTS.
In accordance with OMB Circular A-133, Audits of States, Local Governments, and Non-Profit Organizations, such non-
federal entities that expend$500,000 or more in federal awards in a year are required to have a single audit performed in
accordance with OMB Circular A-133. The Illinois Department of Transportation (IDOT)is required by federal law to
obtain and review the single audit of all entities that had any federally participating funds pass through it, irrespective of
the amount provided by IDOT. It is the responsibility of the agencies expending federal funds to comply with the
requirements of OMB Circular A-133 and determine whether they are required to have a single audit performed.
In order to comply with this requirement, your agency must provide the following information to the department on an
annual basis for every year in which you expended funds for costs associated with this project:
1. If your agency expended $500,000(or the current OMB Circular A-133 qualifying amount)or more in federal
awards from all sources, including other agencies, in a year, you are required to have a single audit performed in
accordance with OMB Circular A-133 and submit a copy of the report to the department within the earlier of 30
days after completion of the single audit or no more than nine months after the end of your fiscal year end.
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TS 08(Rev.06/16/11)
This is an annual requirement for every year in which you expended funds for this project.
2. If your agency did not expend$500,000(or the current OMB Circular A-133 qualifying amount)or more in federal
awards from all sources, including other agencies, in any fiscal year for which you expended funds for project
costs and were not required to conduct a single audit, you must complete and return the certification statement on
the following page.
This is an annual requirement for every year in which you expended funds for this project.
3. If your agency receives multiple awards from the department, only one annual submittal of this information is
required.
Please submit a copy of your OMB Circular A-133 single audit or the Single Audit Not Required Certification to:
Illinois Department of Transportation
Fiscal Operations, Room 303
Attn: Lori Beeler
2300 South Dirksen Parkway
Springfield, IL 62764
The single audit must be comprised of four parts. You have the option of including the four parts in one report or a
combination of reports. The four parts are commonly known as:
1. Comprehensive Annual Financial Report(Financial Statements).
2. Schedule of Expenditures of Federal Awards and Independent Auditor's Report thereon.
3. Independent Auditor's Report on Internal Control over Financial Reporting and on Compliance and other matters
based on an Audit of Financial Statements performed in accordance with Government Auditing Standards.
4. Independent Auditor's Report on Compliance with Requirements Applicable to each Major Program and on
Internal Control over Compliance in accordance with OMB Circular A-133.
Additional information which should be submitted:
1. Corrective Action Plan(s), if applicable.
2. Management Letter, if applicable.
3. Status of Prior Year Findings, is applicable.
For your convenience, you may also submit the information via email to Lori Beeler at Lori.Beeler@illinois.gov or via fax at
(217) 782-5634. If you have any questions, please contact Lori Beeler or Sam Frioli at(217) 782-6467.
NOTICE
• Do not submit this certification to the department with your signed contract.
• This certification applies ONLY to governmental agencies, local units of government and non-profit agencies
expending federal funds for this project. It does not apply to for-profit public or private entities.
• If OMB Circular A-133 applies to your organization, this certification or a copy of your OMB A-133 single audit must
be submitted to the department at the end of your fiscal year for any fiscal year in which you expended any federal
funds related to this contract.
Printed 10/12/2011 Page 2 of 3 TS 08(Rev.06/16/11)
�r-
Single Audit Not Required
I certify that did not expend$500,000 or more in federal
awards in our fiscal year and was not required to have a single audit conducted.
Signature
Title
Subrecipient Contact Information
Subrecipient:
Contact Person: Title:
Address: Phone No.
Fax No.
Fiscal Year End:
Email address:
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