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12-146
Resolution No. 12-146 RESOLUTION AUTHORIZING EXECUTION OF A COMMUNITY DEVELOPMENT BLOCK GRANT SUB-RECIPIENT AGREEMENT VITH SENIOR SERVICES ASSOCIATES, INC. IN CONNECTION WITH AN HVAC SYSTEMS REPLACEMENT PROJECT BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF ELGIN,ILLINOIS,that Sean R. Stegall,City Manager,and Kimberly A.Dewis,City Clerk,be and are hereby authorized and directed to execute a community development block grant agreement on behalf of the City of Elgin with Senior Services Associates,Inc. in connection with an HVAC Systems Replacement project at the facility located at 101 South Grove Avenue, a copy of which is attached hereto and made a part hereof by reference. s/David J. Kaptain David J. Kaptain, Mayor Presented: September 26, 2012 Adopted: September 26, 2012 Omnibus Vote: Yeas: 7 Nays: 0 Attest: s/Kimberly Dewis Kimberly Dewis, City Clerk y a AGREEMENT BETWEEN THE CITY OF ELGIN SENIOR SERVICES ASSOCIATES,INC. This AGREEMENT is entered into as of the 26th day .f Sep tebmer ,2012,by and between the CITY OF ELGIN, an Illinois municipal corporation (hereinafter called "GRANTEE" or "CITY") and the SENIOR SERVICES ASSOCIATES, INC., a n. -for-profit corporation incorporated pursuant to the laws of the State of Illinois, (hereinafter called "S :-RECIPIENT") having a principal place of business at 101 South Grove Avenue,Elgin,Illinois 60120. RECITALS A. CITY has applied for Community Development Bl.ck Grant funds (hereinafter referred to as "CDBG funds") from the United States I epartment of Housing and Urban Development (hereinafter called "HUD") as provi ed by the Housing and Community Development Act of 1974,as amended(P.L. 93-38 (hereinafter called"ACT"). B. CITY has considered and approved the application .f SUB-RECIPIENT for CDBG funds allotted to CITY for distribution to SUB-RECIPIE . C. The CITY and SUB-RECIPIENT enter into this greement pursuant to their respective powers to enter into such agreements, as thos powers are defined in the Illinois Constitution and applicable statutes. II. SCOPE OF THE PROJECT A. SUB-RECIPIENT hereby agrees to perform, in a imely fashion, the activities provided for herein, and those previously defined in the ap ilication and project description dated December 14, 2010, submitted by the SUB-' CIPIENT entitled "HVAC Systems Replacement" a copy of which is attached hereto .s Exhibit"A" and incorporated herein by this reference (hereinafter referred to as the `PROJECT"). The SUB-RECIPIENT was awarded a grant for Fiscal Year(FY)2011-20 2. B. All funding provided to SUB-RECIPIENT shall 'e used solely to replace the outdated HVAC systems, with new and energy efficient sy•terns of the Senior Services' facility at 101 South Grove Avenue, Elgin, Illinois. About ,600 low and moderate-income senior Elgin residents will benefit from the Senior Se .ces' program in its 2011-2012 fiscal year. The subject building will serve 100 percen low and moderate income persons as defined by 24 CFR 570.208 (a) (2) (i) (A). Su h funding shall be used only for the replacement of the existing outdated HVAC syste i s, and other costs associated with the above activities as are consistent with the scope . d intent of the PROJECT and are pre- approved by CITY staff. C. The SUB-RECIPIENT shall comply with adm. strative and procurement requirements as applied to the Community Development Bloc Grant program in accordance with 24 CFR 85: 4 1. The Bid Specifications shall include all s.-cifications and pertinent attachments and shall define the items or services in or.er for the bidder to properly respond. 2. The SUB-RECIPIENT shall submit the Bi Specifications and plans to the City's Community Development Department for taff's approval prior to advertising in a local newspaper and the Dodge Construc ion News. 3. The SUB-RECIPIENT shall include in he invitation for bids, the statement "Minorities and women contractors are e couraged to submit bids." The SUB- RECIPIENT shall purchase a 1" x 3" s.ace in the Dodge Construction News Classified Section specifically invitin, Minority Business Entity/Women Business Entity(MBE/WBE)firms to sub ii.'t bids. 4. All bids will be publicly opened at the f$1- and place prescribed in the invitation for bids. 5. The SUB-RECIPIENT shall provide d.e City's Community Development Department with a copy of the classified advertisement and the results from the bid opening. 6. The contract award will be awarded, in writing, to the lowest responsive and responsible bidder. Any or all bids is ay be rejected, if there are sound documented reasons. D. The SUB-RECIPIENT shall comply with the F-deral Labor Standards and Prevailing Wage Rates as applied to the Community D-velopment Block Grant Program in accordance with Title 29 of the Code of Federal ' -gulations,Part 5: 1. After the start of the described work, the SUB-RECIPIENT shall provide to the City's Community Development Dep. 'sent staff, weekly reports of the contractor and/or subcontractors at the ob site. The SUB-RECIPIENT shall conduct employee interviews of the con ractor and/or subcontractors at the job site. 2. Originals of all documents required far compliance with the Federal Labor Standards shall be supplied to the City's ommunity Development Department. 3. SUB-RECIPIENT shall erect a sign in a i.rominent place at the job site crediting the City of Elgin and HUD for fundi.g of the PROJECT by including the following statement: "Funding for the Project has been provid-d, in part, by the City of Elgin from the U.S. Department of Housing and Urban Development's Community Development Block Grant Program." E. Quarterly Progress Reports 1. The SUB-RECIPIENT shall provide a •uarterly Progress Report to the CITY each quarter, reporting on the status of he PROJECT in relation to the Project Implementation Schedule. The quarter progress reports shall begin upon the a r a i signing of this Agreement and shall be •ubmitted until the completion of the project or until directed to discontinue suc reports in writing by the CITY. 2. Quarterly progress reports shall be due o the 10th day of the month following, the end of the quarter,for the previous q . er's activities. 3. The SUB-RECIPIENT shall use a orm provided by the Community Development Department and shall incl de all required information about the number of clients served each quarter I•y race, income, and the number of female headed households). F. Request for Payment 1. The SUB-RECIPIENT shall provide 'he City's Community Development Department, prior to the start of cons it ction, with an itemized list of all estimated expenditures. This list (on a Sate of Illinois Engineer's Pay Estimate form BLR-283 or equivalent) shall show expected quantities and unit prices for each item. 2. Request for payment shall be submitte on a timely basis. Each request for payment sent to the CITY shall be acco i panied by said payment estimate form signed by the SUB-RECIPIENT'S auth.rized representative and showing the work completed. Changes to items on the pay estimate form must be authorized, in writing, by the SUB-RECIPEINT (on : State of Illinois Request for Approval of Change in Plans Form BLR-228 .r equivalent), and a copy of such authorization shall be submitted to he City's Community Development Department before payment pursuant to s ch changes is made. G. Prior to the expenditure of CDBG funds,the S : RECIPIENT shall meet with the City's Community Development Department staff to :stablish acceptable documentation and guidelines regarding requests for payment for I e activities described in the Scope of Work. No payment of CDBG funds will be II ade by the CITY without the required documentation. H. SUB-RECIPIENT shall record and report mont' y to the CITY all program income (as defined in 24 CFR 570.500(a)) generated by a tivities carried out with CDBG funds made available under this Agreement. Any such a rogram income shall be returned to the CITY. Written request for an exception to this section must be made in writing to the CITY's Community Development Department. Such request shall describe why the SUB-RECIPIENT needs the income, the speci 6 c activities the SUB-RECIPIENT will undertake with the funds, and how the S :-RECIPIENT will report income and expenditures to the CITY. A written response to he request will be provided to the SUB- RECIPIENT from the CITY. The use of any pre gram income by the SUB-RECIPIENT shall comply with the requirements set forth a 24 CFR 570.504. By way of further limitations, to the extent any such income is sed during the Agreement period for activities permitted under this Agreement, S I-RECIPIENT shall reduce requests for additional funds by the amount of any such p ogram income balances on hand. All unexpended program income shall be returned t 0 the CITY at the end of this Agreement period. Any interest earned on cash advances I rom the U.S. Treasury and from funds t � • held in a revolving fund account is not program in'ome and shall be remitted promptly to the CITY. III. AMOUNT AND TERMS OF GRANT A. The CITY shall distribute to SUB-RECIPIENT, .s SUB-RECIPIENT'S portion of the total grant received by the CITY and in considerat on of SUB-RECIPIENT'S undertaking to perform the PROJECT,a maximum of$42,500(hereinafter"Grant Funds"),to be paid in the manner set forth herein at Section VII. B. This PROJECT shall be identified by the followin! project and account numbers: Project No. 154749 and Account No. 230-0000-791.93 36 in the amount of $42,500, which identifying numbers shall be used by SUB-RECIP I NT on all payment requests. C. In the event the services identified in Section II, cope of the Project of this Agreement or other eligible services for low and moderate ins ome individuals and households are no longer provided at the Senior Services Associate•, 101 South Grove Avenue, Elgin, due to actions by the SUB-RECIPIENT, the SUB-' CIPIENT shall reimburse the U.S. Department of Housing and Urban Developm-pit or the CITY for project activities undertaken in whole or in part with CDBG funs; at a rate of 6.7% for each year and portion of each year remaining on the ten-year seful life of the facility improvements. The ten-year compliance period shall begin on the commencement date of this • Agreement. This provision shall not be constru d as limiting the CITY from asserting • any claims against the Senior Services Associat:s, for the breach of any other terms of this Agreement. D. Upon project completion as specified in Section II, Scope of the Project, any remaining CDBG project funds shall be available for reallocation by the CITY to another eligible CDBG project. If SUB-RECIPIENT materiall fails to comply with any term of this award, the SUB-RECIPIENT shall repay to t e CITY all funds used for ineligible activities. E. A minimum of 51 percent of the persons served on an annual basis shall be at or below 80 percent of the Median Family Income in ord'r for the SUB-RECIPIENT to maintain eligibility for the CDBG funds provided for herrn. Said income levels shall be updated and revised annually to conform to levels set b the U. S. Department of Housing and Urban Development. Failure to meet the afore is-rationed minimum 51 percent threshold shall require SUB-RECIPIENT to reimburse the 1TY for funds expended,in whole or in part, for project activities. F. Changes in the scope of services, budget, or m;thod of compensation contained in this Agreement, unless otherwise noted, may only b- made through a written amendment to this Agreement,executed by the SUB-RECIP I and CITY. IV. SUB-RECIPIENT'S COMPLIANCE WITH THE ACT A. CITY shall assist SUB-RECIPIENT'S making asplication for CDBG funds. 4 � j B. SUB-RECIPIENT shall abide by the ACT, i d all HUD rules and regulations promulgated to implement the ACT. C. SUB-RECIPIENT shall, upon request of C , (1) assist in the completion of an environmental review and (2) complete certi cations showing equal employment opportunity compliance including equal emplyment opportunity certification with reference to the PROJECT, as set forth in Exhib t "C" attached hereto and made a part hereof. D. SUB-RECIPIENT, in performing under this Agre:ment, shall: 1. Not discriminate against any worker, em i loyee, or applicant, or any member of the public, because of race, creed, coy or, sex, age or national origin, nor otherwise commit an unfair employment u ractice;and 2. Take affirmative action to insure that ap i licants are employed without regard to race, creed, color, sex, age or national i rigin, with such affirmative action in- cluding, but not limited to the following Employment, upgrading, demotion or transfer, termination, recruitment or recruitment advertising, layoff or termination, rates of pay or other forms .f compensation, selection for training, including apprenticeship. E. SUB-RECIPIENT shall permit CITY and F to conduct on-site reviews, examine personnel and employment records and to cond ct any other procedures or practices to assure compliance with the provisions of this A. eement. SUB-RECIPIENT agrees to post in conspicuous places available to employee. and applicants for employment notices setting forth the provisions of this non-discrimina ory clause. F. SUB-RECIPIENT shall comply with all laws any state and federal rules and regulations, including but not limited to those regarding a dir-ct or indirect illegal interest on the part of any employee or elected official of the :-RECIPIENT in the PROJECT or payments made pursuant to this Agreement. G. SUB-RECIPIENT hereby warrants and represen s that neither the project, including but not limited to any funds provided pursuant ther-to, nor any personnel employed in the administration of the program shall be in any wa or to any extent engaged in the conduct of political activities in contravention of Cha. er 15 of Title 5, United States Code, referred to as the Hatch Act. H. SUB-RECIPIENT shall maintain records to sho actual time devoted and costs incurred, in relation to the PROJECT, and shall prepay= and submit quarterly progress reports which describe the work already performed and : s ticipated during the remaining time of the PROJECT. Upon fifteen(15)days notice fr.ill the CITY, originals or certified copies of all time sheets, billings, and other docume s tation used in the preparation of said progress reports shall be made available for insp-ction, copying, or auditing by the CITY at any time during normal business hours,at 150 Dexter Court,Elgin,Illinois. I . , • I. SUB-RECIPIENT shall adopt the audit requirements of the Office of Management and Budget (hereinafter "OMB") Circular A-133, "A .'ts of Institutions of Higher Learning and Other Non-Profit Institutions." SUB-RECIP :NT shall submit to the CITY one copy of said audit report. SUB-RECIPIENT shall pe ii't the authorized representatives of the CITY, HUD and the Comptroller General of the United States to inspect and audit all data and reports of the SUB-RECIPIENT re.ting to its performance under this Agreement. J. SUB-RECIPIENT and CITY shall at all times o I serve and comply with Title 24 CFR Part 570 and all applicable laws, ordinances or re: lations of the Federal, State, County, and local government, which may in any m. er affect the performance of this Agreement. Without limiting the foregoing,the :-RECIPIENT shall comply with the regulations, policies, guidelines and requirement set forth in Exhibit B, attached hereto and incorporated herein by this reference. K. SUB-RECIPIENT shall transfer to the CITY an, unused CDBG funds and submit all billings attributable to this Project at the time this • greement expires. L. SUB-RECIPIENT will ensure that any real p operty under the SUB-RECIPIENT'S control that was acquired and/or improved in wh i le or in part with CDBG funds is used to meet the benefit of low and moderate income .ersons as defined by HUD, for a period of 10 years after the commencement of this Agre-ua ent. M. If during the 10 year period after the comme cement of this Agreement, the SUB- RECIPIENT disposes of any property under th- SUB-RECIPIENT'S control that was acquired and/or improved in whole or in p. with CDBG funds, then the SUB- RECIPIENT will reimburse the CITY in the am flint of the current fair market value of the property less any portion of the value att '•utable to expenditures of non-CDBG funds for acquisition of, or improvement to, th property in accordance with 24 CFR 570.503(b)(8)and 24 CFR 570.505. V. RIGHTS TO SUBCONTRACT A. SUB-RECIPIENT is herewith granted authority to subcontract all or any portion of the PROJECT to such engineers, architects, indepe dent land use consultants, professional land planner, construction contractors or other -Is tities as SUB-RECIPIENT shall deem appropriate or necessary and upon such terms as ay be acceptable to SUB-RECIPIENT. B. Administration of any subcontracts by the S -RECIPIENT shall be in conformance with 24 CFR Part 570.200(d)(2)and Part 85.36. VI. SUB-RECIPIENT'S AUTHORIZATION TO ACCEPT PROPOSALS A. After the CITY has received notification that ds for the PROJECT have been released by HUD, the SUB-RECIPIENT shall be aut orized to accept the proposal of any subcontractor for the PROJECT. i • VII. BILLING PROCEDURE A. Upon release of Grant Funds by HUD for t e PROJECT, the CITY shall make disbursements to the SUB-RECIPIENT as either reimbursement for advances made by SUB-RECIPIENT or as advances for specific cas s requirements of SUB-RECIPIENT for the PROJECT. All claims of SUB-RECIP I NT, whether for reimbursement or advancement, shall comply with the following req irements: 1. SUB-RECIPIENT shall submit a listing o all disbursements of CDBG funds, on a form provided by the CITY; 2. Any claim for advancement of CDBG funds shall be limited to an amount necessary for SUB-RECIPIENT to me e t specific cash requirements for the PROJECT and shall be disbursed by S :-RECIPIENT within three (3) working days of receipt by SUB-RECIPIENT; 3. Any request for reimbursement or ad ancement pertaining to work under contracts from the SUB-RECIPIENT sha I include the following: a. For interim payments to contract ors and subcontractors, certification that the work for which payment is equested has been performed and is in place and to the best of SUB-RE 1 IPIENT'S knowledge, information and belief that, the quality of such ork is in accordance with the contract • and subcontracts, subject to: () any evaluation of such work as a functioning PROJECT upon su stantial completion; (ii) the results of any subsequent tests permitted b the subcontract; and(iii)any defects or deficiencies not readily apparent pon inspection of the work; and b. For final payment, certification hat the work has been performed in a satisfactory manner and in confo ..ance with the contract. 4. Processing of all requests for payment sh:11 be contingent upon the submission of the required documentation by the contr.ctor and subcontractor to the CITY that fully complies with federal labor stand. ds, uniform relocation act or any other applicable federal, state, or local statutes,rules or regulations. 5. SUB-RECIPIENT shall forward to C all billings, vouchers, and other documents representing any accounts .ayable, in such timely and reasonable manner as both parties shall determine; •rovided, however, that in no event shall such documents be forwarded to C later than twenty-one (21) days after SUB-RECIPIENT'S receipt of such doc ments. 6. SUB-RECIPIENT shall cooperate with se CITY to facilitate the maintenance of financial records by the CITY as require. by Title 24 CFR 85. B. Upon submission of an acceptable claim for G . .t Funds, CITY shall process such claim and shall approve such claim for payment folio ing approval by the City's Community Development Department, for compliance wit this Agreement and applicable HUD requirements. • C. Except as provided for in Section IX and X here'i, CITY shall pay all required payments against eligible project costs, as described in Sec'ion ll.B, incurred by SUB-RECIPIENT under this Agreement. VIII. ADMINISTRATION AND REPORTING REQUIREME S A. SUB-RECIPIENT shall administer the Grant F •ds in conformance with the regulations, policies, guidelines and requirements of OMB I ircular numbers A-110, A-122, and A- 133,as they relate to the acceptance and use of fe•eral funds for the PROJECT. B. SUB-RECIPIENT shall submit all required i• ormation to show compliance with applicable laws, rules and regulations, as specifi:d in this Agreement and shall submit to CITY a quarterly progress report no later than t•e 10th day of the month following the activity being reported. SUB-RECIPIENT sha 1 comply with all reporting and other requirements as specified in Exhibit "B" atta hed hereto and made a part of this Agreement. C. Relocation of Tenants SUB-RECIPIENT shall comply with the requ ement under the Uniform Relocation Assistance and Real Property Acquisition Policia s Act of 1970. SUB-RECIPIENT shall maintain a separate relocation file for each dis'laced person/business for at least three years after the project has been completed or the person/business has received final relocation payments, whichever is later. Relo .tion costs must be paid to any tenant (residential or nonresidential) who occupies any Building being acquired and is forced to move without cause. Waiver of rights to reloc. ion costs can only be done by a single family homeowner. D. Management Plan and Operating Budget of the F:cility SUB-RECIPIENT shall maintain, and keep c ent, a management plan and operating budget stating policies governing the operation o the facility and shall keep this plan and budget on file with the CITY. IX. TERMINATION OF AGREEMENT OR SUSPENSION OF PAYMENT A. During the implementation of the PROJECT, ITY may terminate this Agreement or may suspend payment of Grant Funds to S :-RECIPIENT for SUB-RECIPIENT'S substantial breach of this Agreement, abando ••ent of the PROJECT or occurrence rendering impossible the performance by SUB-' CIPIENT of this Agreement. B. During the implementation of the PROJECT, th• CITY may suspend payments of Grant Funds, due to use of funds in a manner unrel•ted to or in breach of this Agreement relative to, SUB-RECIPIENT'S performing the 'ROJECT, failure by SUB-RECIPIENT in submitting supporting information or docume tation for a claim, submission by SUB- • RECIPIENT of incorrect or incomplete reports, .r SUB-RECIPIENT'S suspension of its pursuit of the PROJECT. C. In the event CITY elects to terminate this Agre ment or to suspend payments, for any reason stated herein above in paragraph A and of this Section IX, it shall notify the SUB-RECIPIENT, in writing,of such action, sp- ifying the particular deficiency,at least five (5) working days in advance of any such ac pion and establishing a time and a place for the SUB-RECIPIENT to refute the alleged de ciency at a time prior to CITY'S taking such action. After allowing the SUB-RECIPIE the opportunity to refute or correct the alleged deficiency, if the alleged deficiency co i tinues to exist, in the opinion of the CITY, the CITY may withhold payment of th- Grant Funds until such time as the violation or breach is remedied. No action tak:n or withheld by the CITY under this paragraph shall relieve the SUB-RECIPIENT o its liability to the CITY for any funds expended in violation of any of the terms of this •greement. D. SUB-RECIPIENT shall transfer to the CITY . •y unused CDBG funds and submit all billings attributable to this Project at the time this Agreement terminates or is suspended. X. REMEDIES A. To the fullest extent permitted by law, SUB-RE a IPIENT agrees to and shall indemnify, defend and hold harmless the CITY, its office ., employees, boards and commissions • from and against any and all claims, suits,jud• u ents, costs, attorneys fees, damages or • any and all other relief or liability arising out of or resulting from or through, or alleged to arise out of, any breach of this Agreement; is suse or misapplication of funds derived pursuant to this Agreement by SUB-RECIPIE ; violation of any statutes, rules and regulations, directly or indirectly, by SUB-' IPIENT and/or any of its agents or representatives; or any negligent acts or omis ons of SUB-RECIPIENT or of SUB- RECIPIENT'S officers, employees, agents or su•contractors. In the event of any action against the CITY, its officers, employees, agents, boards or commissions covered by the foregoing duty to indemnify, defend and hold h. is ess, such action shall be defended by legal counsel of CITY'S choosing. The provis.•ns of this paragraph shall survive any termination and/or expiration of this Agreement. B. In the event of loss of approved Grant Funds for the PROJECT as a result of any violation or breach of this Agreement by the C , misuse or misapplication of funds received from HUD unrelated to the PROJECT, sr any violation of the statutes,rules and regulations of HUD, directly or indirectly, . CITY and/or any of its agents or representatives, CITY'S liability to SUB-REC I'IENT shall be limited to any funds which have previously been provided to sub-reci s ient pursuant to this Agreement. SUB- RECIPIENT hereby waives and releases CITY om any and all other liability pursuant to any such breach,misuse,misapplication or vi.i ation of statutes,rules or regulations. C. In the event HUD,or any other federal agency, akes any claim which would give rise to invoking the remedy provisions, as set forth in $aragraph A or B of this Section X, then the CITY or SUB-RECIPIENT shall immedia ely notify the other party, in writing, providing the full details of the alleged violatio i. To the extent that any such matter is not subject to exclusive federal jurisdiction, ve sue for the resolution of any disputes or r • the enforcement of any rights arising out of o in connection with this Agreement between the CITY and SUB-RECIPIENT shall be in the Circuit Court of Kane County, Illinois. D. In addition to any remedies available to the CIT ', if CITY has lost or been prevented from receiving any federal funds, other than the 1 rant Funds, as a result of any alleged violation of law or other breach of this Agree cent by SUB-RECIPIENT, the SUB- RECIPIENT shall repay, upon demand by the ITY, such amount of Grant Funds previously disbursed or allegedly due to the SUB-' CIPIENT. XI. TIMELINESS A. Time is of the essence of this Agreement. S :-RECIPIENT shall meet the schedule deadlines listed below. Any milestone which t e SUB-RECIPIENT does not achieve within two months of the date listed will result i the SUB-RECIPIENT submitting a revised implementation schedule for approval b the City's Community Development staff. Failure to achieve these deadlines may resu in the loss or reduction of grant funds at CITY's discretion. Actions Date 1. Prepare Bid Specification October 1,2012 2. Bids Solicited November 1,2012 3. Select Contractor December 1,2012 4. Construction Begins January 1,2013 5. Construction Completed June 30,2013 B. SUB-RECIPIENT. Shall complete the PROJEC I within twelve (12) months from the date of this Agreement. However, in the eve of any alterations or additions or of circumstances beyond the control of SUB-RE U IPIENT, which in the opinion of the Community Development Director will require .dditional time for completion of said expenditures, then in that case, the time of ompletion shall be extended by the Community Development Director by a period o time not to exceed six(6)months. C. If SUB-RECIPIENT is delayed in the compl tion of the PROJECT by any cause legitimately beyond its control, as determined b the CITY, such that it cannot complete the PROJECT within eighteen (18) months o the date of this Agreement, it shall immediately give written notice to the CITY of the anticipated delay, the reasons therefore and request an extension of time for ompletion of the PROJECT. CITY's Community Development Director shall coni. -r any such request and shall make a recommendation to CITY's City Council as to w i ether in his sole discretion he considers such an extension to be reasonable and neces . ,, under the totality of circumstances to be required for completion of the PROJECT d e to the particular circumstances. The I . • CITY's City Council shall act upon the extension request and recommendation of the Community Development Director and notify t e SUB-RECIPIENT whether the time extension is granted or denied, and the CIT 's intention to exercise the remedies available herein, including but not limited to sus tension of further payments. A revised implementation schedule shall be submitted b SUB-RECIPIENT if an extension is granted by the CITY. XII. MISCELLANEOUS PROVISIONS A. AMENDMENTS -This Agreement constitutes e entire Agreement between the parties hereto. There are no other agreements, either o .1 or implied, between the parties hereto regarding the subject matter hereof. Any prop o sed change in this Agreement shall be submitted to the other party for prior approval. o modifications,additions, deletions, or the like, to this Agreement shall be effective unl;ss and until such changes are executed, in writing,by the authorized officers of each part . B. SUBJECT TO FINANCIAL ASSISTANCE AeREEMENT - This Agreement is made subject to financial assistance agreements be een the CITY and the United States Department of Housing and Urban Developme t, with the rights and remedies of the parties hereto being in accordance with any such :greements. C. ASSIGNMENT - Except as provided in Sectio s V and VI hereof, SUB-RECIPIENT shall not assign this Agreement or any part t ereof and SUB-RECIPIENT shall.not transfer or assign any Grant Funds or claims due or to become due hereunder,without the written approval of the CITY having first been o'tained. D. ATTORNEY'S OPINION - If requested, SUB CIPIENT shall provide an opinion of its attorney, in a form reasonably satisfactory t o the CITY, that all steps necessary to adopt this Agreement, in a manner binding upo 8 SUB-RECIPIENT, have been taken by SUB-RECIPIENT, and that SUB-RECIPIENT s in compliance with applicable local, state and federal statues, rules and regulations or the purpose of complying with this Agreement. E. HEADINGS -The section headings of this Agre meat are for convenience and reference only and in no way define, limit, or describe the scope or intent of this Agreement, and should be ignored in construing or interpreting t i s Agreement. F. The terms of this Agreement shall be severs o I e. In the event any of the terms or provisions of this Agreement are deemed to be oid or otherwise unenforceable for any reason,the remainder of this Agreement shall re it ain in full force and effect. G. This Agreement shall not be construed to create joint venture,partnership, employment or other agency relationship between the parties •ereto. H. Venue for the resolution of any disputes or the enforcement of any rights between the parties hereto arising out of or in connection with the terms and provisions of this Agreement shall be in the Circuit Court of Kane ounty, Illinois. IN WITNESS WHEREOF,the parties hereto have executed this AI eement on the dates recited below. CITY OF ELGIN,an Illinois Municipal C•rporation BY: ,i/A. Q• ,4._.., " Sean R. Stegall City Manager DATE: t• b7 • 13- ATTEST: Ibitaata4.)-Ct_An Kimberly ewis City Clerk SUB-RECIPIENT: Senior Services Associat=s,Inc. 101 S. Grove Avenue,El in,Illinois 60120 BY: c -, . ‘14 \ • Bette Schoenholt- Executive Direct',r DATE: . 11 vZ 0 0'.r/ ATTEST: A ' I .-R-(--6-7)(\/\-- � t • • EXHIBIT A SUB-RECIPIENT'S CDBG APPLICATION PROPOSAL APPLICATION FOR CDBG FUNDING: �O THE COMMUNITY DEVELOPMENT BLOCK GRANT(CDB-) oe,+ ENTITLEMENT PROGRAM ey Z • ° D FISCAL YEAR 2011 JUNE 1,2011 THROUGH MAY 31,2012 • Organization Name: Senior Services Associates, Inc. Project Name: HVAC Systems Replacement Project Address: 101 South Grove Avenue Exec Directors Name: Bette Schoenholtz Address: 101 S. Grove Avenue Elgin IL 60120 Telephone#: 847-741-0404 Fax#: 847-741-2163 Email Address: Bschoenholtz@aol.com Website:www.seniorservicesassoc.org Employer(IRS) ID#: #: 02 #36-2775102 #024043754 Contact Name: Beth McClory Title: Chief Administrative Officer Contact Telephone#: 847-741-0404 Fax#: 847-741-2163 Contact Email: bmcclory@seniorservicesassoc.ore Website:www.seniorservicesassoc.org PROJECT FUNDING REQUEST CDBG Funds Requested $ Funding Leveraged from other Sources $ $42,500.00 $42,500.00 Check the category,which describes the type of funding,requested: Housing X Public Facility XX ❑ Infrastructure _ Economic Development ❑ Public Service — Other BRIEF PROJECT DESCRIPTION: Please provide a one-sentence statement about your proiect—not your organization. Senior Services will replace the existing outdated HVAC systems, portions updated in the early 1980's,with new and energy efficient systems. City of Elgin CDBG Application FY 2011 Application Page 2 CONSTRUCTION PROJECTS ONLY Public Improvements/Construction Activity Application Form Project Name/Title: Replacement of HVAC Systems Agency Name: Senior Services Associates, Inc. Agency Address: 101 S. Grove Avenue City: Elgin State: IL. Zip: 60120 1.Project Description(Attach additional sheets as necessary.) a. Provide a detailed description of the facilities to be provided or improved. Identify major components of proposed work and state estimated quantities: The proposed project includes the removal of the existing air handler and related ductwork from the basement storage room, removal of the existing boiler and related piping in the boiler room and the removal of the existing condensing unit. Then installing one(1)new Trane or approved equal Energy Star package heating/cooling unit mounted on rails at ground level in the rear alley. Also included is the electrical power and control wiring as needed,gas piping to the new unit, supply and return ductwork, bypass and zone dampers (three zones), controls to provide operation of bypass dampers,zone dampers,zone sensors and mixed air. Also necessary,will be cutting of the outside wall to accommodate installation of supply and return ductwork and the repairs to the building when complete. b. Indicate the primary function of the facilities to be provided or improved: Senior Services provides comprehensive case management,focusinion the frail elderly with multiple physical, financial and emotional problems. Services include referrals for in-home services or home delivered meals. We provide elder abuse investigation, nursing home ombudsman, information and assistance with accessing services and completing applications and forms, outreach to the homebound, the Senior Companion Program, the Retired Senior Volunteer Program (RSVP) and a full service senior center providing activities, parties, trips, educational and wellness programs, such as Fall Prevention and Chronic Disease Self-Management. c. Readiness to Proceed: (i) Do you have an architect/engineer under contract? If so provide nme. ❑ Yes X No (ii) Do you have preliminary plans/drawings completed (If so, attach)? ❑ Yes X No (ii) Do you have project cost estimates completed (if so attach)? X Yes ❑ No (using Davis Bacon Wage Rate and Labor Standards) Please note that any costs incurred prior to the award and environmental review process cannot be reimbursed to the applicant. e. Provide evidence of site control. Copy of the deed. If property is not owned provide a copy of the lease. Agreement and letter from owner approving proposed work. Attached. City of Elgin CDBG Application FY 2011 Application Page 3 CONSTRUCTION PROJECTS ONLY 2. Project Location: a. Project Address/Location: (Include photographs) 101 S. Grove Avenue Elgin IL 60120 Census Tract(s): 8512 Block Group(s): 1028 b. Indicate if the project is located in, or will have any impact on,the following: (Please indicate Yes or No) (i) National Register Historic District (ii) Designated Wetlands Area (iii) Land Use/Zoning Change E Yes X No E Yes X No E Yes X No If yes, explain: If yes,explain: If yes, explain: (iv) Environmental Hazards E Yes X No If yes,explain: c.Provide a time line for the project and current status of project progression: Construction Bid Period: 6/01/11 Start Date:9/15/11 Completion Date: 10/01/11 Status: Requesting funding 3. Project Benefit: (Attach additional sheets as necessary.) a.Describe the existing problems or conditions to be corrected by the proposed activity. Identify the persons affected by these conditions. Explain how the project benefits low and moderate income people. The heating systems at 101 S. Grove Avenue were upgraded in 1984, installed in the early 70's (estimated,too old to be accurate). Senior Services, as with most social service agencies with State of Illinois contracts, is suffering from cash flow from unpaid bills and cuts from state,federal and local sources at a time when the needs of our clients and the numbers of persons needing assistance are increasing. We have experienced and anticipate more costly repairs to our current systems and extreme energy cost increases because of the inefficiency of our units,further challenging our resources and ability to preserve our level of service to our clients. b.Describe in quantifiable terms the goals to be achieved by your project during the proposed funding period, and how the recipients of your services will be benefited or changed. We will continue to directly serve over 3600 Elgin residents annually and 26,000 area seniors,without down time for HVAC repairs. Our budget will be assisted by eliminating costly repairs that strain our ability to keep our work force at full strength at a time of lessened resources and extremely heightened needs of the senior community. City of Elgin CDBG Application FY 2011 Application Page 4 CONSTRUCTION PROJECTS ONLY Project Budget 0 ;CDBG ER NON`; C9'jf};tER . _. .: ..,:FEDERAL FUNDS _FUND' i L z.L '" r- At - a Land $0.00 Existing structuresi1 $0.00 Other acquisition costs 1 $0.00 SMIINiiiikinot in,cons cn.Forttra.....:" _ k Demolition/clearance I $6,800.00j $6,800.00 $13,600.00 Other site costs $0.00 Oo 3s'tru o POD KUites . _:i- ilt . . r; ^-iiiiM1 _.0•� New Construction $0.00 Rehabilitation/Labor 1 $18,700.00 1 $18,700.00 $37,400.00 Rehabilitation/Materials $17,000.00 I $17,000.00 $34,000.00 Construction contingency $0.00 Other 1 $0.00 Anchectural and .til v_ ._- . __. ...6.. -- Architect Fees ; $0.00 Engineering fees $0.00 1 Other A&E fees $0.00 Other Owner Costs= 4x ,�_.r i .. f Appraisal fees $0.00 Survey l $0.00 Soil boringlenvironmental/LBP evaluation $0.00 Tap fees and impact fees 1 $0.00 Permitting fees I _ $0.00 Legal fees l I $0.00 Other ` 1 $0.00 Miscellaneous* ..- Developer fees 1 I $0.00 Project reserves 1 I $0.00 Relocation costs , I $ Pr9ject,Qcdm€ifta?!.a8> g _y^-r:r= 14n:;: ;w —Operating $0.00 Operating 1 $0.00 Taxes $0.00 Insurance $0.00 Other $0.00 - - r @?A 6IV "The line items in column A are a guide. Items may be added or deleted depending on the type of project. 1 City of Elgin CDBG Application FY 2011 Application Page 5 i CONSTRUCTION PROJECTS ONLY 1. Construction Procurement Guidelines for private non-profit construction projects All construction contracts in excess of$2,000 will be subject to federal Davis-Bacon Wage Rates and Labor Standards provisions.A schedule of current prevailing wage rates and fringe benefits is available at the Illinois Department of Labor at www. state.il.us\agency\idol\rates\evenmo\kane9999.htm $25,000-$99,999 Projects over $25,000 require Newspaper Advertisement Public Solicitation of Contractor Bids in Elgin Standard Times. Federal requirements for Davis -Bacon and Minority and Women Business Enterprise Participation(MBE/WBE)compliance will be applicable. Federal Section 3 and City of Elgin Minority Workforce Requirements are not applicable for contracts under$100,000. • The lowest qualified bid representing the complete scope of work from a QUALIFIED CONTRACTOR will be considered. $100,000+ Projects over $100,000 require Newspaper Advertisement Public Solicitation of Contractor Bids in Elgin Standard Times. Federal requirements for Davis -Bacon and Minority and Women Business Enterprise Participation(MBE/WBE)compliance will be applicable. Federal Section 3 and City of Elgin Minority Workforce Requirements will be applicable for contracts over $100,000. Bond Requirement—100%Payment and Performance Bonds. The lowest qualified bid representing the complete scope of work from a QUALIFIED CONTRACTOR will be considered. City of Elgin CDBG Application FY 2011 Application Page 6 2. PROJECT ELIGIBILTY SECTION A. This project is located in 8512 Census Tract(s)(Identify tract by number) (website—Factfinder.census.gov) B. This project meets at least ONE of the HUD national objectivles listed below (please check all applicable; discussion and definitions available on page 6 of the packet): X 1. Benefits low/moderate income individiriais/households 2.Addresses the prevention or elimination of slums or blight 3. Meets a particularly urgent community development need. C. Check all statements that describe HOW this project or acOvity meets one of the National Objectives above: ❑ L/M Area Benefit: the project meets the identifi I d needs of L/M income persons residing in an area where at least 51% of those r sidents are L/M income persons. The benefits of this type of activity are available t all persons in the area regardless of income. Examples: street improvements, ater/sewer lines, neighborhood facilities,facade improvements in neighborhood commercial districts. X L/M Limited Clientele: the project benefits a specific group of people (rather than all the residents in a particular area),at least 51%of whom are L/M income persons.The following groups are presumed to be L/M: abused children, elderly persons, battered spouses, homeless, handicapped, illiterate pers ns. Examples: construction of a senior center, public services for the homeles , meals on wheels for elderly, construction of job training facilities for the handic pped. ❑ L/M Housing: the project adds or improves permaient residential structures that will be occupied by L/M income households upon completion. Housing can be either owner or renter occupied units in either one famil or multi-family structures. Rental units for L/M income persons must be occupi d at affordable rents. Examples: acquisition of property for permanent housing, re abilitation of permanent housing, conversion of non-residential structures into permanent housing. I ElL/M Jobs: the project creates or retains perman nt jobs, at least 51% of which are taken by L/M income persons or considered to b� available to L/M income persons. Examples: loans to pay for the expansion of a fact ry, assistance to a business which has publicly announced its intention to close w/r sultant loss of jobs, a majority of which are held by L/M persons. ❑ MicroEnterprise Assistance: the project assi is in the establishment of a microenterprise or assists persons developing a mi roenterprise. (A microenterprise is defined as having five or fewer employees, one or ore of whom owns the business.) This activity must benefit low/moderate income { ersons, area or jobs as defined in previous sections. NOTE: List is continued on the following page... City of Elgin CDBG Application FY 2011 Application Page 7 ❑ Slum or Blighted Area: the project is in a designated slum/blight area and the result of this project addresses one or more of the conditions that qualified the area. ❑ Spot Blight: the project will prevent or eliminate specific conditions of blight or physical decay outside a slum area. Activities are limited to clearance, historic preservation, rehabilitation of buildings, but only to extent necessary to eliminate conditions detrimental to public health and safety. Examples: historic preservation of a public facility threatening public safety, demolition of a deteriorated, abandoned building. D. Project Category[check one]: ❑ Acquisition of Real Property ❑ Disposition of Real Property X Public Facilities and Improvements (e.g., homeless shelter, water and sewer facilities, flood and drainage improvements, fire protection facilities/equipment, community, senior and health centers, parking, streets, curbs, gutters and sidewalks, parks and playgrounds.) O Privately-Owned Utilities ❑ Public Service(i.e., a new service or an increase in the level of a service) O Relocation Payments and Assistance to Displaced Persons O Removal of Architectural Barriers, Handicapped Accessibility ❑ Housing Rehabilitation ❑ Historic Preservation ❑ Commercial or Industrial Rehabilitation, including facade improvements and correction of code violations. O Special Economic Development or assistance to micro-enterprises. City of Elgin CDBG Application FY 2011 Application Page 8 3. IMPACT ON APPLICABLE GOALS, NEEDS,AND OBJECTIVES The Five-Year Consolidated Plan identifies both priority needs i the community and strategies to address these needs. The need for your proposed project will b determined by identifying how the project impacts upon the adopted Consolidated Plan Priority Needs Therefore,applications should provide a clear explanation of how t e project impacts upon the adopted Consolidated Plan Priority Needs. Greater consideration will be iven to projects that provide a clear description of the project with supporting data and rnethodolo y of how the project will meet the Consolidated Plan Priority Needs. Please identify the category and activity applicable to your proposal, using that table as your guide: Example: /Public Services Activity: Youth Transportation ❑Homelessness Activity ❑Infrastructure Activity ❑Affordable Housing Activity X Public Facilities Activity: Programs and Services for Seniors ❑Planning&Capacity Building Activity The City of Elgin has identified ten strategic goals to reflect the City's ongoing commitment to the community. Greater consideration will be given to projects that provide a clear description of the project with supporting data and methodology of how the project will meet the City's strategic goals. X Recreational, Leisure and Cultural Please identify ALL the categories applicable Opportunities for all Citizens to your proposal: ❑ Quality Housing ❑ River as a Resource X Alive Downtown X A Safe Community 0 Financially Stable City Government o Neighborhood Vitality ❑ Customer Service 0 Economic Growth and Diversified Tax ❑ Diverse Management Staff Base PROPOSED PROJECT ACCOMPLISHMENTS Please briefl describe •ro•osed accom•lishment s if fundin: is aw.rded: (Accomplishments must be described in terms of households serve., people served, businesses created, • housing units created,jobs created or public facilities undertaken. example: This program will serve 485 LMI individuals, this program will create 25 jobs, etc.) The impact of this project will be directly felt by over 3600 senior esidents of Elgin; including aver 200 Hispanic and 150 Laotian households. PROPOSED ACCOMPLISHMENTS: i Page 9 Please answer the following questions: A. What is the total estimated number of persons to be served by this project?This is the cor office,corporation serves over 25,000 seniors. In Elgin alone serving 3610 seniors. B. What is the total estimated number of LMI persons to be served by this project? All senio presumed to be LMI persons;we serve only seniors, in Elgin more than 3600 annually. B. What is the anticipated percentage of LMI persons to be served by this project? 100% 4. ACTIVITY DESCRIPTION: Please answer the following questions in the space provided. A. Provide a detailed description of the proposed activity including how the activity will address the community need you have indicated. Identify whether the activity is new,ongoing, or expanded from previous years. Senior Services Associates, Inc. has served Kane County seniors for 37 years. Based on our experience and accepted practices, the best way to reach the senior population is to make them aware of services before a need or crisis arises and to prevent a crisis, this is why we provide an inviting place for seniors to gather, learn and have fun. The senior population is exploding, especially the frail. The activities at the center are both new and expanded as needs change. The need for a point of entry to services that will help to extend assets and keep the senior in their home as long as possible, is more important than ever. The building at 101 S. Grove meets this need, although strained for space. The need for reliable heating and air conditioning is obvious when meeting the needs of seniors. B. Identify who will benefit from the proposed activity (e.g. homeless, youth, seniors, disabled, et cetera). If designed to benefit persons of L/M income, describe the process you will use to identify these persons and ensure that the activity meets this objective. (An LMI certification form is included in the RFP Packet). Our programs serve age 60 and over, all are considered to be of L/M income. Some services paid by the State of Illinois have income and need limits. All seniors served by our case management program are given a comprehensive assessment which includes physical, mental, emotional and financial needs; income and asset information is tracked by this program. Senior center clients may not have a need for an assessment at arrival, but are aware of what this may offer them when services are needed. C. Identify the accomplishments you intend to achieve with this activity. Provide an activity timeframe/schedule (include start, completion dates,and other significant stages). Senior Services activities are ongoing, daily. We will plan replacement of HVAC systems after air conditioning and before heat is needed. This will take approximately two weeks, beginning early in September, 2011. Should there be some overlap,we can move some programs to an alternate location and postpone others, none would be cancelled. The accomplishments of this project include making this building more comfortable and reliable for the seniors we serve. Also,energy efficiency, lower utility bills and the new units that will not require the repairs and maintenance that our existing units require, will combine to allow our limited funds to be used to directly assist the seniors in Elgin. City of Elgin CDBG Application FY 201 1 Application Page 10 ! 5. ORGANIZATIONAL CAPACITY Please answer the following questions in the space provided. A. Provide an overview of your organization including length of time in existence.Attach a list of current officers and board members with terms. I Senior Services Associates, Inc. is a non-profit agency dedi ated to sustaining and improving the quality of life for individuals 60 and over and their caregi ers by providing access to the social services they need. To accomplish this goal we provide ca e management and an assessment to determine in-home services that may be needed, informatio and assistance completing forms and accessing needed benefits, outreach to the homebound, el er abuse investigation, nursing home ombudsman, recreation, education, health and wellness programs, fall prevention program, chronic disease self management program and numerous volunteer pportunities that assist other non-for- profits and government offices. We have been serving Elgin f r over 37 years, incorporated in Illinois on August 30, 1973. B. Describe your organization's experience in successfully conducting this type of activity. Identify any skills,current services,or special accomplishments that demonstrate your capacity for success. Elgin was the first office opened by Senior Services. Since opening in Elgin we have renovated and/or opened eight other offices, relocating some locations. We currently conduct programs in Kane, Kendall and McHenry Counties and surrounding areas, with ffices in Elgin (our corporate office), Aurora, Yorkville,Crystal Lake, McHenry and Geneva. Each o ice relocation has been because of I the need for increased space to add or expand programs. Ea ly in January we will open a renovated office in Aurora, our ninth expansion. Senior Services has h id exclusive contracts with the Illinois Department on Aging and the Northeastern Illinois Area A ency on Aging since the beginning of services in case management, the Community Care Program elder abuse investigation and nursing home ombudsman. C. Identify the person(s) responsible for program and financial management of the activity. Identify all other persons involved in this activity noting whether these positions are current or new, pending this award. All positions are existing; Bette Schoenholtz, Executive Direct r; Beth McClory,Chief Administrative Officer; Roxanne Walston, Care Management program supery sor; Ramona Vasquez,activity and health and wellness program director. Beth McClory is responsible f r the financial management of the programs and operations. City of Elgin CDBG Application FY 2011 Application Page 11 D. Identify any other agencies/partners in this activity and define the roles and responsibilities of these partners. The Illinois Department on Aging and the Northeastern Illinois Area Agency on Agency provide partial funding and program oversight. Our referrals for services are from and to the Salvation Army, Renz Center, Ecker Center, local hospitals and doctors,Senior Provider Network Agencies and local government offices. We work closely with the police department and code enforcement for the benefit of Elgin seniors,assisting with resolution of serious issues and participating in Triad. E. Demonstrate that the proposed activity is economically feasible and can be implemented in a timely cost effective manner within the proposed program year. Senior Services contracts and funding is firm into 2012. Over 30 years of experience has taught that we do not begin a program or project until funding is secured. The success of our programs and agency demonstrate our ability to both conduct and fund needed services for seniors in a cost effective manner allowing the ability to expand when required. F. Oftentimes projects that receive an award of CDBG funding are actually awarded less than the amount originally requested. This requires the submission of a revised budget and a description of how it will carry out the proposed activity with reduced funding prior to the commitment of any funding. Please indicate here whether your proposed activity could be undertaken with a reduced commitment of funding and if so, please highlight how that would affect the scope of services you are proposing. Our heating system is well over 35 years old and is very inefficient and costly to maintain. To continue our programs at our current level, in this economic climate of reduced funding,we must keep expenses to a minimum. This project is a high priority and will continue as soon as complete funding is committed. A reduced scope is not an option. City of Elgin CDBG Application FY 2011 Application Page 12 City of Elgin CDBG Application FY 2011 application Page 13 6. FINANCIAL The City encourages CDBG funds to be utilized as gap funding. A gap is defined as the amount of funding necessary to run a program after all other funding sources have been identified, thus leveraging is very important in the application process. ACTIVITY BUDGET Please answer the following questions in the space provided. You may reference and attach an additional page if necessary. A. Complete the Budget Summary chart. More detailed budgets may be attached (and are strongly recommended) in support of the proposal. B. Identify sources of leveraged funding for this activity. Include the status of these funds(i.e. cash on hand, grants received, planned fund-raising, etc.). Attach copies of funding commitment letters or other evidence of funding support. C. Leverage—Consideration will be given to the amount of non-CDBG funds committed to the oroiect. BUDGET SUMMARY Category Breakdown CDBG Leveraged Funds Source of Total Funds Leveraged Funds Personnel * Contractual Services (Specify) Rent&Utilities Communications Travel Other Specify: HVAC replacement: 42,500.00 42,500.00 Center City 85,000.00 Retrofit Grant Total CDBG Request 42,500.00 Total Other Funds 42,500.00 Grand Total $85,000.00 *NOTE: Please complete Budget Detail Chart on page 26 if personnel costs are included in your proposal. City of Elgin CDBG Application FY 2011 Application Page 14 BUDGET DETAIL This section provides back-up for each line item shown in the Budget Summary Chart. Please make certain this detailed breakdown is consistent with the Program Budget. Round up to the nearest hundred. Please note: A job description for each person must be provided. i A Note about the Staff/Salary Breakdown: Please show all proposed staff positions funded with CDBG funds that relate to the proposed activity. If multiple staff members have the same position/title, list separately(For example: Counselor 1, Counselor 2). Use an additional sheet if necessary. You must submit lob descriptions with your application for each position title identified below. Is this a Annual Total %Time Spent onTotal Position = Position current or Annual Fringe Annual x this CDBG Cost Requested Title proposed Salary Benefits Salary Pr¢ject/Program from CDBG position? Example; Current $25,000 $5,000 $30,000 x 40% = $12,000 Case manager x = x = x = x = x = x = A. Oftentimes projects that receive an award of CDBG fundin' are actually awarded less than the amount originally requested. This requires the submission o a revised budget and a description of how it will carry out the proposed activity with reduced fu ding prior to the commitment of any funding. Please indicate here whether your proposed activity could be undertaken with a reduced commitment of funding and if so, please highlight how that would affect the scope of services you are proposing. Our heating system is well over 35 years old and is very inefficient and costly to maintain. To continue our programs at our current level, in this economic climate of reduced funding,we must keep expenses to a minimum. This project is a high priority and will continue as soon as complete funding is committed. A reduced scope is not an option. City of Elgin CDBG Application FY 2011 Application Page 15 A. THRESHOLD CERTIFICATION In order for your application to be accepted, in addition to the application itself, your organization must submit the following items to the Office of Housing and Community Development no later than 5:00 PM on DECEMEBER 15,2010. 1' An original application with all questions completed along with one copy that is 3-hole punched and clipped [not bound] of the completed application. (Only the original must include the requested support documents such as the articles of incorporation and the current list of your Board of Directors.) ❑ The following attachments/certifications: (if you have not submitted an application in the last two years OR if the information has changed) Rf Articles of Incorporation .clf Current List of Board of Directors gl Certified Organization Audit/Financial Statements of most recent year ® Copy of OMB A-133 Audit (Required if $300,000 in aggregate Federal funds expended), or b. Financial statements audited by a CPA(only if not qualified for A-133),or c. Profit and Loss Statement for most recently completed fiscal year and General Ledger printout(only first time applicants or those who do not meet above criteria may submit) Z IRS 501(c)(3) Designation Letter(Pending letters will not be accepted) Current Fiscal Year Agency Budget, including all funding sources ❑ Job Descriptions per budget detail. 2' An Executed Statement of Applicant Form. .e( An Executed Signature Authorization Form. .2r Conflict of Interest Disclosure Form. I hereby confirm that this packet contains all materials required. C..7. 5)7Z-7A° Jlow. Signature and nnted ame Authoriz Signer City of Elgin CDBG Application FY 2011 Application Page 16 • B.STATEMENT OF APPLICANT The undersigned acknowledges the following: 1. That, to the best of its knowledge and belief, all factual information provided is true and correct and all estimates are reasonable. 2. That no revised proposals/applications may be made in connection with this application once the deadline for applications has passed. 3. That the City of Elgin may request or require changes in the information submitted, and may substitute its own figures, which it deems reasonable for any or all figures provided. That the applicant will participate in required interview for project assessment and cooperatively assist in the review process. 4. That, if the project(s) is recommended and approved by the Mayor and City Council,the City reserves the right to reduce and/or cancel the allocation if federal entitlements are cancelled, reduced, or rescinded. 5. The City of Elgin reserves the right not to fund any submittals rece'ved. 6. By submission of this application,the organization agrees to abide by the federal regulations applicable to this program. 7. That, if the project(s) is funded, the organization agrees to abide by the City's locally established policies and guidelines 8. That past program and financial performance will be considered in reviewing this application. 9. That services are to be provided at no cost to citizens during the grant period. All program income (i.e:fees, repayments,foreclosures,etc.) must be remitted to the City. 10. That, if the project(s) is funded, the City or a designated agency may conduct an accounting system inspection to review internal controls, including procurement and uniform administrative procedures, prior to issuance of payments for projected expenditures. 11. That, if project(s)is funded,the City will perform an environmental review prior to the obligation of funds. 12. That, if a project is funded, a written agreement that includes a statement of work, records retention and reporting, program income procedures, local and federal requi-ements, circumstances that would trigger grant suspensions and terminations, and reversions of assets woul be required between the organization and the City. 13. That a project's funding does not guarantee its continuation in subsequent action plans. 14. Provide written signatory authority from the organization's gdverning body indicating who can execute contracts and amendments on its behalf. Statement of Applicant continued on following page. City of Elgin CDBG Application FY 2011 Application Page 17 15. Agrees to abide by the City of Elgin's Conflict of Interest policy. Items of concern would include staff members serving on the Board of Directors, staff members' families serving on the Board of Directors, and other matters that may give the appearance of a conflict of interest. PENALTY FOR FALSE OR FRAUDULENT STATEMENT U.S. Code Title 18, Section 1001, provides that a fine of up to $10,000 or imprisonment for a period not to exceed five years, or both, shall be the penalty for willful misrepresentation and the making of false,fictitious statements, knowing same to be false. By signature below,the applicant acknowledges the above in its name on this 13th day of December, 2010. Senior Services Associates, inc. Name of Organization B y� (Signature) Bette Schoenholtz Executive Director (Title) City of Elgin CDBG Application FY 2011 Application Page 18 • C. SIGNATURE AUTHORIZATION FORM The Board of Directors of Senior Services Associates, Inc. does hereby resolve that on December 13,2010,the Board reviewed the Application for Community Development Block Grant Funds to be submitted to the City of Elgin Community Development Department for funding consideration for the fiscal year 2011 and in a proper motion and vote approved this application for submission. The Board further certifies that the organization making this application has complied with all applicable laws and regulations pertaining to the application and is a non-profit rganization, tax-exempt and incorporated in the State of Illinois. Senior Services Associates, Inc. hereby proposes to provide the ervices or project identified in the Scope of Services in accordance with this application for Community Development Block Grant Funds. If this application is approved and this organization receives CDBG funding from he City of Elgin, this organization agrees to adhere to all relevant Federal, State and local regulations anc4 other assurances as required by the City. Furthermore, as the duly authorized representative of the organization, I certify that the organization is fully capable of fulfilling its obligation under this application as stated herein. I further certify that this application and the information contained herein are true, correct and complete. I also authorize the following person(s) to have signatory authority regarding this grant: Bette Schoenholtz Executive Director Name Title Beth McClory Chief Administrative Officer Name Title Thomas VanCleave President/Board of Directors (or other authorized person) December 13, 2010 Date PENALTY FOR FALSE OR FRAUDULENT STATEMENT U.S. Code Title 18, Section 1001, provides that a fine of up to $10,000 or imprisonment for a period not to exceed five years, or both, shall be the penalty for willful misrepresentation and the making of false, fictitious s'atements, knowing same to be false. City of Elgin CDBG Application FY 2010 Instructions Page 27 Conflict of Interest The standards in OMB Circular A-110, Subpart C, provide that no employee, officer, or agent shall participate in the selection, award, or administration of a contract supported by Federal funds if a real or apparent conflict of interest would be involved.Such a conflict would arise when an employee, officer, or agent, any member of his or her immediate family, his or her partner, or an organization which employs or is about to employ any of the parties indicated herein, has a financial or other interest in the firm selected for an award. The CDBG regulations at 24 CFR 570.611 and HOME regulations at 24 CFR 92.356 provide that no person who is an employee, agent, consultant, officer, or elected official or appointed official of the recipient or subrecipient that are receiving CDBG or HOME funds and (1) who exercises or has exercised any functions or responsibilities with respect to activities assisted with CDBG funds; or (2) who is in a position to participate in a decision-making process or gain inside information with regard to these activities, may obtain a financial interest from a CDBG- assisted or HOME-assisted activity, or have any interest in any contract, subcontract, or agreement with respect thereto, or the proceeds thereunder, either for themselves or those with whom they have family or business ties, during their tenure or for one(1)year thereafter. A disclosure of the nature of any perceived or actual conflict must be made prior to the execution of agreements utilizing CDBG or HOME. IF NO CONFLICT EXISTS,COMPLETE THE FOLLOWING: X I certify that no conflict of interest exists between the City of Elgin and Senior Services Associates,Inc. X I certify that no conflict of interest exists between the subcontractors of and Senior Services Associates, Inc. IF A POTENTIAL CONFLICT EXISTS, COMPLETE THE FOLLOWING: ❑ I certify that a potential conflict of interest may exist between the City of Elgin and (name of organization) ❑ I certify that a potential conflict of interest may exist between (name of subcontractor) and (name of organization) Describe the nature of the conflict of interest below. Identify the individual,employment and the conflict or potential conflict,and their affiliation with your organization. sd24,_,4=C--EC Signature of Authorized Agency Official Date Bette Schoenholtz, Executive Director December 13, 2010 Typed Name and Title City of Elgin CDBG Application FY 2010 Instructions Page 27 . . . : . . - • • . , , (-, . . . Gerlifieule Number 641 ' ‹e". ( iS( si t • -.... : - ---- . - / •,7 ri.A. 1 (‘ v.• .-.,•...._....,41),17. 7_-',...7i (I..„ t..I,',.i„ thi .,_,, . EL--/ --st'•ini" .-- • T.. Iv . , ...c,,-, ,(,-;\ :•••••'''. ----;,,,-- ' 4...Sv/A 11 111‘k ''. •-,-- -^" 1:1"-::::.-.. ..".A 1.. 1 . g !::1 ;11 r --4...4...,:„... . 6 1 F-9 ••0 1 fl i• __ -4-11 , ,...,:-. . ...... , 9 , ,,i',. 7 4) ;•' ''' -:53 ...., .7. r-'• ...,:. -ri, z.3 - ..• •.-=2. eilattillitilliillditraftrgitt.5MpteritintArt trif: , Z7--. • r:_%; ;.. .. ijrirett$,s2eaedefr,9e2t,...42.44,x4s24 ,e_gr.vsoiaz..... ;Atiowei,a/nekeetwiLd,, THE ELDERS ,Ife.me.,/seri•Ax‘in•,i4 CA,•;i4,..crectotale,,,gjale,o7v,/,‘,. . _ Oct ober /0/9____7_6..ad/4ouo;21tori,11,de• GENERAL NOT FOR PROFIT CORPORATION ACT A9/4(..=mo(.4,e.,-/Viitoveti,4 ig/NM i• I A40. Arceda9e,I.. //911.1, )V27wcIlierefora9MICHAEL J.HOWLETT, C,iivtateztptie.iialet.-04c ed0.9474;106). .4, v6i1;.40,114/16w0,90/0a44x4iii,,ntei.44.. .,ekjetetficalezett./41-00.74749;1 Sa(monebneinif,a4ra,allace,./Zoolp.cb,ex661/i4244eig.)-..9./SZt.eien‘im4 k JZ,_.(20.1e4,i,"411.co t/bota&in,,I.4f9,eridterkze;2(,cot/totale ,4 3htiEtsSiiMOUlillfgrrill& Lf,,ateto.444,7„441.(//agreeezzaJoio • /..0"'".S.4 :al..,7 „, Aaitgrerfi46314AzGaa.47,:/4!//ale:.1:(//Lior.), iffpo',;!0:!""'"".. ... • \ _att__ gt..--- fx-74...r.,:•--.7--..,:1:-::f!..!..tt.1;,,, , , *ff,oie...___ tor e1p,/..9 76 If .....,:(,f.A.r:,.,-,:mc'r;.i;.;.0.11•3;•41'.41t.'741,,,,l'A' .14434*-- /Ndkietd/et/izeL.—__LSI_ ..;:\VgAi'it-ZA-14'..;it:4;;;AWAti;RO NirV71 'lZi%7:::‘* -'' ••••!w,?,Er47..^7•14''.?' "ef-W\Lcje.-0.-a)' 1-1-0 ,_+-1_ac I SECRETARY Of STATE 1 ')C)( 4 r)c) / \?!/ • Continuation ARTICLE 4 sub paragraph a) ARTICLES OF AMENDMENT OF THE ARTICLES OF INCORPORATION GREATER ELGIN SENIOR CENTER, INC . and'other charitable trusts shall be used solely for the benefit of senior citizens, defined in Title III of the Older Americans Act as being persons 60 years of age or older. b) Among the various services to be provided to senior citizens are: The establishment, maintenance and operation of a multi-purpose center, thereby providing a "drop-in" 'locality for senior citizens. • • The establishment, maintenance and operation of a day • care facility for those senior citizens who require more attention and care than the normal senior citizen. The objective of such day care facility being to delay, if not totally prevent the institutionalization of such persons in various types of nursing homes or hospitals. To provide transportation for such senior citizens. To provide such other services as are deemed necessary for the benefit of senior citizens. The corporation may acquire such physical assets as are necessary for it to execute the purposes for which t it was organized. • The corporation may enter into any contractural arrangement which will enable it to more effectively carry out the purpose:3 for which it he.s been crganized ARTICLE 5 - Inasmuch as the corporation serves as a conduit of funds from various Federal, State and local government agencies and from the United Way and other private trut.ts. it is mandatory that no receipts of the corporation or • assets owned by the corporation can inure to the benefit Of, or be distributable to any officer, director, employee or other private person except that the corporation shall be authorized and empowered to pay reasonable compensation for services rendered and to make payments and distributions in furtherance of the purposes set forth in Article Five hereof. • (continued) • Continuation ARTICLES OF AMENDMENT OF TUE ARTICLES OF INCORPORATION GREATER ELGIN SENIOR10ENTER, INC. ARTICLE 6 - The corporation shall not carry on any propaganda or otherwise attempt,in any manner, to influence legisla- tion, and further it shall not partkicipate,in any manner, in any political campaign on behalf of any candidate for public office. ARTICLE 7 - The corporation shall not carry on any activity not permitted to be carried on (a) by i corporation exempt from Federal Income Tax under section 501 (c) (3) of the Internal Revenue Code of 1954 or (b) by a corporation, contributions to which are deductible under section 170 (c) (2) of the Internal Revenue code. ARTICLE B - Upon the dissolution of theicorporation, the Board • of Directors shall, after paying or making provision for thepayment of all of the liabilities of the corporation, dispose of all of the assets of the corporation under the direction of the various Feder 1, State and local governmental agencies involved in the overall funding of the corporation. Any assets not distributed by the various governmental agencies shall there be distributed to any organization exempt under section 501 (c) (3) of the Internal Revenue code. • • _. it - WO NOT WRITE IN THIS SPACE) • 4 T. •• filed FORM NP8 Dat �j In Deeneet. F"'"°F..51D. ARTICLES OF AMENDMENT Filing Fee Ze , fC/ W the ARTICLES OF INCORPORATION Clerk 7 Yoder the GENERAL NOT FOR PROFIT CORPORATION ACT • To Michael J. Howlett, Secretary of State, Springfield, Illinois: The undersigned corporation,for the purpose of amending its Articles of Incorporation and pursu- ant to the provisions of Section 35 of the"General Not For Profit Corporation Act"of the State of Illinois, hereby executes the following Articles of Amendment: 1. The name of the corporation is: THE ELDERS NO 2. There art• _members, having voting rights with respect to amendments: (Insert “no" or "some") (Strike paragraphs (a), (b), or (c) not applicable) 8. (3)x6tatase ting art m tic UCW41nzbic rnrvvv vvvirxxx xv Avvxx gi :4 . .:w WV:.• .i. •. .. . :...... •. .... .. .••.!le ...:: .• Ir....:.. O:..I etv::.u.e.$.b q•I pnodiencpzezentaxzepsammthatiucpmeznetiumbxnusatimpooc (b) . . •. .• ... .... ......•• •., . .• , •i•• -11:4•41•1•6 (c) At a meeting of directors (members having no voting rights with respect to amendments) held on July 21 19__,7 6 same receiving the votes of a majority of the directors then • in office, the following amendment or amendments were adopted in the manner prescribed by the "General Not For Profit Corporation Act" of the State of Illinois: ARTICLE 1 — The name of the corporation is hereby changed to GREATER ELGIN SENIOR CENTER, INC. ARTICLE 2 - The period of duration of the corporation is perpetual. ARTICLE 3 - The address of its registered office in the 'State of Illinois is 695 S. State St., Elgin, Kane County. Illinois 60120. fk. eS X4 - t cASMX4X1 x)FSK;r1XACCKRx)AGtx x KiaXic XxvtaIXxM Om:moonxkxPxAixxxtunitaexx. ARTICLE 4 - The purpose or purposes for which the corporation is ozganized are: a) This corporation is organized exclusively for charitable purposes to provide services to senior citizens under pro- visions of Title III of the Older Americans Act of 1969, as amended; also under guidelines established by state and local governmental agencies. Funds received from Federal, • State and local governmenalagencies and from United Way 1382135 }en1CY C?f,,.(,S r15$:.C'Jk4ei .. Q) File Number ,03n-717 - co • or) /{� (..0 ,.. -s-mmio.iilk ' Iritb- �� _ I _r= ` ttp (( n 1 1{`�} '�` -— 7Y �}t/�`1�j`•�,� r fain fGG'��� O C. c7f...2._ __• :4-:„,,- C = i'n_12: Vii_ _+Y``-tel. M (Taunt u�� inu thrgr,�iro r : l41ut�autr,Ora iug: C i•2AT j�� ARTICLES OF Ai1ENDOE�1T TO THE ARTICLES OF i H OF GREATER ELGIN SENIOR CENTER, INC. INCORPORATED UNDER THE LAWS OF THE STATE OF ILLINOIS 4AVE OEEN FILED IN THE OFFICE OF THE SECRETARY OF STATE AS PROVIDED SIV THE GENERAL NOT FOR PROFIT CORPORATION ACT OF ILIINDIS, IN FORCE JANUARY 1 , A.D. 1944. O re. ef(� G1 I'd a;ek fie .# 6wieeee .4aa/ # ; � e cre - ;, 3Itt(ZfrctiutouRililwrrtt, J,� , , , ';',,,z-' A i4 .. • / ' ', • '� 31ST > „� ',�^., iLZ i i/l. ice, • d ,.�'' dr5s, ''� i,/�,,,i� N M1 Y i AD/4914 Aznd • ,. .,-- asP#*:;.,•,.--„si•:.07-;-•v'.::-,,,,:' ,k6,10,0,,andt,d,a/AdE aTH ��• r' -.77442,.....A140-:7: , „� i i • �' "t•j •>iliiii' trim .&• ,,-. i`•''.4:~ SECRETARY F STATE • • • _ (DO NOT WRITE IN THIS SPACE) FORM NP-35 To Be Flied Date S ( ( -5a Li in Duplicate ARTICLES OF AMENDMENT /mac Filing Fee $25.00 to the Filing Fee $ 9/ `^ ARTICLES OF INCORPORATION f� under the Oerk GENERAL NOT FOR PROFIT CORPORATION ACT To jim Edgar Secretary of State • Springfield, Illinois The undersigned corporation, for the purpose of amending its Articles of Incorporation and pursuant to the provisions of Section 35 of the"General Not For Profit Corporation Act"of the State of Illinois,hereby executes the following Articles of Amendment: 1. The name of the corporation is:sireater Elgin Senior Center 2. There are NO members,having voting rights with respect to amendments: (Insert"no"or"some") (Strike paragraphs(a), (b),or(c) that are not applicable) 3. •.. • :4...4r-t. ,.r p 6.4 .t:Nom' a t.t.1.'I IHl •♦•UAA,♦L.♦,9..A, 4♦M4.L♦0 3!.!i .4?1. .Q.4.. 1* 9•@!•7>,44,b4*..* l•l.444 4,1,111* ,U,! 1 '.!A:1'¢JarM4,•4V�y�Yi IIV„,:►r0Yar,!1*Y!!t4. xiiimiarafactiquawaceowaw ••4♦tele ,s. •'U'a .1%..-1.4. v' vi Uil'U EU*4.5441'P,t"t'EU (c) At a meeting of directors(members having no voting rights with respect to amendments)held on April 27 19 R4 ,same receiving the votes of a majority of the directors then in office,the following amendments were adopted in the manner prescribed by the"General Not For Profit Corporation Act"of the State of Illinois: Article I The name of the corporation is hereby changed to Senior Services Associates, Inc. • (over) .,Filing Fee$25.00 FORM Nr-251 • AILTICi.r_S OF INCORPORATION @DOK._� I,t�;.31)2 `t UNDER THE GENERAL NOT FOR PROFIT CORPORATION.ACT (The..Articles Must Be Flied in Duplicate • • ' (Do Not Writ. in Thi. Space) Date Paid ' MICHAEL J'. HOWLETT ' F-ulna Fee., - • To )O.117X WRDI VKIS, Secretary of State, Springfield, lllinois. « Clerk We, the undersigned, Not kr Pa.n tsreel Address Nernp Nnmhcr Street City State DAVID OAKE 548 Lucille Ave. Elgin, Illinois dpi BETTE SCHOENHOLTZ Rt. 1 Box 176 A Yorkville, Illinois }fin SYLV.A S.LISI&C,QR 102 1i. Jane Drive • Elgin, Illinois DONALD H. SHANI. 549 N. Clifton Elgin, Illinois ERNEST MARQUEZ 873 Adeline Elgin, Illinois being natural persons of the age of twenty-one years or more and citizens of the United States, for the purpose of forming a corporation under the "General Not For Profit Corporation Act" of the State of Illinois, do hereby adopt the following Articles of Incorporation: 1. The name of the corporation is: THE ELDERS 2. The period of duration of the corporation is: PERPETUAL • (Plow asap 4.rpm.r' or•4.11x1p member at r.•.) 3. The address of its initial Registered Office in the State of Illinois is: 695 S o. State Street, Street in the City of Elgin i 601200 County of Kane and alp Code) the name of its initial Registered Agent at said Address is: EILFFN McGREEVY 4. The first Board of Directors shall be _11 in number,their'names and addresses being as follows: Nm lor da. Pare./ Addrer. Name Number Street. Cit? But. Rev.Donald Shank,President 549 N. Clifton Elgin, Illinois Rev. George Schiffmayer, V.P. 28 N. Porter Elgin, Illinois Bette Schoenholtz, Secty R.R. 1 Box 176 A Yorkville,Illinois Edward Swartz, Treas. 1560 Easy Street Elgin, Illinois .Sylvia S. Lisagor 102 N. Jane Dr. Elgin, Illinois Aldene Ecker ' 562 Gertrude Elgin, Illinois Ernest Marquez 873 Adeline Elgin, Illinois Cecelia Braheny 420 Fulton Elgin, Illinois Luella Malloy 844 Douglas Elgin, Illinois Rose Affeld 230 So. State St. Elgin, Illinois Milton Wohl, M.D. 548 Clifton St. Elgin, Illinois 5. The pwtpoee at pw.poeea ion which the conponation .iA ongan.i,zed ane: To provide day care facilities and services for Elgin area senior citizens. • U, N /r��777 (O V E3U • GaDK28J4 ma 403 • . .- LI_ C. ((.1(...v._'t'--) • . , . • • ?.....• • r.- Gerlificale Number 21026 cr) .-- --- ic-; r- L., . .„------_---:------, i;.,' iii.:.,..,. . • ------ ,---:•.‘ NA) ' . ., kr..‘...,, 0 . :11;77-\ s, ,' ."\t01-. "Wair• ) • O \.',.....s____.:9 _. ;.\) 131 1113\ • '4 `,..e'.."..4'?. ----. . /0 •'•JIL'Its'i.,./..V*4.4* , ..i ?' . .Air7‘. .•:* Iii ... iti.-r.4!"•• 1,11,)",:•.:*Z f a • . . '...f.- "" hinn thesirilirstutsMfail(fautr,Orritug* : ono w to 4:4-- itt4rrrni0,s244-ch'• -lasevO"'eat- THE ELDERS _T... 31st ja„,,,Aeovrezwe4),&-14°-zer,f).4,. .gada-ty-Ar . GENERAL NOT ,c/47,1 --y. _( ,,,91 ,.4..,...,.,z;s,Atomeitwi,k August15. --/--/4 149Z;i•ver/0140V19(i i''n _ FOR PROFIT CORPORATION ACT AS2eMig#,' e ; • F oa- ,W gir, d0,1c-CiZilef(r.a . - Nv Were fore,Y. MICHAEL.1 HOWLETT, ..• 1- ,, Pcik.41,,..91/4/zoithoweeoled,enono. ,1,/,,,,eas2(44,1.4,94,,ncx:Vtotale..;9rp ,..., 12), /w.....-,-- • aii,;,,,„ te.dieud,m19449 • 3lirtit .1 IT Of iletelo..oe4-firAne4.a4z4dAzze41...fe itiinotNIU w , ,nocyc, gr,44,40,ar e.e/6,94-Avceilwe4 •.„,ede,'y 31.st_- __CiVono,aliZ(409 • . ,:i:k. xlay,,l______A114,7us t _ /,..,ilLif-9 73nd 'e!;..1:-'5% .°74, 13,4;!**-;•okk, *.i.i":?.-...:1111%;:',-,,,:1-.'7.-:.,t, d-. 98 t h ---.--•Itrt ..778.1--5. ...!::7-=.7.62" havneAegvid,(4,,gri/a/nd ....lve-::.',.:..,?Irt4.1.,*;-t,,•-.!k;Fre.,-4:7q,"..".: ''.1,t, .-11';:i•-'.s':-',%"* .4417':';:r-:zi:TV:-$..:i'Af.t.10.. :r-;...;VI;:...^,,,. .,)::*-1.-",-.:*4,ktIcip:re,:tem-o.'• ..i.1-. /,-.1'sj7;=t'arit,::.Zite. ;NT,;-•:.i.7‘.171.• .5C:,.1% tri.%:'',....-.`'P,:'ft•n.-:;: :,..:-:1 SECRETARY Of STATE ; 41::,:: • .;.,....'',.?..r' :•'' :'!'.'"3,7,1',..4t..0.--%::•:....,..inti",..: -,:!.$•.:..!;,-,.-.4.- .;',17717:71,1... --,. '''''''.(';,`•,,,,::,......--- I) ...:, ... Book2894 PAGE 461 _ ..._ - —- ------- ,_ .. . — Senior Services Associates, Inc. Board of Directors President: Tom Van Cleave Secreta /Treasurer: Gil Nore Vice President: Linda Longmeyer Past-President: Tom Aquilina Tom Aquilina corvla),, allevestateplanners.com Past President/Board Emeritus 10/04/00— 10/01/11 Rick Furgason Aquilina&Associates, Inc. 5/1/08 -t 5/1/11 Consultant Dreyer, Foote, Streit, 6708 Rhode Island Trail Furgasop &Slocum, P.A Crystal Lake, II 60012 Attorney. 815-477-2635 Office 919 Wept Downer Place 815-459-8819 Fax Auora, Zl 60506 815-621-3553 Cell 630-897-8764 aquilina@dls.net 630-8971I-1735 fax rfureasdn@dreyerfoote.corn Identa Austin Board Emeritus 10/01/00— 10/01/11 Linda L} Longmeyer Plum Landing Apt 508 10/1/09-10/1/12 495 North Lake Street 3851 Willow View Drive Aurora,Il 60506 Lake In The Hills, IL 60156 Retired Teacher Realtor 630-892-7829 Prudential Starck Realtors 630-896-5056 fax 2450 W Schaumburg Road Schaumburg, IL Michael R. Evans 847-519L3364 Work 10/01/2010-10/01/2013 847-809-7050 Cell 1621 Charleston 847-9084552 Fax Batavia, IL 60510 Lindaelindalongmeyer.com Banker,Commercial 630-879-6482 William Markison 630-272-8413 (Cell) 10/1/10-10/1/13 mevans4341 Zsbcglobal.net 311 Malewood Lane Crystal Hake, IL 60014 Patricia Feeley Retired 10/01/06— 10/01/11 815-459-5204 710 Pinhurst Lane markisonnisbcglobal.net Oswego, Il 60543 Oswego Senior Center Frank Miller 773-590-4320 home 10/01/08— 10/01/11 630-554-3712 534 Kin sway Drive patfeeley@sbcelobal.net Aurora,I1 60506 Retired AT&T PR Cory Freeman RTA Bo rd 07/01/09— 10/01/12 630-8968111 home Valley Estate Planners, Ltd 630-896-5387 fax Financial Planner Florida Address 14N555 Tyrrel Road 10355 P adise Blvd Elgin, IL 60124 TreasurelIsland FL 33706 847-888-3888 Work Gerald Morrow 10/01/2010-10/01/2013 Fred Steffen 495 N. Lake Street 15 Douglas Avenue Plum landing Apt. 209 Elgin IL 60120 Aurora IL 60506 Retired Attorney Comptroller Retired 847-622-9180 City of Aurora&Wadsworth 630-896-0089 Steve Thoren 10/1/09— 10/1/12 Kitty Nash Majestic Mortgage 10/1/10-10/1/13 53 S Union St Home State Bank Elgin IL 60123 Senior Club Advisor 847-840-7319 PO Box 1738 wonase a wowway.com Crystal Lake IL 60039 815-459-2002 Tom Van Cleave knash c@homestateonline.com 10/1/08— 10/1/11 1023 Lexington Lane Gilbert Nore Batavia, Il 60510 02/01/08—02/01/11 Kane County Board 275 Waverly Drive 630-879-6344 home Elgin, Il 60120 630-220-2736 cell Retired Accountant 630-847-1647 cell 847-741-2901 thomasvancleave c(ll comcast.net g-norerpeorlepc.com Mark Weber 10/1/94— 10/1/11 2210 North Bockman Road Marengo, I1 60152 Cecelia Sanders Castle Bank 02/01/08—02/01/11 Trust Department 1108 Sunset Avenue 815-568-8981 home Yorkville, Il 60560 815-245-7245 cell 630-553-0151 home mweber(a�castlebank.com Work info: Sunnymere, Inc Marketing 925 Sixth Avenue Aurora, Il 60505 630-898-7844 work sunnvmeremarketin@sbcglobal.net Tom Smith 10/01/06— 10/01/11 550 West Galena Blvd Aurora,Il 60506 Private CPA 630-897-7781 home 630-897-7782 fax tesmithcapnalsbcglobal.net Internal Revenue Service Deprtment of the Treasury P. 0 Box 2508 Date: May 5, 2007 Cinc nnati, OH 45201 Pers•n to Contact: SENIOR SERVICES ASSOCIATES INC T Buckingham 29-70700 101 S GROVE AVE C stomer Service Representative ELGIN IL 60120 Toll ' ree Telephone Number: 8 '7-829-5500 Federal Identification Number: 34-2775102 Dear Sir or Madam: This is in response to your request of May 4, 2007, regarding your organization's tax- exempt status. In January 1977 we issued a determination letter that re ognized your organization as exempt from federal income tax. Our records indicate th t your organization is currently exempt under section 501(c)(3) of the Internal Revenue ode. Our records indicate that your organization is also class' ed as a public charity under sections 509(a)(1) and 170(b)(1)(A)(vi) of the Internal Re enue Code. Our records indicate that contributions to your organizati n are deductible under section 170 of the Code, and that you are qualified to receive tax deductible bequests, devises, transfers or gifts under section 2055, 2106 or 2522 of the Internal Revenue Code. If you have any questions, please call us at the telephon number shown in the heading of this letter. tiSincerely, ti.di, ,)(• 4 d , 4 Michele M. S (liven, Oper. Mgr. Accounts Ma agement Operations 1 FY2011 Budget AGENCY REVENUE: BUG'T11 3010 Activity Trips 29.000 3020 Memberships 16,300 3040 Donations 27,000 3041 Bequests - 3045 Donations-Restricted - 3050 Staff 150 3060 Interest 719 3070 Rental Income 550 3090 Activities 42,342 3100 Newsletter 4,900 3120 Website Advertisement - 3150 Insurance Reimbursement - 3200 Grants 82,152 3220 Points of Light Volunteer Center - 3230 Grants for Clients Services - 3235 Willow Spring Fdn. - 3240 Grand Victoria Fdn. 20,000 3242 Dunham Foundation - 3245 Bethlehem Foundation 750 3250 Eisenberg Fdn. - 3255 ADT Personal Companion 11,485 3260 SOS Industries - 3300 Other Project Income 29,361 3310 Home Repair Project Inc. - 3320 ADC Respite Income - 3355 Joint Venture - 3360 Vending Machines - 3400 Trip Commissions 1,700 3500 Kendall County Nutrition - 3600 Fundraising 94,000 3650 Miscellaneous Income - 3700 Trans.Project Inc. 8,571 4010 Corp.for Nation!Service 52,458 4100 NEIL AAA-III B 577,725 4110 NEIL ANE 329,500 4114 NEIL ANE-EIS 12,500 4115 NEIL FCS, FSS&AT 23,160 4118 CMP Ombudsman 10,738 4120 NEIL-AAA-IIIB(e) 7,434 4122 NEIL Title VII 30,632 4123 SPAP/SHAP 60,707 4125 NEIL III D 24,166 4126 AGE OPTIONS SMP - 4135 COURT OF CLAIMS - 4138 NEILONE TIME - 4139 NEIL NURSING HOME DIVERSIC - 4140 NEIL ANE/ONE TIME - 4145 Respite Gap Fill 16,021 4146 IIIE Legal Assistance - 4150 Caregiver Respite 79,467 4152 NEIL GAPFILL-GRANDPARENTS - 4155 Respite Assistance 37,133 4160 Pioneer Ombudsman - 4200 !DOA 1,232,918 • 4215 ORS State of IL 30,111 4220 LEGISLATIVE INITIATIVE - 4240 State Grant/One-Time - 4245 SBC Accelerator - 4275 Mental Health Resource League 10,000 4300 Elgin United Way 30,000 4305 United Way Designations - 4310 St.Charles United Way 12,000 4320 Fox Valley United Way 42,000 4323 Fox Valley United Way Sr. Fund - 4325 Comb Fed/State Campaign - 4330 Batavia United Way 1,000 4335 Metro Chicago United Way 10,000 4340 Geneva Community Chest 2,872 4350 Kendall United Way• - 4360 McHenry United Way 42,480 4375 Chicago United Way - 4390 Aurora Emergency - 4395 Elgin CDBG - 4400 Aurora Township 24,000 4401 Comm.Found Fox River Valley - 4405 Elgin Township 20,500 4407 Hanover Township 5,000 4410 St.Charles Township 5,000 4435 Dundee Township - 4440 Kendall Township - 4445 Plato Township - 4450 Lisbon Township - 4460 Seward Township - 4470 Bristol Township - 4477 Kaneville Township - 4483 Batavia Township - 4489 Geneva Township - 4494 Retirement Research Foundation - 4495 Nunda Township - 4496 Marengo Township 3,200 4497 Na Au Say Township - 4498 Grafton Township - 4499 McHenry Township - 4500 Kendall County 117,500 4505 Kendall 708 Board 3,980 4515 Kane County River Boat 15,000 4520 Elgin Emergency Fund - 4550 City of Elgin 10,000 4551 City of Yorkville - 4555 McHenry County 470,000 4600 Title V - 4800 Governance Revenue - 4999 Miscellaneous income - • TOTAL REVENUE: 3,718,182 FY2011 Budget EXPENDITURES: BUG'T11 5100 Salaries 2,314,920 5105 Temporary Personnel 5,000 5110 FICA 177,092 5120 Health 201,798 5130 Life Insurance 15,037 5140 Unemployment Insurance 17,000 5150 Workmen's Comp. 19,027 5160 Pension Plan Expense 41,118 5170 Employee Assistance 2,400 5175 Loss on Employee Plan - 5180 Employment Costs 1,200 6105 Rent 104,377 6106 McHenry Rent - 6110 Gas/Bldng 19,346 6120 Electric 13,060 6130 Water 1,297 6140 Exterminator 1,737 6150 Bldng/Gen Liability Insurance 28,454 6160 Janitorial/Maintenance 8,495 6170 Disposal 1,154 6190 McHenry Utilities 15,617 7100 House Supplies 8,497 7200 Office Supplies 17,248 7300 Food Supplies/Vending Machine 28,482 7400 Activity Supplies 10,811 7450 Activity Leader 23,271 7500 Craft Supplies - 7600 Computer Supplies 10,160 8000 Other Expense - 8100 Vehicle Insurance 7,048 8120 Prof Liability Ins 3,380 8125 Directors and Officers 2,434 8180 Volunteer Insurance 1,050 8200 Travel 61,756 8205 Miscellaneous 8220 Advertising 11,925 8225 Marketing 5,097 8230 Security Link Referral 1,350 8240 Audit 13,126 8260 Dues&Subs 9,070 8280 Gas&Oil 300 8300 Reg& Licenses - 8310 Hired Vehicle 1,363 8320 Vehicle Maintenance - 8340 Printing&Dupl 14,324 8360 Postage 30,855 8380 Telephone 30,800 8385 Cellular Phone Service 21,478 8390 Internet 6,192 8400 Training 4,732 8420 Contractural 49,446 8430 Professional Fees 8435 Equipment Lease 8,981 • • FY2011 Budget 8440 Computer Contract 37,281 8460 Paging Contract 275 8480 Other Maintenance 8,140 8500 Newsletter 13,864 8510 Kane County River Boar 15,000 8520 Fumishings/Fixures - 8530 Volunteer Expense - 8540 Volunteer Travel 28,957 8545 Elgin Emergency Client Exp. - 8560 Volunteer Meals 2,000 8580 Volunteer Recognition 4,915 8585 Volunteer Recruitment 1,575 8600 interest Expense - 8605 Governance Expense - 8610 Ill D Health Promo - 8612 NEIL SPAP/SHAP - 8614 NEIL CAPACITY ONE-TIME - 8615 Project Expense-One Time - 6617 NEIL FCS 23,160 8620 III B(e)Residential Repair 7,434 8625 VII Protective Services 3,000 8626 NEIL ESS, FSS,AT&Legal - 8627 Caregiver Respite 79,467 8629 Nursing Home Diversion - 8631 NEIL One-time - 8632 Gap Fill Expense 16,021 8634 III D Medication Management 12,083 8635 IL One-Time - 8636 NEIL GapFill-Grandparents - 8637 Trip/Activity Refund 1,200 8640 Trips 25,500 8650 Fox Valley U.Way Emerg.Exp - 8660 EIS Client Services 12,500 8661 Client Services Funded by Grants - 8665 Mental Health Resource Lge - 8670 Aurora Block Hsing - 8675 McHenry Emergency Funds 2,000 8676 Home Repair Projext Exp. 3,000 8680 Fundraising 27,500 8700 Services Restricted - 8720 Move&Renovation Expense - 8730 Knox Box Purchases - 8735 Transportation Rides 18,968 8740 Bath Aid 1,707 TOTAL EXPENDITURES: 3,716,852 INTERNET REPORT ID:360259 VERSION:1 1/2072010 4:32:59 PM OMB No.0348-0057 (FORM SF-SAC U.S.DEPT.OF COMM.-Econ.and Stat Admin.-U.S.CENSUS BUREAU (8-6-2008) ACTING AS COLLECTING AGENT FOR Data Collection Form for Reporting on OFFICE OF MANAGEMENT AND BUDGET AUDITS OF STATES,LOCAL GOVERNMENTS,AND NON-PROFIT ORGANIZATIONS for Fiscal Year Ending Dates in 2008, 2009, or 2010 Complete this form,as required by OMB Circular A-133,"Audits of States,Local Governments, and Non-Profit Organizations," PART 1 GENERAL INFORMATION (To be completed by auditee, except for Items 6, 7,and 8) 1. Fiscal period ending date for this submission 2. Type of Circular A-133 audit 3. Audit period covered Month Day Year 1®Single audit T®Annual 3❑Other— Months 9 / 30 /2009 2❑ Program-specific audit 2❑Biennial 4. Auditee Identification Numbers a. Primary Employer Identification Number(EIN) d. Data Universal Numbering System(DUNS)Number 3 6 — 2 5 0 2 I I b. • uttiple - coy,red in this report? i❑Yes 2 it No e. Are multiple DUNS covered in this report? 1 D Yes 2❑No c. If Part em • = /-s,"complete Part I. Item 4c f. If Part I, Item 4e="Yes,"complete Part I;Item 4f o• the • tin .tion .heet on Page 4. on the continuation sheet on Page 4. 5. AUDIT • INFOR TION 6. PRIMARY AUDITOR INFORMATION (To be completed by auditor) a. Auditee ame a. Primary auditor name SENIOR • C •ASSOC• ES,INC. DUGAN&LOPATKA b. Auditee ,d• ess Numbs and et) b. Primary auditor address(Number and street) 101 SOUTH GRO •VENUE 104 E.ROOSEVELT RD. City City ELGIN WHEATON State ZIP+4 C••e State ZIP+4 Code I IL 6 0 • Ai-_\ IL 0 B 71 — c. Auditee contact . c. Primary auditor contact Name Name BETTE SCHOENHOLTZ MARK SCHULTZ Title Itle EXECUTIVE DIRECTOR PRIN •AL d. Auditee contact telephone d. P; ary auditor contact telephone (847 ) 741 — 0404 4 630 ) 6— — 4440 e. Auditee contact FAX P ary a -Itor ....tact FAX (847 ) 741 — 2163 630 66 — 030 L Auditee contact E-mail f. P' ary and •r con • --mail BSCHOENHOLTZ@SENIORSERVICESASSOC.ORG • RK.SC •LTZ@D• ANLO:•T COM g.AUDITEE CERTIFICATION STATEMENT—This is g. •DITO- STAT EN —T'e•. a elements and information to certify that,to the best of my knowledge and belief,the dude. in this : are ited o tho - prescribed by OMB auditee has: (1)engaged an auditor to perform an audit .'r :r A-13 . he in •rmatio' induced in Parts II and III of the in accordance with the provisions of OMB Circular A-133 fo ,exce. for Pa II,Item:7,8, rid 9a-9f,was transferred for the period described in Part I, Items 1 and 3; (2)the from the . ditor' eport(s)f•.r the ,eriod described in Part I,Items auditor has completed such audit and presented a signed 1 and 3.and i of a su•- itu - for such res,!•s.The auditor audit report which states that the audit was conducted in has not p=.• ed any au',iting • ocedure ce = date of the accordance with the provisions of the Circular;and,(3) auditor's report(s).A cop. of th- repo • package ••.uired by the information included in Parts I,ll,and III of this OMB Circular A-133,w ch in.u.- I e corn. - - audl• s data collection form is accurate and complete. I declare report(s),is available it its e • -ty from t.. -uditee the -.dress that the foregoing is true and correct. provided in Part I of is form.As res ' ed by OM: ircular 33, the information in Pa II an• of this form -s ent- -din 's form by the auditor bas • information incl sed in I.- re.siting Auditee certification Date package.The auditor has not performed a additio -I audit' . procedures in connection with the comp- ion of his f•• . ELECTRONICALLY CERTIFIED 2/412010 7a. Add Secondary auditor info ion? •pts• al) Name of certifying official I ❑Yes 2®No b. If"Yes,"complete Part I,Item 8 on th, conti ation BETTE SCHOENHOLTZ sheet on page 5. Title of certifying official Auditor certification sate EXECUTIVE DIRECTOR ELECTRONICALLY CERTIFIED 1/2 010 • INTERNET REPORT ID:360259 VERSION:1 Primary EIN: .3 6 — 2f 7 7 5 11 912 PART II FINANCIAL STATEMENTS (To be completed by,auditor) 1. Type of audit report Mark either: 1 0 Unqualified opinion OR any combination of: 2 ❑ Qualified opinion 3❑ Adverse opinion 4❑Disclaimer of opinion 2. Is a"going concern"explanatory paragraph included in the audit report? 1 ❑Yes 2 0 No 3. Is a significant deficiency disclosed? 1 ❑Yes 2 O No—SKIP to Item 5 4. Is any significant deficiency reported as a material weakness? I ❑Yes 2❑No 5. Is a material •. compl: ce disclosed? 1 ❑Yes 2 IE No P4' 11 DE•AL PROGRAMS (To be completed by auditor) 1. Does th- -udit. s re,ort include a statement that the auditees financial { en .ude•epartments, .•-ncies,or other organizational units expen ' g$'60,004 or more in 'ed--:I awards that have separate A-133 audits w 'ch are At included' this a :'t?(AICPA Audit Guide, Chapter 12) 1 ❑Yes 2 al No 2. What is t - doll.r thres••Id to .' tingu Ty.- A and Type B programs? $ 300,000 (OMB Ci ular '-133 ; .52• b)) 3. Did the audits: strati =s a to -risk auditee? • .530) 1 0 Yes 2❑No 4. Is a significant deficiency dis•osed for any m-'.r program?( .510(a)(1)) 1 ❑Yes 2©No—SKIP to Item 6 5. Is any significant deficiency ported for a•y maj••program :s a terial weakness?(§_.510(a)(1 1❑Yes 2❑No 6. Are any known questioned costs report d?(,_.510(a)(3)or 1❑Yes 2 0 No 7. Were Prior Audit Findings related to dir- t fu •' • .•wn in the S mary ;ciedule of Prior Audit Findings?(§_.315(b)) i❑Yes 2©No 8. Indicate which Federal agency(ies)have curren year audit dings re-ted to dire• nding or prior audit findings shown in the Summary Schedule of Prior Audit Findings related to •irect ndin! (Mark )all 'at apply or None) • 98❑ U.S.Agency for Inter- • ❑ ation. Aeron.• 'cs and 96❑ Social Security national Development '.pa Admi trate• Administration • 10❑ Agriculture 39❑ General Services Administration :9❑ - Tonal chives . d 19❑ U.S.Department 23❑ Appalachian Regional 93❑ Health and Human Services -ecord•Admin•rati. of State Commission 97❑ Homeland Security o 'I at'•, al En..wme for o El Transportation 11❑ Commerce Arts 21❑ Treasury 14❑ Housing and Urban 94❑ Corporation for National Development 06■ ' ation. Endo -nt fo and Community Service 93 CIInstitute of Museum and the. manicies 12❑ Defense Library Services 47 111 .,-tional Scie e 64 P eters Affairs oundation 84❑ Education 15❑ Interior oo IN N•-• 81 CI Energy16❑ Justice 07❑ office of N- Tonal j•-! ► Other pec ontrol P.icy • 66❑ Environmental 17❑ Labor 59❑ Small Bu '•ess 1 Protection Agency os❑ Legal Services Corporation dministrati.• Page 2 FORM SF-SAC 18-6-2005) INTERNET REPORT ID:360259 VERSION: 1 1120/2010 4;32:59 PM (Page 3-#1 of 1) Primary EIN: 3 6 — 2 7 7I 5 1 0 2 (—PART III FEDERAL PROGRAMS—Continued N 9. FEDERAL AWARDS EXPENDED DURING FISCAL YEAR - 10. AUDIT FINDINGS CFDA Number Research Major program Federal I and Name of Federal Amount Direct It yes,type Type(s)of Audit finding 8 Agency I Extension 2 develop- program expended award Major compliance reference Prefix/ I meet program fefot audit requirement(s)4 number(s)5 (7) : (b) (c) (d) (e) (f) (9) (h) (a) (b) I 1 D YesSPECIAL PROGRAMS FOR THE AGING TITLE III,PART I 0 Yes i ®Yes 9 1 3 1 ,044 _2®No_ B $ 532,347.00 2®No 20 No U 0 N/A I 1(_l Yes SPECIAL PROGRAMS FOR THE AGING TITLE VII, 1 D Yes 1 D Yes 9 I 3 .041 21N No CHAPTER 3 $ 21,738 .00 2 No 2®No 0 N/A I I 1 D YeS SPECIAL PROG'•M FORT •AGING TITLE,III, •.RT 1 ]Yes 10 GS 9 ( 3 1 .0,4 2(.JX No 0 $ 14,'90.0 0 2 N Nc ® o 0 NIA 1 10 YES NATIONAL AMIL,CAR GIVE• SUPPORT,TITLE III, 1 ]Yes 1'II Y c. 9 I 3 I 052 . 2®No PARTE $ 128,158.0 0 2 XI Nc 2!3 No 0 N/A 111 Yes CAP •LAS- TANCE••OGR•M FOR EWE' PERSOA S 1 J Yes 1 Yes 2 I 0 i .513 .13X1 No AND PE SONS I DISAB ITIEs $ 50,>f44.0 0 2 XI Nc 2® o 0 N/A wI 'Yes RETIRED S. IOR I LUNTE-: PROGRAM TITL 1 Ti Yes 1 D YW 9 102 - Na--- PART A -'$'— 51,945-E0 2e 2®No 0 N/A 1 1 I I 1 D Yes 1 D Yes 1 D Yes . _ 2DNo $ .00 2DNo 2DNo 1 I 1 D Yes 1 D Yes 1 0 Yes � . 2DNo $ .00 2D No 20No I i 1DYes 1 CI Yes 1DYes I . 2DNo $ .00 20 No 20 No I ---- --- -- — — I 1 CI Yes 10 Yes i D Yes � . 2DNo $ .00 20No 2DNo TOTAL FEDERAL AWARDS EXPENDED 7 $ 798,992.00 1 See Appendix 1 of instructions for valid Federal Agency two-digit prefixes. 2 Or other identifying number when the Catalog of Federal Domestic Assistance(CFDA)number Is not available.(See Instructions) 3 If major program is marked"Yes,"enter only one letter(U=Unqualified opinion,(1=Qualified opinion,A=Adverse opinion,0=Disclaimer of opinion)corresponding to the type of audit report in the adjacent box.If major program is marked"No,"leave the type of audit report box blank. 4 Enter the letter(s)of all type(s)of compliance requirement(s)that apply to audit findings(i.e.,noncompliance,significant deficiency(including material weaknesses),questioned costs,fraud,and other items reported under§ .510(a))reported for each Federal program. A. Activities allowed or unallowed E. Eligibility I. Procurement and suspension L. Reporting B. Allowable costs/cost principles F. Equipment and real property management and debarment M. Subrecipient monitoring 'O C. Cash management G. Matching, level of effort,earmarking J. Program income N. Special tests and provisions DJ D. Davis—Bacon Act H. Period of availability of Federal funds K. Real property acquisition and O. None w5 N/A for NONE relocation assistance P. Other 10 pipmenummomemminiiro INTERNET REPORT ID:360259 VERSION:1 (page 5-#1 of 1) Primary EIN: 3 16 _ 2 7 7 5 1 0 2 ci(PART I GENERAL INFORMATION—Continued N 8. Part I, Item 8,Secondary Auditor's Contact Information.(List the Secondary Auditor's Contact information) 8 1. a. Secondary Auditor name 2. a. Secondary Auditor name 3. a. Secondary Auditor name N I A b. Secondary Auditor address(Number and street) b. Secondary Auditor address(Number and street) b. Secondary Auditor address(Number and street) City City City State ZIP+4 Code State ZIP+4 Code State ZIP+4 Code c. Secon9. .icor contact c econdary itor contact •. e.ondary Audi .r co ad Nance Nam Nam- • WAIL Title tle i d. •econdary Auditor cs tact telephone d. .econdary ,.=' •r cottact telephone d. Se,onda% Audi .r contact tele hone J )._ — ll1 1 1 e5ndary Audit. con :ct r AX . Seco •.ary Au.'or con.act FAX e. Seco'dary A .itor contadt FA _ f. Secondary Auditor contact E-mail f. Secondary Auditor contact E-mail f. `Secondary Auditor contact E-mail 4. a. Secondary Auditor name 5. a. Secondary Auditor name 6. a. Secondary Auditor name b. Secondary Auditor address(Number and street) b. Secondary Auditor address(Number and street) b. Secondary Auditor address(Number and street) City City City State ZIP+4 Code State ZIP+4 Code State ZIP+4 Code — c. Secondary Auditor contact c. Secondary Auditor contact c. Secondary Auditor contact Name Name Name Title Title Title d. Secondary Auditor contact telephone d. Secondary Auditor contact telephone d. Secondary Auditor contact telephone e. Secondary Auditor contact FAX e. Secondary Auditor contact FAX e. Secondary Auditor contact FAX f. Secondary Auditor contact E-mail f. Secondary Auditor contact E-mail f. Secondary Auditor contact E-mail -o , co co vi \ 2 SENIOR SERVICES ASSOCIATES, INC. FINANCIAL STATEMENTS AS OF SEPTEMBER 30,2010 AND 2009 TOGETHER WITH AUDITOR'S REPORT Dugan&Lopatka Certified Public Accountants&Consultants A Professional Corporation 104 East Roosevelt Road Michael J.Dugan Wheaton,Illinois 60187 T.Brett Flickinger Jerry L.Lopatka (630)665-4440 Karen M.Olson Mark F.Schultz Fax(630)665-5030 Hugh E.Elliott Peter J.Zich www.duganlopatka.com Leo M.Misdom e-mail:info(duganlopatka.com Gwen S.Henry INDEPENDENT AUDITOR'S REPORT To the Board of Directors of Senior Services Associates, Inc.: We have audited the accompanying statement of financial position of Senior Services Associates, Inc. (the Organization) as of September 30, 2010 and 2009, and the related statements of activities and cash flows for the years then ended and the statement of functional expenses for the year ended September 30, 2010. These financial statements are the responsibility of Senior Services Associates, Inc.'s management. Our responsibility is to express an opinion on these financial statements based on our audit. The 2009 summarized comparative information on the statement of functional expenses has been derived from the Organization's 2009 financial statements and, in our report dated January 8, 2010, we expressed an unqualified opinion on those financial statements. We conducted our audits in accordance with auditing standards generally accepted in the United States of America and the standards applicable to financial audits contained in Government Auditing Standards, issued by the Comptroller General of the United States. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatements. An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements. An audit also includes assessing the accounting principles used and significant estimates made by management, as well as evaluating the overall financial statement presentation. We believe that our audits provide a reasonable basis for our opinion. In our opinion, the financial statements referred to above present fairly, in all material respects, the financial position of Senior Services Associates, Inc. as of September 30, 2010 and 2009 and the changes in its net assets and its cash flows for the years then ended, in conformity with accounting principles generally accepted in the United States of America. In accordance with Government Auditing Standards, we have also issued our report dated December 7, 2010, on our consideration of Senior Service Associates, Inc.'s internal control over financial reporting and our tests on its compliance with certain provisions of laws, regulations, contracts, and grant agreements and other matters. The purpose of that report is to describe the scope of our testing of internal control over financial reporting and compliance and the results of that testing, and not to provide an opinion on the internal control over financial reporting or on compliance. That report is an integral part of an audit performed in accordance with Government Auditing Standards and should be considered in assessing the results of our audit. AFFILIATE IN PACT INTEGNA1IONAL NETWORK Of PROFESSIONAL ACCOUNTANTS Independent Auditor's Report Page two Our audit was conducted for the purpose of forming an opinion on the basic fmancial statements of Senior Services Associates, Inc. taken as a whole. The ac ompanying schedule of expenditures of federal awards is presented for purposes of additional ysis as required by U.S. Office of Management and Budget Circular A-133, Audits of States, Local Governments, and Non-Profit Organizations, and is not a required part of the basic financial Statements. The accompanying schedules of public support and revenue by counties and functional expenses by counties on Schedules 1 through 6 is presented for purposes of additional analysis, and is not a required part of the basic financial statements. Such information has been subjected to the auditihg audit' procedures applied in the audit of the basic financial statements and, in our opinion, is fairly stated, in all material respects, in relation to the basic financial statements taken as a whole, off kbgti: DU &LOPATKA Wheaton, Illinois December 7, 2010 EXHIBIT 1 SENIOR SERVICES ASSOCIATES, INC. STATEMENT OF FINANCIAL POSITION SEPTEMBER 30, 2010 AND 2009 2010 2009 ASSETS CURRENT ASSETS: Cash and cash equivalents $ 657,598 $ 251,885 Receivables- Grants 853,642 948,601 ' - Other 8,344 8,414 Prepaid expenses 20,760 13,057 Total current assets 1,540,344 1,221,957 PROPERTY AND EQUIPMENT: Land 20,000 20,000 Buildings 153,953 153,953 Building improvements 742,097 742,097 Furniture, fixtures and equipment 461,259 438,609 Vehicles 246,975 246,975 1,624,284 1,601,634 Less -Accumulated depreciation (1,224,197) (1,163,412) Net property and equipment 400,087 438,222 OTHER ASSETS: Security deposits 5,973 2,848 $ 1,946,404 $ 1,663,027 JJABILTI'mS AND NET ASSETS CURRENT LIABILITIES: Accounts payable $ 28,877 $ 10,164 Accrued payroll 187,084 130,792 Accrued vacation 91,762 107,452 Grant advance 57,103 15,129 Total liabilities 364,826 263,537 COMMITMENTS NET ASSETS: Unrestricted 1,581,578 1,399,490 $ 1,946,404 $ 1,663,027 The accompanying notes are an integral part of this statement. 1 ' EXHIBIT 2 Page 1 of 2 SENIOR SERVICES ASSOCIATES. INC. STATEMENT OF ACTIVITIES FOR THE YEARS ENDED SEPTEMBER 30. 2010 AND 2009 2010 2009 UNRESTRICTED ASSETS: Public Support- Northeastern lllinois Area on Aging $ 1,409,116 $ 1,299,148 Illinois Department on Aging 1,363,835 1,377,796 Grants 131,791 259,584 United Way 183,387 244,927 Counties, townships, and cities ' 701,170 636,211 Foundations ' 10,000 - Donations � 56,274 53,052 In-kind contributions 741,441 836,520 Miscellaneous 1,343 19,644 Total public support 4,598,357 4,726,882 Revenue- Transportation 12,033 34,313 Activities 86,087 76,157 Trip commissions 1,844 330 Membership dues ! 19,300 14,284 Fundraising 110,644 115,537 Project income 44,753 33,446 Newsletter 8,009 14,196 Miscellaneous 20,250 49,475 Total unrestricted revenue II 302,920 337,738 Total unrestricted public support and revenue II 4,901,277 5,064,620 Functional expenses - Program services- Transportation 169,306 288,577 Case Management 1,086,310 1,068,682 Information and Referral 929,685 972,809 Outreach 53,232 80,127 The accompanying notes are an integral part of this statement. EXHIBIT 2 Page 2 of 2 SENIOR SERVICES ASSOCIATES, INC_. STATEMENT OF ACTIVITIES FQR THE YEARS ENDED SEPTEMBER 30, 2010 AND 2009 2010 2009 UNRESTRICTED ASSETS: (Continued) Functional expenses- (Continued) Program services- (Continued) Ombudsman $ 145,532 $ 154,680 Multi-Purpose 565,458 516,999 Neighbor to Neighbor 32,687 61,534 Elder Abuse 369,637 407,736 Senior Companion 194,220 155,741 R.S.V.P. 85,003 89,685 Total unrestricted program services 3,631,070 3,796,570 Supporting services- Management and general 1,054,200 1,066,444 Fundraising 33,919 48,605 Total unrestricted supporting services 1,088,119 1,115,049 Total unrestricted functional expenses 4,719,189 4,911,619 CHANGE IN NET ASSETS 182,088 153,001 NET ASSETS, Beginning of year 1,399,490 1,246,489 NET ASSETS, End of year S 1,581,578 S 1,399,490 The accompanying notes are an integral part of this statement. EXHIBIT 3 SENIOR SERVICES ASSOCIATES, INC. STATEMENT OF CASH FLOWS FOR THE YEARS ENDED SEPTEMBER 30. 2010 AND 2009 2010 2009 CASH FLOWS FROM OPERATING ACTIVITIES: Cash received from public support and revenue $ 4,254,867 $ 3,732,479 Cash paid for program services, employees and suppliers (3,825,522) (4,143,787) Cash paid for interest (982) - Net cash provided by(used in) operating activities 428,363 (411,308) CASH FLOWS FROM INVESTING ACTIVITIES: Purchases of property and equipment (22,650) (50,941) NET CHANGE IN CASH AND CASH EQUIVALENTS 405,713 (462,249) CASH AND CASH EQUIVALENTS, Beginning of year 251,885 714,134 CASH AND CASH EQUIVALENTS, End of year $ 657,598 $ 251,885 • RECONCILIATION OF CHANGE IN NET ASSETS TO NET CASH PROVIDED BY(USED IN) OPERATING ACTIVITIES: Change in net assets $ 182,088 $ 153,001 Adjustments to reconcile change in net assets to net cash provided by (used in) operating activities: Depreciation 60,785 55,445 Change in assets and liabilities: (Increase) decrease in receivables 95,029 (495,621) (Increase) decrease in prepaid expenses (7,703) 7,161 (Increase) in security deposits (3,125) - Increase(decrease)in accounts payable 18,713 (43,540) Increase(decrease) in accrued expenses and grant advance l 82,576 (87,754) Net adjustments . 246,275 (564,309) Net cash provided by (used in) operating activities $ 428,363 $ (411,308) The accompanying notes are an integral part of this statement. EXHIBIT 4 Page 1of2 SE2LOR SERVICESASSOCIAT S INf' STA .MENT OF FUNCTIONAL EXPENSES EOR;TIlE YEAR ENDED SEPIEMEER 30.2010 (with comparative totals for 20091 Case lnfotrtration Multi- Neighbor to Transportation Management and Referral Outreach Ombudsman Purpose Neighbor Salaries S 59,678 $ 612,332 S 458,314 S 15,929 $ 94.622 S 170,011 S 16,473 Payroll taxes 4,266 42,887 31,371 1,110 5,897 10,653 1,296 Employee benefits 7,167 74.431 43,300 1,039 14,198 19,723 3,740 Training 208 2,206 1,231 51 201 359 112 Vehicle insurance 5,707 - - 558 - - - Building insurance 468 3,920 2,720 164 501 6,495 206 Other insurance 462 3,327 1,740 59 282 124 314 Travel 4,193 21,900 10,260 820 4,829 3,905 314 Supplies 1,287 11,238 7,456 481 1,200 65,359 338 Maintenance and repairs 1,466 1,761 1,711 197 296 8,328 11 Occupancy 4,685 36,471 24,595 2,074 4,591 53.893 - Telephone 1,604 14,755 9,629 330 1,743 2,732 369 Printing and duplication 1,342 2,328 5,412 1,225 279 989 352 Dues and subscriptions 263 2,115 1,993 172 258 3,018 114 Advertising 600 4,548 6,104 2,413 412 1,530 290 Newsletter - 220 11,960 499 - - - Project expense • - - 19,470 3,427 - 33,561 - Postage 844 7,357 10,552 4,320 789 2,305 260 Professional services 591 3,630 5,567 120 480 674 372 Contractual services 3,134 31,299 21,396 1,135 3,479 4,373 1,097 In-kind-Personnel 38,682 53,295 244,225 16,565 9,147 123,433 5,422 Small fixtures - - 685 - - - - Interest 39 269 158 6 24 162 18 Miscellaneous 401 3,593 2,201 97 388 2,048 242 Volunteer expenses 8,772 8 5 - 1 - 993 Grant funded client services - 7,180 - - - - - Client services 11,807 127,620 - - - 1,707 - Activity trips - - - - - 44,776 - Title 111-b(e) - 1,540 - - - - - Other expenses - - - - - 1,879 - Total before depreciation 157,666 1,070,230 922,055 52,791 143,617 562,237 32,333 Depreciation 11,640 16,080 7,630 441 1,915- 3,221 354 Total functional expenses S 169.306 $ 1.086,310 8 929,685 $ 53,232 $ 145,532 $ 565,458 $ 32,687 • The accompanying notes are an integral part of this statement. • EXHIBIT 4 Page 2of2 SENIOR SERVICES ASSOCIATES.INC. TfATEMENTQF FUNCTIONAL EXPENSES FOR THE YEAR ENDED SABER 30.2010 (,wilb_entnparallye totals fmr 2.0091 • Elder Senior Management 2010 2009 Abuse Companion R.S.V.P. and General Fundraising Total Total Salaries S 251,321 S 55.103 S 51,091 S 569,743 S 1,897 S 2,356,514 S 2,446,199 Payroll taxes 17,639 3,658 3,830 39,625 121 162,353 167,674 Employee benefits 25.311 5,448 2,553 65,630 13 262,553 243,358 Training 537 79 214 1.877 - 7,075 13.741 Vehicle insurance - - 589 - 6,854 13,076 Building insurance 1,099 166 - 3.92619,665 24,890 Other insurance 546 (76) 20 2,739 - 9,537 6,458 Travel 9,099 2,338 1,175 19,110 840 78,783 82,427 Supplies 2,702 482 260 14,622 114 105,539 82,040 Maintenance and repairs 570 7 - 2,423 16.770 66.070 Occupancy 7,294 800 - 35,471 - 169.874 153,227 Telephone 5,711 320 66 13,190 . 50,449 51,577 Printing and duplication 527 - 534 195 3,099 665 16,947 15,196 Dues and subscriptions 909 48 126 2,249 - 11,265 12,554 Advertising 1,109 881 1 4,791 - 72,679 30,187 Newsletter - - 2,866 - 15,545 17,027 - - Project expense - --- - - - - 6,989 - - - - - -76- - - -63 323 69.885 Postage- - - - - - - - - - - - - - - - - - 1,763 960 910 7,898 895 38,853 28,769 Professional services 1,004 203 - 3,944 - 16,585 19.789 Contractual services 6,977 617 326 27,364 - 101,397 117,436 In-kind-Personnel 21,270 119,149 - 110.253 - 741,441 836,521 Small fixtures - - 153 - 840 12,789 Interest 62 4 - 240 - 982 - Miscellaneous 904 104 - 3,216 - 13,194 11,228 Volunteer expenses 2 810 24,236 1,612 29,298 65,737 88,145 Grant funded client services 1,574 - 4,956 - 13,710 11,461 Client services 7.687 1,555 86,638 - 237,014 180,784 Activity trips - 3,370 - 48,146 34,947 Title 111-b(e) - - 1,016 - 2,556 1,474 Other expenses - 4 - 141 - 2,024 17,245 Total before depreciation 365,617 193,194 85,003 1,039,742 33,919 4,658,404 4,856,174 Depreciation 4,020 1,026 - 14,458 - 60.785 55,445 Total functional expenses S 369,637 S 194,22() S 85,003 S 1,054,200 S 33,919 S 4.719,189 S 4.911,619 The accompanying notes are an integral pan of this statement. SENIOR SERVICES ASSOCIATES, INC. NOTES TO FINANCIAL STATEMENTS SEPTEMBER 30, 2010 AND 2009 (11 SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES: Senior Services Associates, Inc. (the Organization) is an Illinois non-profit corporation. The Organization is dedicated to sustaining and improving the quality of Iife for mature adults throughout Kane, Kendall, and McHenry Counties by providing access to the social services they need. The Organization is dedicated to preserving independence, promoting mental and physical well being, and protecting the rights and dignity of mature adults. The financial statements were available to be issued on December 7, 2010, with subsequent events being evaluated through this date. The following is a brief summary of the accounting policies adopted by the Organization: Accountinn Method - The records of the Organization are maintained and the financial statements have been prepared on the accrual basis of accounting. Property and Equipment- Property and equipment is recorded at cost or, if donated, at fair market value on the date donated. The Organization generally capitalizes additions of $500 or more. Depreciation is computed using the straight-line method over the estimated useful lives of the assets as follows: Asset Type Life Buildings 15 -25 Years Furniture, fixtures and equipment 5 - 10 Years Vehicles 5 - 10 Years Building improvements 10- 25 Years Allocation of Expenses - Expenses are allocated to the various programs either directly as incurred and applicable or by a percentage of staff dice spent within each program area. Credit Risk- Financial instruments which potentially.subject the Organization to concentrations of credit risk consist principally of cash. The Organization places us cash and deposits with high credit quality financial institutions; however, deposits may exceed the federally insured limits from time to time. Cash and Cash Eouivalents - For purposes of the statement of cash flows, the Organization considers all highly liquid instruments with an initial maturity of three months or less to be cash equivalents. - 2- (1) SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES: (Continued) Restricted Resources- Contributions that are restricted by the donor are repo ed as increases in unrestricted net assets if the restrictions expire in the reporting period in which the evenue is recognized. All other donor- restricted contributions received are reported as increases ' temporarily restricted or permanently restricted support, depending on the existence and/or nature o any donor restrictions. When a donor restriction expires, that is, when a stipulated time restriction nds or the purpose of the restriction is accomplished, temporarily restricted net assets are reclassified to unrestricted net assets and reported in the statement of activities as net assets released from restrictions. • The Organization reports gifts of land, buildings, and equipment as unrestricted support unless explicit donor stipulations specify how the donated assets must be used. Gifts of long-lived assets with explicit restrictions that specify how the assets are to be used and gifts of cash or other assets that must I be used to acquire long-lived assets are reported as restricted support. Absent explicit donor stipulations about how long those long-lived assets must be maintained, the Organization reports expirations of donor restrictions when the donated or acquired long-lived assets are placed in service. Estimates - The Organization prepares its financial statements according to accounting principles generally accepted in the United States of America which require the use of estimates and assumptions that affect certain reported amounts and disclosures. Actual results could differ from those estimates. Bad Debts - The Organization utilizes the direct write-off method foi bad debts. Significant losses are not anticipated from the present receivable balance. 4 Advertising - Advertising expenses are charged as incurred. Advertising expenses for September 30, 2010 and 2009 were$22,679 and $30,187, respectively. Comparative Information- The financial statements included certain prior-year summarized comparative information in total but not by net asset class, Such information does not include sufficient detail to constitute a presentation in conformity with generally accepted accounting principles. Accordingly, such information should be read in conjunction with the Organization's financial statements for the year ended September 30, 2009, from which the summarized information was derived. - 3- (21 LINE OF CREDIT: At September 30, 2010, the Organization has available a $300,000 line of credit due in February, 2011. Interest is at prime and the line is secured by the Organization's assets. Tne Organization has no outstanding balance on the line of credit as of September 30, 2010 and 2009. (31 TAX-EXEMPT STATUS: The Organization has been determined by the Internal Revenue Service to be exempt from federal income taxes under Section 501(c)(3) of the Internal Revenue Code. Accordingly, no provision for income tax has been established. The Organization files income tax returns in the U.S. federal jurisdiction and Illinois. With few exceptions, the Organization is no longer subject to U.S. federal, state and local, or non-U.S. income tax examinations by tax authorities for years before 2006. The Organization does not expect a material net change in unrecognized tax benefits in the next twelve months. 4' BUILDING AGREEMENT: During 1981 and 1982, the City of Elgin received federal funds through a Housing and Community Development Block Grant to purchase and rehabilitate a senior center. The Organization entered into an agreement with the City to operate the senior center. The agreement contains restrictive covenants which the Organization must comply with. If it does not comply with the covenants, then ownership of the senior center reverts back to the City. These covenants are primarily: 1) the facility must be properly used, 2) the building may not be leased without prior approval, and 3) adequate insurance must be carried. All restrictive covenants have been met for the years ended September 30, 2010 and 2009. (51 COMMITMENTS: The Organization is leasing additional office space under operating leases that expire at various dates through October, 2015. Rent expense for the years ended September 30, 2010 and 2009 was $123,096 and$112,766, respectively. The Organization also leases office equipment under operating leases that expire at various dates through October, 2010. Rent expense for the years ended September 30, 2010 and 2009 was $10,559 and$8,783, respectively. Future minimum rental commitments as of September 30, 2010 are as follows: 2011 $ 56,529 2012 60,654 2013 63,093 2014 24,927 2015 13,000 - 4 - (6) IN-KIND CONTRIBUTIONS AND EXPENSES: Certain contributed services and expenses have been recorded, based upon their estimated fair market value, on the date of contribution as follows: 2010 2009 In-kind contributions S 7�1.441 LIQ In-kind expenses: Personal services §.._14-1-4-41 5_156.520 (7) PROFIT-SHARING PLAN: The Organization has a defined contribution profit-sharing plan (401(k)) covering all full-time employees who have met certain service requirements. The plan provides for discretionary matching contributions up to 3% of the employee's salary by the Organization, up to a maximum amount permitted under the Internal Revenue Code. The profit-sharing expense for the years ended September 30, 2010 and 2009 is $41,098 and$44,890, respectively. (8) CONCENTRATION OF GRANTS: The Organization received approximately 57% and 53% of its total public support and revenue from a grant from Northeastern Illinois Area on Aging and Illinlois Department on Aging for the years ended September 30, 2010 and 2009, respectively. (9) CONTINGENCIES: The Organization has been named as a defendant in a lawsuit. Management believes that this claim is adequately covered by existing insurance policies, or is without merit and will not have a material adverse effect on the financial position of the Organization. I - 4 - (61 IN-KIND CONTRIBUTIONS AND EXPENSES: Certain contributed services and expenses have been recorded, based upon their estimated fair market value, on the date of contribution as follows: 2010 2009 In-kind contributions $ 74�� $ 836.f2 . In-kind expenses: Personal services I-241.441 ,i 52 (7) PROFIT-SHARING PLAN: The Organization has a defined contribution profit-sharing plan (401(k)) covering all full-time employees who have met certain service requirements. The plan provides for discretionary matching contributions up to 3% of the employee's salary by the Organization, up to a maximum amount permitted under the Internal Revenue Code. The profit-sharing expense for the years ended September 30, 2010 and 2009 is $41,098 and$44,890, respectively. (8) CONCENTRATION OF GRANTS: The Organization received approximately 57% and 53% of its total public support and revenue from a grant from Northeastern Illinois Area on Aging and Illinois Department on Aging for the years ended September 30, 2010 and 2009, respectively. (9) CONTINGENCIES: The Organization has been named as a defendant in a lawsuit. Management believes that this claim is adequately covered by existing insurance policies, or is without merit and will not have a material adverse effect on the financial position of the Organization. Dugan&Lopatka Certified Public Accountants&Consultants A Professional Corporation 104 East Roosevelt Road Michael J.Dugan Wheaton,Illinois 60187 T.Brett Flickinger Jerry L.Lopatka (630)665-4440 Karen M.Olson Mark F.Schultz Fax(630)665-5030 Hugh E.Elliott Peter J.Zich www.duganlopatka.com Leo M.Misdom e-mail:info@duganlopatka.com Gwen S.Henry INDEPENDENT AUDITOR'S PORT ON INTERNAL CONTROL OVER FTNA CIAL REPORTING AND ON COMPLIANCE AND OTHER TTERS BASED ON AN AUDIT OF FINANCIAL STATEME S PERFORMED IN ACCORDANCE WITH GOVERNMENT A !TING STANDARDS • To the Board of Directors of Senior Services Associates, Inc.: 4 We have audited the financial statements of Senior Services Associates, Inc. (the Organisation) as of and for the year ended September 30, 2010, and have issued our report thereon dated December 7, 2010. We conducted our audit in accordance with auditing standards generally accepted in the United States of America and the standards applicable to financial audits contained in Governmental Auditing Standards, issued by the Comptroller General of the United States. Internal Control Over Financial Reporting- In planning and performing our audit, we considered the Organization's internal control over financial reporting as a basis for designing our auditing procedures for the purpose of expressing our opinion on the financial statements, but not for the purpose of expressing an opinion on the effectiveness of the Organization's internal control over financial reporting. Accordingly, we do not express an opinion on the effectiveness of the Organization's inr&rnal control over financial reporting. A deficiency in internal control exists when the design or i operation of a control does not allow management or employees, in the normal course of performing their,assigned functions, to prevent or detect and correct misstatements on a timely basis. A material weakness is a deficiency, or a combination of deficiencies, in internal control such that there is a reasonable possibility that a material misstatement of the entity's financial statements will not be prevented, or detected and corrected on a timely basis. Our consideration of internal control over financial reportin was for the limited purpose described in the first paragraph of this section and would not necessarily identify all deficiencies in internal control over financial reporting that might be deficiencies, significant deficiencies or material weaknesses. We did not identify any deficiencies in internal over financial reporting that we consider to be material weaknesses, as defined above. A71ILIATt IN PACT INTERNATIONAL NE1WORK O, PROFESSIONAL ACCOUNTANTS I Independent Auditor's Report on internal Control Over Finanrial Reporting and on Compliance and Other Matters Based on an Audit of Financial Statements Performed in Accordance with Government Auditing Standards Page two Compliance and Other Matters- As part of obtaining reasonable assurance about whether the Organization's financial statements are free of material misstatement, we performed tests of its compliance with certain provisions of laws, regulations, contracts, grant agreements, noncompliance with which could have a direct and material effect on the determination of financial statement amounts. However, providing an opinion on compliance with those provisions was not an objective of our audit and, accordingly, we do not empress such an opinion. The results of our tests disclosed no instances of noncompliance or other matters that are required to be reported under Government Auditing Standards. * * ** * * * This report is intended solely for the information and use of the Board of Directors, management, others within the Organization and federal awarding agencies and pass-through entities and is not intended to be used by anyone other than these specified parties. 1L,r, 4 DUGAN & LOPATKA Wheaton, Illinois December 7, 2010 Dugan&Lopatka Certified Public Accountants&Co ultants A Professional Corporation 104 East Roosevelt Road Michael J.Dugan Wheaton,Illinois 60187 T.Brett Flickinger Jerry L.Lopatka (630)665-4440 Karen M.Olson Mark F.Schultz Fax(630)665-5030 Hugh E.Elliott Peter J.Zich www.dugan.lopatka.com Leo M.Misdom e-mail:into4duganlopaika.com Gwen S.Henry • • INDEPENDENT AUDITOR'S REPORT ON COMPLIANCE WITH REQUIREMENTS THAT COULD HAVE A DIRECT AND MATERIAL EFFECT ON EACH MAJOR PROGRAM AND INTERNAL CONTROL O R COMPLIANCE IN ACCORDANCE WITH OMB CIR ULAR A-133 I To the Board of Directors of Senior Services Associates, Inc. Compliance - We have audited Senior Services Associates, Inc.'s (the Organization) compliance with the types of compliance requirements described in DMB Circular A-433 Compliance Supplement that could have a direct and material effect in each of the Organization's major federal programs for the year ended September 30, 2010. The Organization's major federal programs are identified in the summary of auditor's results section of the accompanying schedule of findings and questioned costs. Compliance with the requirements of laws, regulations, contracts and grants applicable to each of its major federal programs is the responsibility of the Organization's management. Our responsibility is to express an opinion on the Organi7ation's compliance based on our audit. We conducted our audit of compliance in accordance with auditing standards generally accepted in the United States of America; the standards applicable to financial audits contained in Government Auditing Standards, issued by the Comptroller General of the United States; and OMB Circular A-133, Audits of States, Local Governments, and Non-Profu Organizations. Those standards and OMB Circular A-133 require that we plan and perform the audit to obtain reasonable assurance about whether noncompliance with the types of compliance requirements referred to above that could have a direct and material effect on a major federal program occurred. An audit includes examining, on a test basis, evidence about the Organization's compliance with those requirements and performing such other procedures as we considered necessary in the circumstances. We believe that our audit provides a reasonable basis for our opinion. Our audit does not proyide a legal determination on the Organization's compliance with those requirements. In our opinion, the Organization complied, in all material respects, with the compliance requirements referred to above that could have a direct and material effect on each of its major federal programs for the year ended September 30, 2010. A.FFILI ATE . INPAC T INTERNATIONAL NLTWORF 0? PROFESSIONAL ACCOUNTANTS Independent Auditor's Report on Compliance with Requirements That Could Have a Direct and Material Effect on Each Major Program and Internal Control over Complianre in Accordance with OMB Circular A-133 Page two Internal Control Over Compliance - Management of the Organi7arion is responsible for establishing and maintaining effective internal control over compliance with requirements of laws, regulations, contracts and grants applicable to federal programs. In planning and performing our audit, we considered the Organization's internal control over compliance with requirements that could have a direct and material effect on a major federal program in order to determine our auditing procedures for the purpose of expressing our opinion on compliance and to test and report on internal control over compliance in accordance with OMB Circular A-133, but not for the purpose of expressing an opinion on the effectiveness of internal control over compliance. Accordingly, we do not express an opinion on the effectiveness of the Organization's internal control over compliance. A deficiency in internal control over compliance exists when the design or operation of a control over compliance does not allow management or employees, in the normal course of performing their assigned functions, to prevent, or detect and correct, noncompliance with a type of compliance requirement of a federal program on a timely basis. A material weakness in internal control over compliance is a deficiency, or combination of deficiencies, in internal control over compliance, such that there is a reasonable possibility that material noncompliance with a type of compliance requirement of a federal program will not be prevented, or detected and corrected on a timely basis. Our consideration of internal control over compliance was for the limited purpose described in the first paragraph of this section and was not designed to identify all deficiencies in internal control over compliance that might be deficiencies, significant deficiencies or material weaknesses. We did not identify any deficiencies in internal control over compliance that we consider to be material weaknesses, as defined above. * * * * * * * This report is intended solely for the information and use of the Board of Directors, management, others within the Organization and federal awarding agencies and pass-through entities and is not intended to be and should not be used by anyone other than those specified parties. ii1.4..... i "."-- /-,g7. D AN & LOPATKA Wheaton, Illinois December 7, 2010 • EXHIBIT 5 Page 1 of 2 • SENIOR SERVICES ASSOCIATES. INC. SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS FOR THE YEAR ENDED SEPTEMBER 30. 2010 Federal Total CFDA Program Program Title Pass Through Agencies Number Expenditures _ Department of Health and Human Services- Special Programs for the Aging Title III, Part B - Grants for Supportive Services and Senior Centers Northeastern Illinois Area Agency on Aging 93.044 $ 604,282* Special Programs for the Aging Title VII, Chapter 3 Prevention of Elder Abuse, Neglect, and Exploitation Northeastern Illinois Area Agency on Aging 93.041 21,394 Special Programs for the Aging Title III, Part D-Disease Prevention and Health Promotion Services Northeastern Illinois Area Agency_on Aging _ _ 93-.0443 - -17,40G - National Family Caregiver Support, Title III, Part E Northeastern Illinois Area Agency on Aging 93.052 33,617 Total Department of Health and Human Services 676,693 Corporation for National and Community Service- • Retired Senior Volunteer Program 94.002 50,402 TOTAL $ 727, 9 *Major Program E)"IHBIT 5 Page 2 of 2 SENIOR SERVICES ASSOCIATES. INC. NOTES TO SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS FOR THE YEAR ENDED SEPTEMBER 30. 2010 Note A -- Basis of Presentation: The accompanying schedule of expenditures of federal awards includes the federal grant activity of Senior Services Associates, Inc. and is presented on the accrual basis of accounting. The information in this schedule is presented in accordance with the requirements of OMB Circular A-133, Audits of Stares, Local Governments, and Non-Profit Organizations. Therefore, some amounts presented in this schedule may differ from amounts presented in, or used in the preparation of, the basic financial statements. Note B - Sub-Recipients: Senior Services Associates, Inc. did not provide any federal awards to sub-recipients during the year ended September 30, 2010. Note C - Non-Cash Awards: Senior Services Associates, Inc. did not have any outstanding federal loans or loan guarantees or insurance at September 30, 2010, and did not receive any federal non-cash awards during the year ended September 30, 2010. EXHIBIT 6 SENIOR SERVICES ASSOCIATES, INC. SCHEDULE OF FINDINGS AND OUESTIONED COSTS FOR THE YEAR ENDED SEPTEMBER 30. 2010 Part I: SUMMARY OF AUDIT RESULTS- 1. The auditor's report expresses an unqualified opinion on the financial statements of Senior Services Associates, Inc. 2. There were no significant deficiencies disclosed during the audit of the financial statements. 3. No instances of noncompliance material to the financial statements of Senior Services Associates, Inc. were disclosed during the audit. 4. There were no significant deficiencies disclosed during the audit of the major federal award programs. 5. The auditor's report on compliance for the major federal award programs for Senior Services Associates, Inc. expresses an unqualified opinion on all major federal programs. 6. Audit findings relative to the major federal award programs for Senior Services Associates, Inc. are reported in this Schedule. 7. The programs tested as major programs included: Special Programs for the Aging, Title III', Part B— Grants for Supportive Services and Senior Centers 93.044 8. The threshold for distinguishing Types A and B programs was $300,000. 9. Senior Services Associates, Inc. was determined to be a low-risk auditee. Part 2: FINDINGS-FINANCIAL STATEMENTS AUDIT (GAGAS) - None: There were no audit findings or questioned costs. Part 3: AUDIT FINDINGS AND OUES ZONED COSTS (MAJOR PROGRAMS CIRCULAR A-133) - None: There were no audit findings or questioned costs. EXHIBIT 7 SENIOR SERVICES ASSOCIATES, INC. SUMMARY SCHEDULE OF PRIOR AUDIT FINDINGS FOR THE YEAR ENDED SEPTEMBER 30, 2010 Summary of Prior Audit Findings - There were no prior audit findings reported. • Schedule 1 . Pate 1 of 2 a, .'V. a _. h. SCHEDULE OF PUBLIC SUPPORT AND REVENUE FOR TUE YEAR ENDED SEPTEMBER 30.2010 KANE COUNTY Case Information Neighbor to Elder Transportation Management and Referral Outreach Ombudsman Multi-Purpose Neighbor Abuse PUBLIC SUPPORT: Northeastern IL Area on Aging S 20,892 S 109,651 S 277,075 $ 13,345 S 53,511 5 138,044 S - S 204,025 IL Department on Aging - 734,126 - 1,0.40 - - Grants - 23,475 12,000 - 10,000 10,750 - United Way - 53,338 50,287 1,166 6,450 22,365 - 8,250 Counties,townships,and cities - 5,000 39,194 1,922 1,884 24,505 6,150 -• Foundations - - - - - - - - Donations 580 - 10,720 - 1,971 3,129 - In-kind contributions 10,057 45,151 35,332 776 5,939 30,098 5,463 13,185 Miscellaneous - 1 - - - 245 - - Total public support 31,529 970,742 424,608 17,209 68,824 227,228 25,492 225,460 REVENUE: Transportation 84 - - - - - - - Activities - - - - 30,528 - . Trip commissions _ - - - - - Membership dues 1,529 - - - - - 6,462 - Fundraising - - 11,264 - 6,546 - - 23,535 Project income ..14,858 - - 980 - Newsletter - - 7,537 - - - - • Miscellaneous - -- 1,112- - 1,090 - - -- - - - A8- 9363 Total revenue 1,613 1,112 34,749 - 6,594 39,891 7,442 23,535 Total public support and revenue $ 33,142 $ 971,854 S 459,357 S 17,209 S 75,418 $ 267,119 S 32,934 $ 248,995 Scbcdyle Me asl:2 of 2 SENIOR SERVICES ASSOCIATES.INC. SCHEDULE OF_FUNCTIONAL EXPENSES FOR THE YEAR ENDED SEPTEMBER 30,2010 KANE COUNTY Senior Fundraising Companion R.S.V.P. Tota] PUBLIC SUPPORT: Northeastern IL Area on Aging S - S - $ - S 816,543 IL Department on Aging - - - 735,166 Granas - - 56,225 United Way - - 141.856 Counties.townships,and cities - - - 78,655 Foundations - - - - Donations - 12,000 - 28,400 In-kind contributions - 5,295 - 151,296 Miscellaneous - - 246 Total public support - 17,295_ 2,008,387 REVENUE: Transportation - - 84 Activities - - - 30,528 Trip commissions - - - Membership dues - - - 7,991 Fundraising 13,751 - - 55,096 Project income - - - 15,838 Newsletter - - - 7,537 Miscellaneous - - - I1,613 Total revenue 13,751 - - 128,687 Total public support and revenue S 13,751 S 17,295 S $ 2,137,074 Schedule 2 rate I Of 2 SENIOR SERVICES ASSOCIATES.INC. SCHEDULE OF FUNCTIONAL EXPENSES FOR THE YEAR ENDED SEPTEMBER 30.2010 KANE COUNTY Case Information Neighbor To Elder Transportation Managesneot andltefcrtai Outreach Ombudsman Multi-Purpose Neighbor Abuse Salaries S 14,755 S 554,108 S 271,593 S 7,417 S 47,327 S 64,244 S 16,597 S 171,078 Payroll taxes 898 39,762 19,590 483 3,150 3,473 1,306 12,430 Employee benefits 2,165 71,609 23,552 334 .7.272 7,083 3,768 16,764 Training 68 2,225 845 18 128 88 113 376 Vehicle insurance 565 - - 565 - - - - Building insurance 142 3,061 1,379 41 226 5,442 208 699 Other insurance 48 2,890 778 8 170 (166) 316 476 Travel 121 16,103 4,449 146 2,720 955 316 6,374 Supplies 220 7,992 3,456 116 580 19,209 341 1,383 Maintenance and repairs 77 774 596 39 75 4,277 II 193 Occupancy 513 32,312 14,094 681 2,408 32,763 - 2,460 Telephone 269 11,751 5.710 100 931 1,017 377 3,930 Painting and duplication 86 2,601 2,548 1.224 267 819 355 524 Dues and subscriptions 96 2,020 1,455 26 156 1,614 114 587 Advertising 211 4,105 1,581 40 299 637 292 857 Newsletter - 365 9,500 91 - - _ - Project expense - - 23,890 3,470 - 36,087 - - Postage 187 5,845 4,161 956 428 1,155 262 972 Professional services 102 3,541 2,901 43 300 218 375 782 Contractual services 837 29.023 12,975 442 2,129 1,431 1,105 4,941 Registration and license _ 1n-kind-Personnel - - - 10,057- - - - -45,151 35,332 776 - - - 5,939 30,098 5,463 13,185 Small fixtures - - 840 - Interest 15 274 105 3 20 87 18 58 Miscellaneous 175 3,548 1.411 37 271 270 244 769 Volunteer expenses8 3 1 - 1,001 2 Grant funded client services5,978 - - 1,647 Client services 1,266 95,038 - 1,764,; - 4,500 Activity trips37,890 - Title 111-b(e) - - - - - - - Other expenses - - - - 25 - Total before depreciation 32,873 940,084 442,744 17,056 74,797 250,480 32,577 244,987 Depreciation 268 9,674 4,670 156 1,028 670 357 2,659 Total functional expenses 33,141 949,758 447,414 17,212 75,825 251,150 32,934 247.646 Change in net assets S . 1 S 22,096 S 11,943 5 (3) S (407) S 15,969 S - S 1,349 Schedule 2 • Pate 2 of 2 SENIOR SERVICES ASSOCIATES-INC. SCHIYDULE OF FUNCTIONAL EXPENSES FOR THE YEAR ENDED SEPTEMBER 30.2010 KANE COUNTY Senior Fundraising Companion R.S.V.P. Total Salaries S 176 S 7,870 S - S 1,155,165 Payroll taxes 13 529 - 81,634 4 Employee benefits 5 21 - 132,573 Training - - - 3,861 Vehicle insurance - - - 1,130 Building insurance - - - 11,198 Other insurance - (115) • 4,405 Travel 94 852 - 32,130 Supplies 61 12 - 33,370 Maintenance and repairs - - 6,042 Occupancy - - - 85,231 Telephone - - - 24.080 Printing and duplication 481 141 - 9,046 Dues and subscriptions - - - 6,068 Advertising - - - 8.022 Newsletter - - 9,956 Project expense - - - 63,447 Postage .. 75 - - 14,041 Professional services - - - 8,262 Contractual services - - - 52,883 Registration and license - - - - hr-kind-Personnel 5,295 - 151,296 Small fixtures - 840 Interest - Miscellaneous 580 - 6,725 Volunteer expenses 13,039 - - 14,054 Grant funded client services - - 7,625 Client services • - - 102,568 Activity trips • - 37,890 - title III-b(e) - Other expenses _ - - - 2$ Total before depreciation 13,944 14,605 - 2,064,147 Depreciation - - 19,482 Total functional expenses 13,944 14,605 - 2,083,629 Change in net assets f (193) S 2,690 S - f 53.445 $d1eduie 3 - Eggelof2 CPR S. EjAVICES ASSQci TE& 1NC. SCHEDULE OF PUBLIC SUPPORT AND REVENUE FOIZTHB YEAR ENDED SEPTEMBER 30.201Q MCHENRY COUNTY Case Information Neighbor to Elder Transportation Management and Referral Outreach Ombudsman Multi-Purpose Neighbor Abuse PUBLIC SUPPORT: Northeastern IL Area on Aging S 26,571 $ 62,914 $ 132,871 $ 5,624 S 25,961 $ 3.423 $ - S 123,907 IL Department on Aging - 443,071 - - 1,040 - - - Grants 2,500 - 10,488. - - - - - United Way - 4,664 18,378 998 11,184 547 - 998 Counties,townships,and cities 19,806 148,981 135,857 1,892 10,243 91,567 - 35,701 Foundations - - 10.000 - - - Donatiots - - 5,688 - - 1,016 - - In-kind contributions 31,585 30,731 241,400 15,213 2,878 69,482 - 7,753 Miscellaneous - - - - - 1,097 - - l'otalpublic support 80,462 690,361 554,682 23,727 51,306 167,132 - 168,359 REVENUE: l ransportation 5,482 - - - - - - - Activities - • - - • 40.352 - - Trip commissions - - - - - 1,645 - - Membership dues - - 3,306 - - - - Fundraising - • 3,707 4,985 12,355 - - - Project income - 402 13,856 • - - - - Newsletter - - 36 - - - - Miscellaneous - 6.284 - - Total rc,venue 5,482 402 20,905 4,985 12,355 48,281 - - Total public support and revenue $ 85,944 $ 690,763 $ 575,587 8 28,712 $ 63,661 S 215,413 S • S 168,359 $dtedule 3 Pam 2of2 SENIOR SERVICES ASSOCIATES,INC, SCHEDULE OF PUBLIC SUPPORT AND REVENUE FOR THE YEAR ENDED SEPTEMBER 30,2010 MCHENRY COUNTY Senior Fundraising Companion R.S.V.P. Total PUBLIC SUPPORT: Northeastern 1L Area on Aging S - S - S - S 381,271 IL Department on Aging - - 25,756 469,867 Grants - 7,500 50,402 70,890 United Way - 4,762 - 41,531 Counties,townships,and cities - 34,335 18,000 496,382 Foundations - - 10,000 Donations - - 150 6,854 In-kind contributions - 80,561 - 479,603 Miscellaneous - - 1,097 Total public support - 127,158 94,308 1,957,495 REVENUE: Transportation - - • - - 5,482 Activities - - 40,352 Trip commissions - - - 1,645 Membership dues - 5,761 - 9,067 Fundraising 12,324 6,579 - 39,950 Project Income - 210 - 14,468 Newsletter - - - 36 Miscellaneous - - - 6,284 Total revenue 12,324 12,550 - 117,284 Total public support arid revenue S 12,324 S 139,708 5 94,308 S 2,074,779 Schedule 4 . Pate 1 of 2 SENIOR SERVICES ASSOCIATF.,,S,INC. SCHEDULE OF FUNCTIONAL EXPENSES FOR THE YEAR ENDED SEPTEMBER 30,2010• MCHENRY COUNTY Case Information Neighbor to Elder Transportation Management and Referral Outreach Ombudsman Multi-Purpose Neighbor Abuse Salaries S 28,301 S 347,799 5 226,745 5 5,270 S 44,548 5 69,311 S - S 97,608 Payroll taxes 2,069 23,279 15,225 382 2,509 4,771 - 6,568 Employee benefits 2.375 38,910 26,524 401 5,591 7,042 - 10,603 Ttaining 101 1,016 505 16 61 115 - 167 Vehickinsurance 1,413 - - - - - - Building insurance 252 2,573 1,478 64 244 986 - 372 Other insurance 202 2,058 1,050 20 87 67 - 28 Travel 368 15,674 6,597 584 1,971 1,647 - 3,530 Supplies 714 7,760 3,993 116 475 28,270 - 1,117 Maintenance and repairs 30 1,132 982 88 190 4,155 - 377 Occupancy 2,321 24,215 14,002 659 2,317 14,944 - 5,562 Telephone 675 9,959 3,551 118 684 992 - 2,175 Printing and duplication 1,384 949 1,707 2 9 77 - 21 Dues and subscriptions 86 918 640 38 49 1,042 - 185 Advertising 290 2,833 5,172 2,369 89 733 - 281 Newsletter _ - 3,057 333 - - - _ Project expense _ _ _ - _ - - Postage 512 4,990 7,250 2,547 307 757 - 762 Professional services 238 1,911 2,308 43 172 323 - 302 Contractual services 1,829 16,691 8,578 246 1,010 1,730 - 1,930 In-kind-Personnel 31,585 30,731 241,400 15,213 2,878 69,482 - 7,753 Small fixtures . - - - - - - - - - Interest 14 135 69 1 2 53 - 5 Miscellaneous 192 1,788 952 24 88 1,527 - 125 Volunteer expenses 9,666 4 2 - - - - - Grant funded client services - 5,938 - - - - - 147 Client services 545 63,053 - - - 71 - 4,260 Activity trips - - - - - 4,943 - - Title 111-b(e) - _ _ - - _ Other expenses 925 Iota]before depreciation 85,162 604,316 571,787 28,534 63,281 213,963 - 143,878 Depreciation 782 15,228 3,798 179 760 1,452 - 1,452 Total functional expenses 85,944_ 619,544 575,585 28,713 64,041 215,415 - 145,330 Change in net assets S - S 71,219 S 2 S (I) S (380) $ (2) S - ..L._22,22L $cltedule 4 Page 2 of-2 SENIOR SERVICES ASSOCIATES,INC- SCHEDULE OF FUNCTIONAL EXPENSES FOR THE YEAR.ENDED SEPTEMBER 30.2010 MCHENRY COUNTY • Senior Fundraising Companion R.S.V.P. Total Salaries a S 458 $ 41.800 $ 52,536 5 914,376 Payroll taxes 27 2,755 3,938 61,523 Employee benefits 8 5,197 2,625 99,276 Training - 66 220 2,267 Vehicle insurance - - 1,413 Building insurance139 - 6,108 Other insurance15 21 3,548 Travel 228 1,482 1,208 33,289 Supplies 4 388 267 43,104 Maintenance and repairs - - - 6,954 Occupancy - 759 - 64,779 Telephone - 234 68 18,456 Printing and duplication 140 396 201 4,886 Dues and subscriptions - 28 130 3,116 Advertising - 875 I 12,643 Newsletter - - - 3,390 Project expense - - Postage 688 932 936 19,681 Professional services - 165 - 5,462 Contractual services - 475 335 32,824 In-kind-Personnel - 80,561 - 479,603 Small fixtures - - - - Interest - 3 - 282 Miscellaneous - 78 - 4,774 Volurdeer expenses 10,770 829 24,921 46,192 Grant funded client services - - - 6,085 Client services - 1,591 - 69,520 Activity tr ips - - - 4,943 Title I11-b(e) - - _ - Other expenses • - - 925 Iota'before depreciation 12,323 138,768 87,407 1,949,419 Depreciation - 938 - 24,589 Total tbnetional expenses 12,323 139,706 87,407 1,974,008 Change in net assets 5 1 $ 2 .5 6,901 5 100,771 • Sched ile 5 Pen 1 of 2 ENIOR SERVICES ASSOCIATESJI'C. SCHEDULE OF PUBUC SUPPORT AND REVENUE FOR THE YEAR ENDED SEPTEMBER 30.2010 KCENDALL COUNTY Case Information Neighbor to Elder Transportation Management and Referral Outreach Ombudsman Multi-Purpose Neighbor Abuse PUBLIC SUPPORT: Northeastern IL Area on Aging $ 31.030 S 54,010 S 81,721 5 5,861 $ 11,143 $ 2,201 S - 5 25,336 IL Department on Aging - 158.802 - - - - - - Grants - 4,676 - - - - - United Way - - - - - - Counties,townships,and cities 14,313 34,323 5,155 1,333 992 60,636 - 1,040 Foundations - - - - - - - Donations - - 6,744 - - 14,276 - - In-kind contributions 983 12,575 22,931 786 786 33,144 - 3,301 Miscellaneous - - - - - - - Total public support 46,326 264,386 116,551 7,980 12,921 110,257 - 29,677 REVENUE: Transportation 6,467 - - - - - - - Activities - - - - - 15,207 - - Trip corrttnissions - - . 199 - - Membership dues - - - - 2,242 - - Fundtaising 8,021 - - - - - - . Project income 2,524 - 727 - - 11,196 - - Newsletter - 436 = Miscellaneous - _ 2,353 - Total revenue 17,012 - 1,163 - - 31,197 - - Total public support and revenue S 63,338 $ 264,386 $ 117,714 S 7,980_ S 12,921 S 141,454 S - S 29,677 Schedule 5 Pane 2of2 _ SEL(1OR SERVICES ASSOCIATES.INC. SCHEDULE OE PUBLIC SUPPORT AND REVENUE FOR THE YEAR ENDED SEPTEMBER 30.2010 KENDALLCOUNTY Senior Fundraising Companion R.S.V.P. Total PUBLIC SUPPORT: Northeastern IL Area on Aging $ - $ - $ - S 211,302 IL Department on Aging - - - 158,802 Grants - - - 4,676 United Way - - - - Counties,townships,and cities - 8,341 - 126,133 Foundations - - - Donations - - - 21,020 In-kind contributions - 36,036 - 110,542 Miscellaneous - - - - Total public support44,377 - 632,475 REVENUE: Transportation - - - 6,467 Activities - - - 15,207 Trip conunissions - - - 199 Membership dues - - - 2,242 Fundraising 7,377 - - 15.59$ Project income - - - 14,447 Newsletter - 436 Miscellaneous - - - 2,353 Total revenue 7,577 - 56,949 Total public support and revenue S 7,577 S 44,377 5 - S 689,424 Schedule 6 Page 1 oft aEN10R SERVIC ASSOCIA ES.NC- SCHEDULE NCSCHEDULE OF FUNCTIONAL EXPENSES FOR THE YEAR ENDEDgPi t ER30.21)1Q KENDALL COUNTY Case Information Neighbor to Elder Transportation .Management andRefexral Outreach Ombudsman Multi-Purpose Neighbor Abuse Salaries S 22,705 S 114,411 $ 64,010 S 3,444 S 7,466 $ 49,253 S - $ 17,720 Pa)tolltaxes 1,734 8.141 3,677 259 532 3.211 - 1,103 Employee benefits 3,358 13,018 3,054 317 2,043 7,082 - 1,477 Training 60 420 160 18 22 183 - 69 Vehicle insurance 4,311 - - Building insurance 121 873 480 61 56 556 - 181 Other insurance 259 574 307 33 39 232 - 118 Travel 4,131 4,572 1,543 100 379 1,597 - 465 Supplies 484 2,901 1,700 255 205 22,799 - 579 Maintenance and repairs 1,508 1,016 521 72 46 523 - 80 Occupancy 2,329 4,006 2,082 760 95 10,243 - 290 Telephone 824 2,779 2,554 116 215 929 - 403 Printing and duplication 9 314 2,385 14 17 168 - 55 Dues and subscriptions 108 573 350 110 66 589 - 264 Advertising 160 611 737 35 44 275 - 126 Newsletter - 2,118 81 - - - - Project expenses - - - - - - - Postage 231 1,375 1,536 872 93 566 - 276 Prottasional services 311 573 1,622 36 32 184 - 60 Contractual services 787 6,234 4,700 461 513 1,756 - 1,083 Registration and license - - - - - - - - In-kind-Personnel 983 12.575 22,931 786 786 33,144 - 3,301 Small fixtures - - - - - - Interest 14 38 20 2 3 34 - 8 Miscellaneous 75 628 337 37 48 406 - 136 Volunteer expenses - 1 1 - - - - - Grant funded client services - - - - - - Client services 11,200 53,726 - - - - - - Activilytrips - • - - - - 5,313 - - Title Ill-b(e) - 2,556 - - - - - Oduer expenses - - - - - 1,070 - - . Total before depreciation 55,702 231,915 116,825 7.869 12,700 140,113 - 27,794 Depreciation 11,776 1,787 894 112 223 1,341 - 469 Total functional expenses 67,478 233.702 117,719 7,981 12,923 141,454 - 28.263 • Change in net assets S (4,140) $ 30.684 S (5) S (1), S (2) S - S - $ 1,414 Schedule 6 Pao 2of2 a.ENIQR SERVICES ASSOCIATE INC. Sp{DlnL OF FUNCTIONAL EXPENSES FOR THE YEAR ENDED SEPTEME R 30.29 4 KENDAL COUNTY • • • Senior Fundraising Companion RS.V.P. Total Salaries S 1,263 $ 6,701 S - 8 286,973 Payroll taxes 81 458 - 19,196 Employee benefits - 355 - 30,704 Training 15 - 947 • Vehicle insurance - - 4,311 Building insurance 31 2,359 Other insurance 22 - 1,584 Travel 518 59 - 13,364 Supplies 49 93 - 29,065 Maintenance and repairs - 8 - 3,774 Occupancy - 59 - 19,864 Telephone - 93 - 7,913 Printing and duplication 44 9 - 3,015 Dues and subscriptions - 21 - 2,081 Advertising - 26 - 2,014 • Newsletter - - 2,199 Project expenseS 76 - - 76 Postage 132 50 - 5,131 Professional services - 43 - 2,861 Contractual services - 156 - 15,690 Registration and license - - - In-kind-Personnel - 36,036 - 110,542 Small fixtures - - - - Interest - 1 - 120 Miscellaneous - 28 - 1,695 Volunteer expenses 5,489 - - 5,491 Grant funded client services - - - - Client services - - - 64,926 Activity nips - - - 5,313 Title 111-b(e) - - - 2,556 Other expenses - 4 - 1,074 Total before depreciation 7,652 44,268 - 644,838 . Depreciation - 11216,714 Total functional expenses 7,652 44,380 - 661,552 Change in Oct assets S (75) $ (3) $- S 27,872 2008K048718 SANDY WEGMAN RECORDATION REQUESTED BY: RECORDER-KANE COUNTY, IL National City Bank Grove RECORDED:61912008 3:35 PM 28 N Grove Ave REC FEE: $33.00 RHSPS:$10.00 Elgin, IL 60120 PAGES 12 National City Bank Small Business Banking 101 West Washington Street, /` O 700E �/ Indianapolis, IN 46255 SEND TAX NOTICES TO: Senior Services Associates, Inc. 101 S. Grove Ave. Elgin, IL 60120 FOR RECORDER'S USE ONLY This Mortgage prepared by: First American Title Insurance Co. Melinda Colyer for Natio,_ :a Lenders Advantage National City Bank Attn: NRIZtr 28 N Grove Ave 1100 Superior Avenue, Ste. 200 Elgin, IL 60120 Cleveland, Ohio 44114 MORTGAGE MAXIMUM LIEN. At no time shall the principal amount of Indebtedness secured by the Mortgage, not including sums advanced to protect the security of the Mortgage, exceed $300,000.00. THIS MORTGAGE dated Via/043, , is made and executed between Senior Services Associates, Inc. F/K/A Greater Elgin Senior Center, Inc., whose address is 101 S. Grove Ave.. Elgin. IL 60120; a Not for Profit Corporation (referred to below as "Grantor") and National City Bank, whose address is 28 N Grove Ave, Elgin. IL 60120 (referred to below as "Lender"). GRANT OF MORTGAGE. For valuable consideration, Grantor mortgages, warrants, and conveys to Lender all of Grantor's right, title, and interest in and to the following described'real property, together with all existing or subsequently erected or affixed buildings, improvements and fixtures; all easements, rights of way, and appurtenances; all water, water rights, watercourses and ditch rights (including stock in utilities with ditch or irrigation rights); and all other rights, royalties, and profits relating to the real property, including without limitation all minerals, oil, gas, geothermal and similar matters, (the "Reel Property") located in Kane County, State of Illinois: SITUATED IN THE COUNTY OF KANE AND STATE OF ILLINOIS: THAT PART OF LOTS S AND 19 IN BLOCK 13 OF THE ORIGINAL TOWN OF ELGIN ON THE EAST SIDE OF FOX RIVER, DESCRIBED AS FOLLOWS: BEGINNING AT THE POINT OF INTERSECTION OF THE EAST LINE OF SPRING STREET WITH THE SOUTH LINE OF FULTON STREET; THENCE EAST ALONG THE SOUTH LINE OF FULTON STREET (BEING THE NORTH LINE OF SAID LOTS 19 AND 8), 97.6 FEET TO A POINT 36 FEET WEST OF THE NORTHEAST CORNER OF SAID LOT 8; THENCE SOUTH • • MORTGAGE (Continued) Pape 2 PARALLEL WITH THE EAST LINE OF SAID LOT 8, 44.86 FEET; THENCE WEST PARALLEL WITH THE SOUTH LINE OF SAID FULTON STREET TO THE EASTERLY LINE OF GROVE AVENUE; THENCE NORTHERLY ALONG SAID EASTERLY LINE TO THE EAST LINE OF SAID SPRING STREET; THENCE NORTH ALONG SAID EAST LINE OF SPRING STREET, 44 FE TO THE POINT OF BEGINNING, IN THE CITY OF ELGIN, KANE COUNTY, ILUNOIS. /� The Real Property or its address is commonly known as 101 S. Gr. - e;—E-•tn, IL 60120-6407. The Real Property tax identification number is 06-13-309-001. CROSS-COLLATERALIZATION. In addition to the Nothi: ort•-•e secures all obligations, debts and liabilities, plus interest thereon, of Grantor to Lende , •rIn . - • ore of them, as well as all claims by Lender against Grantor or any one or more of the , h- - o • existing or hereafter arising, whether related or unrelated to the purpose of the Note, wheth:r to o • herwise, whether due or not due, direct or indirect, determined or undetermined, absolute or o Ing_ t, iquidated or unliquidated, whether Grantor may be liable individually or jointly with others, wh h: •b ' at=d as guarantor, surety, accommodation party or otherwise, and whether recovery upon such arncts a or hereafter may become barred by any statute of limitations, and whether the obligation to rip y s c amounts may be or hereafter may become otherwise unenforceable. 1\ REVOLVING LINE OF CREDIT. ,.peri y,'n dition to the amounts specified in the Indebtedness definition, and without limitation, this Mog e e res-.a revolving line of credit and shall secure not only the amount which Lender has present{ advce t' G ntor under the Note, but also any future amounts which Lender may advance to Grantor dea-the"t'lot w hin twenty (20) years from the date of this Mortgage to the same extant as if such future adv c w e ade as of the date of the execution of this Mortgage. The revolving line of credit obligates Lender ma advances to Grantor so long as Grantor complies with all the terms of the Note and Related Documents. Grantor presently assigns to Lender all of Grantor's right, title, and interest in and to all present and future leases of the Property and all Rents from the Property. In addition, Grantor grants to Lender a Uniform Commercial Code security interest in the Personal Property and Rents. THIS MORTGAGE, INCLUDING THE ASSIGNMENT OF RENTS AND THE SECURITY INTEREST IN THE RENTS AND PERSONAL PROPERTY, IS GIVEN TO SECURE (A) PAYMENT OF THE INDEBTEDNESS AND (BI PERFORMANCE OF ANY AND ALL OBLIGATIONS UNDER THE NOTE,THE RELATED DOCUMENTS, AND THIS MORTGAGE. THIS MORTGAGE IS INTENDED TO AND SHALL BE VAUD AND HAVE PRIORITY OVER ALL SUBSEQUENT LIENS AND ENCUMBRANCES, INCLUDING STATUTORY LIENS, EXCEPTING SOLELY TAXES AND ASSESSMENTS LEVIED ON THE REAL PROPERTY, TO THE EXTENT OF THE MAXIMUM AMOUNT SECURED HEREBY. THIS MORTGAGE IS GIVEN AND ACCEPTED ON THE FOLLOWING TERMS: PAYMENT AND PERFORMANCE. Except as otherwise provided in this Mortgage, Grantor shall pay to Lender all amounts secured by this Mortgage as they become due and shall strictly perform all of Grantor's obligations under this Mortgage. POSSESSION AND MAINTENANCE OF THE PROPERTY. Grantor agrees that Grantor's possession and use of the Property shall be governed by the following provisions: Possession and Use. Until Default, Grantor may (1) remain in possession and control of the Property; 12) use, operate or manage the Property; and (3) collect the Rents from the Property. Duty to Maintain.. Grantor snail maintain the Property in tenantable condition and promptly perform all repairs, replacements, and maintenance necessary to preserve its value. Compliance With Environmental Laws. Grantor represents and warrants to Lender that: (1) During the period of Grantor's ownership of the Property, there has been no use, generation, manufacture, storage, treatment, disposal, release or threatened release of any Hazardous Substance by any person on, under, i I . I , MORTGAGE (Continued} Page 3 I about or from the Property; (2) Grantor has no knowledge of, or reason to believe that there has been, except as previously disclosed to and acknowledged by Lender in writing, (a) any breach or violation of any Environmental Laws, (b) any use, generation, manufactur , storage. treatment, disposal, release or ! threatened release of any Hazardous Substance on, under, about or fr. • the Property by any prior owners or occupants of the Property, or (c) any actual or threatened litigation .r . aims of any kind by any person relating to such matters; and (3) Except as previously disclosed to :n. acknowledged by Lender in writing, (a) neither Grantor nor any tenant, contractor, agent or oth- a • iz-• user of the Property shall use, generate, manufacture, store, treat, dispose of or releas y . :rd. s 'ubstance on, under, about or from the Property; and (b) any such activity shall be .001 •.mpliance with all applicable federal, state, and local taws, regulations and ordinances, i. .in• wit.. t limitation all Environmental Laws. Grantor authorizes Lender and its agents to enter ..• he 'ro••erty to make such inspections and tests, at Grantor's expense, as Lender may deem ap.r.pri-te o .:t r ire compliance of the Property with i this section of the Mortgage. Any inspections or e • :•. b ' : der shall be for Lender's purposes only and shall not be construed to create any respo. kis . ia•'Ii ' on the part of Lender to Grantor or to any other person. The representations and warra ti;- •n :'ne• .=rein are based on Grantor's due diligence in investigating the Property for Hazardous Subs.:n -s. r: tor hereby (1) releases and waives any future claims against Lender for indemnity or contrib .• i the event Grantor becomes liable for cleanup or other costs under any such laws; and (2) agr-e o ' •_ ,nify, defend, and hold harmless Lender against any and ail claims, losses, liabilities, damaged, pen ti s, and expenses which Lender may directly or indirectly sustain or suffer resulting from a br-- . �'of ' ction of the Mortgage or as a consequence of any use, generation, manufacture, storage o4--r lease or threatened release occurring prior to Grantor's 1 ownership or interest in th- • .p; t w t r or not the same was or should have been known to Grantor. The provisions of this sect •n •f e iortgage, including the obligation to indemnify and defend, snail survive the payment oe In. -.t-•n:-- and the satisfaction and reconveyance of the lien of this Mortgage and shall not be affect-• b Leer s acquisition of any interest i the Property, whether by foreclosure or otherwise. Nuisance, Waste. Grantor shall not cause, conduct or permit any nuisance nor commit, permit, or suffer any stripping of or waste on or to the Property or any portion of the Property. Without limiting the generality of the foregoing, Grantor will riot remove, or grant to any other party the right to remove, any timber, minerals (including oil and gas), coal, clay, scoria, soil, ravel or rock products without Lender's prior written consent. Removal of Improvements. Grantor snail not demolish or remove any Improvements from the Real Property without Lender's prior written consent. As a condition to the removallof any Improvements, Lender may i require Grantor to make arrangements satisfactory to Lender to replace such Improvements with Improvements of at least equal value. Lender's Right to Enter. Lender and Lender's agents and representatives may enter upon the Real Property at all reasonable times to attend to Lender's interests and to Inspect the Real Property for purposes of Grantor's compliance with the terms and conditions of this Mortgage. Compliance with Governmental Requirements, Grantor shall promptly comply with all laws, ordinances, and regulations, now or hereafter in effect, of all governmental authorities applicable to the use or occupancy of the Property, including without limitation, the Americans With Disabilities Act. Grantor may contest in good faith any such law, ordinance, or regulation and withhold compliance during any proceeding, including appropriate appeals, so long as Grantor has notified Lender in writing prior to doing so and so long as, in Lender's sole opinion, Lender's interests in the Property are not jeopardized. Lender may require Grantor to post adequate security or a surety bond, reasonably satisfactory to Lender, to protect Lender's interest. Duty to Protect. Grantor agrees neither to abandon or leave unattended the Property. Grantor shall do all other acts, in addition to those acts set forth above in this section, which from the character and use of the Property are reasonably necessary to protect and preserve the Property. DUE ON SALE - CONSENT BY LENDER. Lender may, at Lender's optibn, declare immediately due and payable . MORTGAGE (Continued) Page 4 all sums secured by this Mortgage upon the sale or transfer, without Lender's prior written consent, of all or any part of the Real Property, or any interest in the Real Property. A "sale or transfer" means the conveyance of Real Property or any right, title or interest in the Real Property; whether legal, beneficial or equitable; whether voluntary or involuntary; whether by outright sale, deed, install ant sale contract, land contract, contract for deed, leasehold interest with a term greater than three (3) ye ase-option contract, or by sale, assignment, or transfer of any beneficial interest in or to any land trust holdi a to the Real Property, or by any other method of conveyance of an interest in the Real Propert . Grantor is a corporation, partnership or limited liability company, transfer also includes Ak, ct a .:,,ii o nership of more than fifty percent (50%) of the voting stock, partnership interests or limite• :.' c..0 r. y interests, as the case may be, of such Grantor. However, this option shall not be exercis-• • . •er . such exercise is prohibited by federal law or by Illinois law. TAXES AND LIENS. The following provisions relating 14 - axeoso,c;\ liens on the Property are part of this Mortgage: Payment. Grantor shall pay when due (an i. • =fit • for to delinquency) all taxes, payroll taxes, special taxes, assessments, water charges an s: e - ice charges levied against or on account of the Property, and shall pay when due all claimsr o • on or for services rendered or material furnished to the Property. Grantor shall maintain e ' o tee of any liens having priority over or equal to the interest of Lender under this Mortgage, x.-. for those liens specifically agreed to in writing by Lender, and except for the lien of taxes a ,, .s est a s not due as further specified in the Right to Contest paragraph. Right to Contest. Granto ,'th-of• ment of any y tax, assessment, or claim in connection with a good faith dispute over he o• 'g. io to pay, so long as Lender's interest in the Property is not jeopardized. ( If a lien arises or is .s a •s it of nonpayment, Grantor shall within fifteen (15) days after the lien arises or, if a lien is file., w in 'if •en (15) days after Grantor has notice of the filing, secure the discharge of the lien, or if requests• • - der, deposit with Lender cash or a sufficient corporate surety bond or other security satisfactory to Lender in an amount sufficient to discharge the lien plus any costs and attorneys' tees, or other charges that could accrue as a result of a foreclosure or sale under the lien, in any contest, Grantor shall defend itself and Lender and shall satisfy any adverse judgment before enforcement against the Property. Grantor shall name Lender as an additional obligee under any surety bond furnished in the contest proceedings. Evidence of Payment. Grantor shall upon demand furnish to Lender satisfactory evidence of payment of the taxes or assessments and shall authorize the appropriate governmental official to deliver to Lender at any time a written statement of the taxes and assessments against the Property. Notice of Construction. Grantor shall notify Lender at least fifteen (15) days before any work is commenced, any services are furnished, or any materials are supplied to the Property, if any mechanic's lien, materiaimen's lien, or other lien could be asserted on account of the work, services, or materials. Grantor will upon request of Lender furnish to Lender advance assurances satisfactory to Lender that Grantor can and will pay the cost of such improvements. PROPERTY DAMAGE INSURANCE. The following provisions relating to insuring the Property are a part of this Mortgage: Maintenance of insurance. Grantor shall procure and maintain policies of fire insurance with standard extended coverage endorsements on a replacement basis for the full insurable value covering all Improvements on the Real Property in an amount sufficient to avoid application of any coinsurance clause, and with a standard mortgagee clause in favor of Lender. Grantor shall also procure and maintain comprehensive generaliability insurance in such coverage amounts as Lender may request with Lender being named as additional insureds in such liability insurance policies. Additionally, Grantor shall maintain such other insurance, including but not limited to hazard, business interruption and boiler insurance as Lender may require. Policies shall be written by such insurance companies and in such form as may be reasonably acceptable to Lender. Grantor shall deliver to Lender certificates of coverage from each insurer I MORTGAGE (Continued) Page 5 I _ containing a stipulation that coverage will not be cancelled or diminished without a minimum of thirty (30) days' prior written notice to Lender and not containing any disclaimer of the insurer's liability for failure to give such notice. Each insurance policy also shall include an endorsement providing that coverage in favor of Lender will not be impaired in any way by any act, omission 'Or def. It of Grantor or any other person. Should the Real Property be located in an area designated by the a i . tor of the Federal Emergency Management Agency as a special flood hazard area, Grantor agrees to ••t and maintain Federal Flood Insurance, if available, for the full unpaid principal balance of the lo d ;n .riot liens on the property securing the loan, up to the maximum policy limits set under a + I off® Insurance Program, or as otherwise required by Lender, and to maintain such insurance ., i o he loan. Application of Proceeds. Grantor shall promptly notify L de • •• ass or damage to the Property. Lender may make proof of loss if Grantor fails to do . wit i fift ) days of the casualty. Whether or not Lender's security is impaired, Lender may, at 's I ' n receive and retain the proceeds of any insurance and apply the proceeds to the reducti.n • e ness, payment of any lien affecting the Property, or the restoration and repair of the 1 \ 9rty. ifn r elects to apply the proceeds to restoration and repair, Grantor shall repair or replace the •a •_ - a de troyed Improvements in a manner satisfactory to Lender. Lender shall, upon satisfactory p • su•► expenditure, pay or reimburse Grantor from the proceeds for the reasonable cost of repai „- t •ra 'on if Grantor is not in default under this Mortgage. Any proceeds which have not been disb i se itlin 80 days after their receipt and which Lender has not committed to the repair or restoration .f 'th r.perty shall be used first to pay any amount owing to Lender under this Mortgage, then t• .a a• ru-. interest, and the remainder, if any, shall be applied to the principal balance of the i .eb es- f Lender holds any proceeds after payment in full of the Indebtedness, such procee. 'a •eai• •. Grantor as Grantor's interests may appear. Grantor's Report on I - :rice. U••n p quest of Lender, however not more than once a year, Grantor shat) furnish to Lender a rep• • eac ..xisting policy of insurance sowing: (1) the name of the insurer; (2) the risks insured; (3) th. a • of the policy; (4) the proprty insured, the then current replacement value of such property, an. • -- manner of determining that vaue; and (5) the expiration date of the policy. Grantor shall, upon request of Lender, have an independent appraiser satisfactory to Lender determine the cash value replacement cost of the Property. LENDER'S EXPENDITURES. If any action or proceeding is common ed that would materially affect Lender's interest in the Property or if Grantor fails to comply with any pr vision of this Mortgage or any Related Documents, including but not limited to Grantor's failure to discharge or pay when due any amounts Grantor is required to discharge or pay under this Mortgage or any Related Documents, Lender on Grantor's behalf may (but shall not be obligated to) take any action that Lender deems appropriate, Including but not limited to discharging or paying all taxes, liens, security interests, encumbrances and other claims, at any time levied or pieced on the Property and paying all costs for insuring, maintaining and preserving the Property. All such expenditures incurred or paid by Lender for such purposes wilt then bear interest at the rate charged under the Note from the date incurred or paid by Lender to the date of repayment by Grantor. All such expenses will become a part of the Indebtedness and, at Lender's option, will (A) be payable on demand; (B) be added to the balance of the Note and be apportioned among and be payable with any installment payments to become due during either (1) the term of any applicable insurance policy; or (2) the remaining term of the Note; or (C) be treated as a balloon payment which will be due and payable at the Note's maturity. The Mortgage also will secure payment of these amounts. Such right shall be in addition)to all other rights and remedies to which Lender may be entitled upon Default. WARRANTY; DEFENSE OF TITLE. The following provisions relating to ownership of the Property are a part of this Mortgage: 1 Title. Grantor warrants that: (a) Grantor holds good and marketable title of record to the Property in fee simple, free and clear of al! liens and encumbrances other than those set forth in the Real Property description or in any title insurance policy, title report, or final title opinion issued in favor of, and accepted by, Lender in connection with this Mortgage, and (b) Grantor has the full right, power, and authority to execute and deliver this Mortgage to Lender. MORTGAGE (Continued) Page 6 Defense of Title. Subject to the exception in the paragraph above, Grantor warrants and will forever • defend the title to the Property against the lawful claims of all persons. In the event any action or proceeding is commenced that questions Grantor's title or the interest of Lender under this Mortgage, Grantor shall defend the action at Grantor's expense. Grantor m. be the nominal party in such proceeding, but Lender shall be entitled to participate in the prose-•ini and to be represented in the proceeding by counsel of Lender's own choice, and Grantor wilt deliver, • : se to be delivered, to Lender such instruments as Lender may request from time to time to permit ••c' .a•ic 'abort. Compliance With Laws. Grantor warrants that the Property ay • 9y 's •se of the Property complies with all existing applicable laws, ordinances, and regulations of .. . t= authorities. Survival of Representations and Warranties. All represe• . :ns =aranties, and agreements made by Grantor in this Mortgage shall survive the executiorOnd . : 'ver •f is Mortgage, shall be continuing in nature, and shall remain in full force and effect - Grantor's Indebtedness shall be paid in full. CONDEMNATION. The following provisions relat g • c. •: notion proceedings are a part of this Mortgage: Proceedings, if any proceeding in sondem . • is lie., Grantor shall promptly notify Lender in writing, and Grantor shall promptly take such s • as m: be necessary to defend the action and obtain the award. Grantor may be the nominal par y Ity hproceeding, but Lender shall be entitled to participate in the proceeding and to be represen -= 'n th .r seeding by counsel of its own choice, and Grantor will deliver or cause to be delivered t IceT- instruments and documentation as may be requested by Lender from time to time t r s.ch •. cipation. Application of Net Pr seed . •r any part of the Property is condemned by eminent domain proceedings or by an r ceedi r purchase in lieu of condemnation, Lender may at its election require that all or any portion n roceeds of the award be applied to the Indebtedness or the repair or restoration of the Prope . T net proceeds of the award shall mean the award after payment of all reasonable costs, expenses, and attorneys' fees incurred by Lender in connection with the condemnation. IMPOSITION OF TAXES, FEES AND CHARGES BY GOVERNMENTAL AUTHORITIES. The following provisions relating to governmental taxes, fees and charges are a part of this Mortgage: Current Taxes, Fees and Charges. Upon request by Lender, Grantor shall execute such documents in addition to this Mortgage and take whatever other action is requested by Lender to perfect and continue Lender's lien on the Real Property. Grantor shall reimburse Lender for all taxes, as aescribed below, together with all expenses incurred in recording, perfecting or continuing this Mortgage, including without limitation all taxes, fees, documentary stamps, and other charges for recording or registering this Mortgage, Taxes. The following shall constitute taxes to which this section applies: 11) a specific tax upon this type of Mortgage or upon all or any part of the indebtedness secured by this Mortgage; 12) a specific tax on Grantor which Grantor is authorized or required to deduct from payments on the Indebtedness secured by this type of Mortgage; (3) a tax on this type of Mortgage chargeable against the Lender or the holder of the Note; and (4) a specific tax on all or any portion of the indebtedness or on payments of principal and interest made by Grantor. Subsequent Taxes. if any tax to which this section applies is enacted subsequent to the date of this Mortgage, this event shall have the same effect as Default, and Lender may exercise any or all of its T available remedies for Default as provided below unless Grantor either (1) pays the tax before it becomes- delinquent, or (2) contests the tax as provided above in the Taxes and Liens section and deposits with Lender cash or a sufficient corporate surety bond or other security satisfactory to Lender. SECURITY AGREEMENT: FINANCING STATEMENTS. The following provisions relating to this Mortgage as a security agreement are a part of this Mortgage: Security Agreement. This instrument shall constitute a Security Agreement to the extent any of the Property constitutes fixtures, and Lender shall have all of the rights of a secured party under the Uniform • • I I ' MORTGAGE (Continued) Page 7 • Commercial Code as amended from time to time. Security interest. Upon request by Lender, Grantor shall take whatever action is requested by Lender to perfect and continue Lender's security interest in the Rents an Personal Property. In addition to recording this Mortgage in the real property records, Lender may, at anytime a • • ithout further authorization from • Grantor, file executed counterparts, copies or reproductions Of this •.ge as a financing statement. Grantor shall reimburse Lender for all expenses incurred in perfectin• • aa ' uing this security interest. Upon default, Grantor shall not remove, sever or detach the Perso 'r.•-•k. from the Property. Upon default, Grantor shall assemble any Personal Property not affixQpi o .*���QQQ pe.y in a manner and at a place reasonably convenient to Grantor and Lender and make it avai :b = oer within three (3) days after • receipt of written demand from Lender to the extent permitt:• . -•. e law. Addresses. The mailing addresses of Grantor (debt 4)an. L-nd: secured party) from which information concerning the security interest granted by thi. . •:•z .y •e obtained (each as required by the Uniform Commercial Code) are as stated on the t •-•- o' h+ ortgage. FURTHER ASSURANCES; ATTORNEY-IN-FACT. T' - o g .rbvisions relating to further assurances and attorney-in-fact are a part of this Mortgage: Further Assurances. At any time, and qc�) e • time, upon request of Lender, Grantor will make, execute and deliver, or wilt cause to be ade, e eluted or delivered, to Lender or to Lender's designee, and when requested by Lender, cause to d;--rdc rded, refiled, 'or rerecorded, as the case may be, at such times and in such offices and pia5,e n may deem apprdpriate, any and all such mortgages, deeds of trust, security deeds, s it ag ee -nbss, financing statements, continuation statements, instruments of further assurance, certifi to a • • er documents as may, in the sole opinion of Lender, be necessary or desirable in order t6\effecttt c.• plate, perfect, continue, or preserve (1) Grantor's obligations under the Note, this 'lvrt ge, an the Related Documents, nd (2{ the liens and security interests created by this Mortgage d prior liens on the Property whether now owned or hereafter acquired by Grantor. Unless prohibit law or Lender agrees to the contrary in writing, Grantor shall reimburse Lender for all costs and expenses incurred in connection with the matters referred to in this paragraph. Attorney-in-Fact. if Grantor fails to do any of the things referred to in the preceding paragraph, Lender may do so for and in the name of Grantor and at Grantor's expense. For such purposes, Grantor hereby irrevocably appoints Lender as Grantor's attorney-in-fact for the purpose of making, executing, delivering, filing, recording, and doing all other things as may be necessary or desirable, in Lender's sole opinion, to accomplish the matters referred to in the preceding paragraph. FULL PERFORMANCE. If Grantor pays all the indebtedness when due, and otherwise performs all the obligations imposed upon Grantor under this Mortgage, Lender shall execute and deliver to Grantor a suitable satisfaction of this Mortgage and suitable statements of termination of any financing statement on file evidencing Lender's security interest in the Rents and the Personal Property. Grantor will pay, if permitted by applicable law, any reasonable termination fee as determined by Lender from time to time. REINSTATEMENT OF SECURITY INTEREST. If payment is made by Grantor, whether voluntarily or otherwise, or by guarantor or by any third party, on the Indebtedness and thereafter Lender is forced to remit the amount of that payment IA) to Grantor's trustee in bankruptcy or to any similar person under any federal or state • bankruptcy law or law for the relief of debtors, (B) by reason of any judgment, decree or order of any court or administrative body having jurisdiction over Lender or any of Lender's property, or (C) by reason of any settlement or compromise of any claim made by Lender with any claimant (including without limitation Grantor), the Indebtedness shall be considered unpaid for the purpose of enforcement of this Mortgage and this Mortgage shall continue to be effective or shall be reinstated, as the case may be, notwithstanding any cancellation of this Mortgage or of any note or other instrument or agreement evidencing the indebtedness and the Property will continue to secure the amount repaid or recovered to the same extent as if that amount never had been originally received by Lender, and Grantor shall be bound by any judgment, decree, order, settlement or compromise relating to the Indebtedness or to this Mortgage. DEFAULT. Default will occur if payment in full is not made immediately when due. MORTGAGE (Continued) Page 8 RIGHTS AND REMEDIES ON DEFAULT. Upon Default and at any time thereafter, Lender, at Lender's option, may exercise any one or more of the following rights and remedies, in addition to any other rights or remedies provided by taw: Accelerate indebtedness. Lender shall have the right at its option wit • notice to Grantor to declare the entire Indebtedness immediately due and payable, including any prepay : •enaity that Grantor would be required to pay. UCC Remedies. With respect to all or any part of the Personal op a e hall have all the rights and remedies of a secured party under the Uniform Commercial Co Collect Rents. Lender shall have the right, without notice • a o se take possession of the Property and collect the Rents, including amounts past due an- unp=i., en* :ppi>y the net proceeds, over and above Lender's costs, against the Indebtedness. In fu •- - •f .' r':ht, Lender may require any tenant or other user of the Property to make payments f : o _ --s directly to Lender. If the Rents are collected by Lender, then Grantor irrevocabl • •-.gn: es e •er as Grantor's attorney-in-fact to endorse instruments received in payment thereof ina •f ra for and to negotiate the same and collect the proceeds. Payments by tenants or other user •-n• response to Lender's demand shall satisfy the obligations for which the payments are m: -, • . : or not any proper grounds for the demand existed. Lender may exercise its rights under this u p , g ap either in person, by agent, or through a receiver. Mortgagee in Possession. Lender sh er'•ht to be placed as mortgagee in possession or to have a receiver appointed to take posse r• - Pfea i • any part of the Property, with the power to protect and preserve the Property, to o-: -t: the Pr..e• preceding foreclosure or sale, and to collect the Rents from the Property and apply t : •ro••e' , over and above the cost of the receivership, against the • Indebtedness. The • .age- in •. :-ssion or receiver may serve without bond if permitted by law. Lender's right to the ap•oi men o' a receiver shall exist whether or not the apparent value of the Property exceeds the Indebtedness .y : s •stantial amount. Employment by Lender shall not disqualify a person from serving as a receiver. Judicial Foreclosure. Lender may obtain a judicial decree foreclosing Grantor's interest in all or any part of the Property. Deficiency Judgment. if permitted by applicable law, Lender may obtain a judgment for any deficiency remaining in the Indebtedness due to Lender after application of all amounts received from the exercise of the rights provided in this section. Other Remedies. Lender shall have all other rights and remedies provided in this Mortgage or the Note or available at law or in equity. Sale of the Property. To the extent permitted by applicable law, Grantor hereby waives any and all right to have the Property marshalled. In exercising its rights and remedies, Lender shall be free to self all or any part of the Property together or separately, in one sale or by separate sales. Lender shall be entitled to bid at any public sale on all or any portion of the Property. • Notice of Sale. Lender shall give Grantor reasonable notice of the time and place of any public sale of the Personal Property or of the time after which any private sale or other intended disposition of the Personal Property is to be made. Reasonable notice shall mean notice given at least ten (t 0) days before the time of the sale or disposition. Any sale of the Personal Property may be made in conjunction with any sale of the Real Property. Election of Remedies. Election by Lender to pursue any remedy shall not exclude pursuit of any other remedy, and an election to make expenditures or to take action to perform an obligation of Grantor under this Mortgage, after Grantor's failure to perform, shall not affect Lender's right to declare a default and exercise its remedies. Nothing under this Mortgage or otherwise shall be construed so as to limit or restrict the rights and remedies available to Lender following Default, or in any way to limit or restrict the rights and ability of Lender to proceed directly against Grantor and/or against any other co-maker, guarantor, surety or endorser and/or to proceed against any other collateral directly or indirectly securing the MORTGAGE (Continued) Page 9 Indebtedness, Attorneys' Fees; Expenses. If Lender institutes any suit or action to enforce any of the terms of this Mortgage, Lender shall be entitled to recover such sum as the curt may adjudge reasonable as attorneys' • fees at trial and upon any appeal. Whether or not any court action - involved, and to the extent not prohibited by law, all reasonable expenses Lender incurs that in Lender'- o.' ion are necessary at any time for the protection of its interest or the enforcement of Its rights shall •e 'm- a part of the indebtedness payable on demand and shall bear interest at the Note rate from t - -.t- o t expenditure until repaid. Expenses covered by this paragraph include, without limit, a ubject to any limits under applicable law, Lender's attorneys' fees and Lender's legal ex.: , • 4�l1s.t er or not there is a lawsuit, including attorneys' fees and expenses for bankruptcy pro ::•r •• .: ding efforts to modify or vacate any automatic stay or injunction], appeals, and any -�•ticip:t • p- •gment collection services, the cost of searching records, obtaining title reports (includi••�T. -c .s, e e'orts), surveyors' reports, and appraisal fees and title insurance, to the extent permitted b. ..: •• e = Grantor also will pay any court costs, in addition to all other sums provided by law. NOTICES. Any notice required to be given und. t s e. ..age, including without limitation any notice of default and any notice of sale shall be given in g, an. shall bye effective when actually delivered, when actually received by telefacsimile (unless . - i : :• ired by law), when deposited with a nationally recognized overnight courier, or, if mailed, : d:.qsited in the United States mail, as First class, certified or registered mail postage prepaid, directe• "• h- .idt`esses shown near the beginning of this Mortgage. AR copies of notices of foreclosure from t. : •ol.-r ny lien which h priority over this Mortgage shall be sent to Lender's address, as showr� a t = be;'n .rig of this Mortgage. Any party may change its address for notices under this Mortgage by iv .r .1 written notice to the other parties, specifying that the purpose of the notice is to change th rty's d es For notice purposes, Grantor agrees to keep Lender informed at all times of Grantor's currant d ss. U less otherwise provided or required by law, if there is more than one Grantor, any notice given by n ' o ny Grantor is deemed to be notice given to all Grantors. WAIVER OF RIGHT OF REDEM TiON AND REINSTATEMENT . NOTWITHSTANDING ANY OF THE PROVISIONS TO THE CONTRARY CONTAINED IN THIS MORTGAGE, GRANTOR HEREBY WAIVES, TO THE EXTENT PERMITTED UNDER 735 ILCS 5/15-1601Ib) OR ANY SIMILAR LAW EXISTING AFTER THE DATE OF THiS MORTGAGE, ANY AND ALL RIGHTS OF REDEMPTION ON GRANTOR'S BEHALF AND ON BEHALF OF ANY OTHER PERSONS PERMITTED TO REDEEM THE PROPERTY. GRANTOR HEREBY WAIVES ALL RIGHTS TO REINSTATEMENT PROVIDED SY ANY LAW NOW EXISTING OR HEREINAFTER ENACTED . MISCELLANEOUS PROVISIONS. The following miscellaneous provisions are a part of this Mortgage: Amendments. This Mortgage, together with any Related Documents, constitutes the entire understanding and agreement of the parties as to the matters set forth in this Mortgage. No alteration of or amendment to this Mortgage shall be effective unless given in writing and signed by the party or parties sought to be charged or bound by the alteration or amendment. Annual Reports. If the Property is used for purposes other than Grantor's residence, Grantor shall furnish to Lender, upon request, a certified statement of net operating income received from the Property during Grantor's previous fiscal year in such form and detail as Lender stall require. "Net operating income" shall mean all cash receipts from the Property less all cash expenditures made in connection with the operation of the Property. Caption Headings. Caption headings in this Mortgage are for convenience purposes only and are not to be used to interpret or define the provisions of this Mortgage. Governing Law. This Mortgage will be governed by federal law applicable to Lender and, to the extent not preempted by federal law, the laws of the State of Illinois without regard to its conflicts of law provisions. This Mortgage has been accepted by Lender in the State of Illinois. No Waiver by Lender. Lender shall not be deemed to have waived any rights under this Mortgage unless such waiver is given in writing and signed by Lender. No delay or omission on the part of Lender in MORTGAGE (Continued) Page 10 • exercising any right shall operate as a waiver of such right or any other right. A waiver by Lender of a provision of this Mortgage shall not prejudice or constitute a waiver of Lender's right otherwise to demand strict compliance with that provision or any other provision of this Mortgage. No prior waiver by Lender, nor any course of dealing between Lender and Grantor, shall constitute . waiver of any of Lender's rights or of any of Grantor's obligations as to any future transactions. -•ever the consent of Lender is required under this Mortgage, the granting of such consent by Lender in . • instance shall not constitute continuing consent to subsequent instances where such consent is r •u :• : : in all cases such consent may be granted or withheld in the sole discretion of Lender, Severability. If a court of competent jurisdiction finds any prov io of 't Yi•• ortgage to be illegal, invalid, or unenforceable as to any circumstance, that finding shall q6t ria •- .ffending provision illegal, invalid, or unenforceable as to any other circumstance, if -asi leth ' = ding provision shall be considered modified so that it becomes legal, valid and enfor :• :. I th fending provision cannot be so modified, it shall be considered deleted from this Mortgag: erwise required by law, the illegality, invalidity, or unenforceability of any provisi. •' th' .rt!.ge shall not affect the legality, validity or enforceability of any other provision of this M•rt•a t e. Merger. There shall be no merger of the inte - r :-tat created by this Mortgage with any other interest or estate in the Property at any time h:.: . . the benefit of Lender in any capacity, without the written consent of Lender. Successors and Assigns. Subje to : • Ii i•-ations stated in this Mortgage on transfer of Grantor's interest, this Mortgage shall e • sin• •1n and inure to the benefit of the parties, their successors and assigns. If ownership of a r••e b:-omes vested in a person other than Grantor, Lender, without notice to Grantor, m- de 't antor's successors with reference to this Mortgage and the Indebtedness by way .f .rbea n e or extension without releasing Grantor from the obligations of this Mortgage or liability und: t - in•e• edness. Time is of the Essence. Tim- '- •f the essence in the performance of this Mortgage. Waive Jury. All parties to this Mortgage hereby waive the right to any jury trial in eny action, proceeding, or counterclaim brought by any party against any other party. Waiver of Homestead Exemption. Grantor hereby releases and waives all rights and benefits of the homestead exemption laws of the State of Illinois as to all Indebtedness secured by this Mortgage. DEFINITIONS. The following capitalized words and terms shall have the following meanings when used in this Mortgage. Unless specifically stated to the contrary, all references to dollar amounts shall mean amounts in lawful money of the United States of America. Words and terms used in the singular shall include the plural, and the plural shall include the singular, as the context may require. Words and terms not otherwise defined in this Mortgage shall have the meanings attributed to such terms in the Uniform Commercial Code: Borrower. The word "Borrower' means Senior Services Associates, Inc, and iincludes all co-signers and co-makers signing the Note and ail their successors and assigns. Default. The word "Default' means the Default set forth in this Mortgage in the section titled "Default". Environmental Laws. The words "Environmental Laws" mean any and all state, federal and local statutes, regulations and ordinances relating to the protection of human health or the environment, including without limitation the Comprehensive Environmental Response, Compensation, and Liability Act of 1980, as amended, 42 U.S.C. Section 9801, et seq. ("CERCLA"), the Superfund Amendments and Reauthorization Act of 1986, Pub. L. No. 99-499 ("SARA"), the Hazardous Materials Transportation Act, 49 U.S.C. Section 1801, et seq., the Resource Conservation and Recovery Act, 42 U.S.C. Section 6901, et seq., or other applicable state or federal laws, rules, or regulations adopted pursuant thereto, Grantor. The word "Grantor" means Senior Services Associates, Inc.. Hazardous Substances. The words "Hazardous Substances" mean materials that, because of their quantity, concentration or physical, chemical or infectious characteristics, may cause or pose a present or MORTGAGE (Continued) Page 11 potential hazard to human health or the environment when improperly used, treated, stored, disposed of, generated, manufactured, transported or otherwise handled. The words "Hazardous Substances" are used in their very broadest sense and include without limitation anend all hazardous or toxic substances, materials or waste as defined by or listed under the Envirronmen .1 Laws. The term "Hazardous Substances" also includes, without limitation, petroleum and petroieu b •roducts or any fraction thereof and asbestos. Improvements. The word "Improvements" means all existing • • t e improvements, buildings, structures, mobile homes affixed on the Real Property, f C i:s eiiti•• s, replacements and other construction on the Real Property. indebtedness. The word "indebtedness" means all prin 1 , i : t, and other amounts, costs and expenses payable under the Note or Related Doct nts g-l ith all renewals of, extensions of, modifications of, consolidations of and substituti'n- • N e r Related Documents and any amounts expended or advanced by Lender to dischar r- • •. !gations or expenses incurred by Lender to enforce Grantor's obligations under this Mo g.e •:th- it interest on such amounts as provided in this Mortgage. Specifically, without limitatio , leb..• -ss includes all amounts that may be indirectly secured by the Cross-Collateralization provision th' •rtgage. Lander, The word "Lender" means Natioa1yy i an� , its successors and assigns. Mortgage. The word "Mortgage" m: •• ior gage between Grantor and Lender. Note. The word "Note" mans .. p • • sory note dated '�!�� egYe , in the original principal amount of $300,000.00 fr r-'to to - der, together with all enewals of, extensions of, modifications of, refinancings of, con olid ' no•, a ,• substitutions for the promissory note or agreement. The interest rate on the Note is a v ri le in rt rate based upon an index. The index currently is 5.250% per annum. e Payments on the Note a t e ` e in accordance with the following payment schedule: regular monthly payments of all accrued u aid ' terest due as of each payment date, beginning May 1, 2008, with all subsequent interest payments to be due on the same day of each month after that, if the index increases, the payments tied to the index, and therefore the total amount secured hereunder, will increase. Any variable interest rate tied to the index shall be calculated as of, and shall begin on, the commencement date indicated for the applicable payment stream, NOTICE: Under no circumstances shall the interest rate on this Mortgage be more than the maximum rate allowed by applicable law. NOTICE TO GRANTOR: THE NOTE CONTAINS A VARIABLE INTEREST RATE. Personal Property. The words "Personal Property" mean all equipment, fixtures, and other articles of personal property now or hereafter owned by Grantor, and now or hereafter attached or affixed to the Real Property; together with all accessions, parts, and additions to, all replacements of, and all substitutions for, any of such property; and together with all proceeds (including without limitation all insurance proceeds and refunds of premiums) from any sale or other disposition of the'Property. Property. The word "Property" means collectively the Real Property and the Personal Property. Real Property. The words "Real Property" mean the real property, interests and rights, as further described in this Mortgage. Related Documents. The words "Related Documents" mean all promissory notes, credit agreements, loan agreements, environmental agreements, guaranties, security agreements, mortgages, deeds of trust. security deeds, collateral mortgages, and all other instruments, agreements and documents, whether now or hereafter existing, executed in connection with the Indebtedness. Rents. The word "Rents" means all present and future rents, revenues, income, issues, royalties, profits, and other benefits derived from the Property. . 4 , 1 - MORTGAGE (Continued) Page 12 GRANTOR ACKNOWLEDGES HAVING READ ALL THE PROVISIONS OFT IS MORTGAGE, AND GRANTOR AGREES TO ITS TERMS. GRANTOR: SENIOR SERVICES ASSOCIATES, INC. O a • By;-__ -iz-j--C :,fP.L. "h1 Bette Schoenhoitz, Executive F7 actor of Se►".1"s Associates, Inc. icip By: c /1 CJS ( 6(:), tiolii,i, , Beth L. McCloiy, Business Manag: -•io S•rvices Associates, Inc. 42 , C+ ' . - ,E ACKNOWLEDGMENT STATE OF L41,_ -,f„�..,,,u I NW' I SS COUNTY OF '7 ,41_,,r,... ) On this /P4/1 day of -U. ,,:":4).61(1 before me, the undersigned Notary Public, personally appeared Bette Scho nhoitz, Executive Director of Senior Services Associates, Inc. and Beth L. McClory, Business Manager of Senior Services Associates, inc. , and known to me to be authorized agents of the corporation that executed the Mortgage and acknowledged the Mortgage to be the free and voluntary act and deed of the corporation, by authority of its Bylaws or by resolution of Its board of directors, for the uses and purposes therein mentioned, and on oath stated that they are authorized to execute this Mortgage and in fact executed the Mortgage on behalf of the corporation. Y C' ` By �. - •i!{t? Residing at ! C5 :Z•C ..- � L.. Gah of, J� Notary Public in and Sat the State of �.,,,,r-c`4;� p SEAL My commission expires -C ,./7,1. KAP > R NOTmYP*.0-STATE OF woos i-ASEN 01,5...ern, V .s.11.Ob.IM Cep.WM.,saa„e.a ierwe.e,nc.)Mn,.Cb6 AM./.n-.«... ,v-c.'3.+.....Vilvaf111,ft 1N•w4 M..15 U 1 LP ql 524 4 EXHIBIT B ASSURANCES The SUB-RECIPIENT hereby warrants and represents that it wi comply with the regulations, policies, guidelines and requirements with respect to the acceptance and se of CDBG funds in accordance with the ACT and the City of Elgin policies. Also, the SUB-RECIP II NT certifies with respect to the grant that: 1. It possesses legal authority to make a grant submission t the CITY and to execute a community development and housing program; 2. Its governing body has duly adopted or passed as an offi ial act, a resolution, motion or similar action authorizing the person identified as the official r- •resentative of the SUB-RECIPIENT to execute this Agreement, all understandings and assuran.es contained herein, and directing the authorization of the person identified as the official repre - •tative of the SUB-RECIPIENT to act in connection with the execution of this Agreement and t. provide such additional information as may be required. 3. Prior to submission of its application to the City,the SUB RECIPIENT has: (A) Met the citizen participation requirements of 570. .01(b)and has provided citizens with: (1) The estimate of the amount of CDBG •ds proposed to be used for activities • that will benefit persons of low and mode .to income; and (2) Its plan for minimizing displacement of p ersons as a result of activities assisted with CDBG funds and to assist persons actually displaced as a result of such activities; (B) Prepared its application in accordance with the po icies of the City of Elgin and made the application available to the public; 4. The grant will be conducted and administered in complian e with: (A) Title VI of the Civil Rights Act of 1964(Pub. L. &:-352 42 U.S.C. Sec 2000d et seq.)and implementing regulations issued at 24 CFR Part I; (B) Title VIII of the Civil Rights Act of 1968 (Pub. L. 90-208), as amended; and that the SUBGRANTEE will administer all programs d activities related to housing and community development in a manner to affirmati -ly further fair housing; (C) Section 109 of the Housing and Community Devaopment Act of 1974, as amended; and the regulations issued pursuant hereto; (D) Section 3 of the Housing and Urban Development •ct of 1968,as amended; (E) Executive Order 11246-Equal Opportunity, as . is-nded by Executive Orders 11375 and 12086,and implementing regulations issued at 41 FR Chapter 60; ------------ I \ . • . .1 (F) Executive Order 11063-Equal Opportunity in Ho sing, as amended by Executive Order 12259, and implementing regulations at 24 CFR P. 107; (G) Section 504 of the Rehabilitation Act of 1973 (Pub. L. 93-112), as amended, and implementing regulations when published in effect. (H) The Age Discrimination Act of 1975 (Pub. L. 9•-135), as amended, and implementing regulations when published for effect; (I) The relocation requirements of Title II and the ac• isition requirements of Title III of the Uniform Relocation Assistance and Real Propert Acquisition Policies Act of 1970, as amended, and the implementing regulations at 24 FR Part 42, as required under 24 CFR 570.606; (J) The labor standards requirements as set forth in 44 CFR Part 570, Subpart K and HUD regulations issues to implement such requirements (K) Executive Order 11988 relating to the evaluation of flood hazards and Executive Order 11738 relating to the prevention,control and abate ent of water pollution; (L) The flood insurance purchase requirements of •ection 102(a) of the Flood Disaster Protection Act of 1973 (Pub. L. 93-234); (M) The Fair Housing Act(42 U.S.C. 3601-20); • 5. Its notification, inspection, testing and abatement proce al es concerning lead-based paint will comply with 570.608; and 6. When a grant is in excess of $100,000 it will comply w th all applicable standards, orders, or requirements issued under Section 308 of the Clean Air •ct (42 U.S.C. 1857(h), Section 508 of the Clean Water Act (33 U.S.C. 1368), Executive Order 11738, and Environmental Protection Agency regulation (40 CFR Part 15), which prohibit the se under nonexempt Federal contracts, grants or loans, of facilities included on the EPA list of V olating Facilities. The provision shall require reporting of violations to the County, HUD, and o the AESOP Assistant Administrator for Enforcement(EN-329). 7. It has developed its application so as to give maximum fea.ible priority to activities which benefit low and moderate income families or aid in the preventio• or elimination of slums or blight; (the application may also include activities which the SUB-RE IPIENT certifies are designed to meet other community development needs having a particul. urgency because existing conditions pose a serious and immediate threat to the health or welfar of the community, and other financial resources are not available); 8. It is following the current City of Elgin Consolidated P1; • which has been approved by HUD pursuant to 570.306; and 9. It will not attempt to recover any capital costs of public im•rovements assisted in whole or in part with funds provided under Section 106 of the ACT or w4h amount resulting from a guarantee under Section 108 of the ACT by assessing any amount .gainst properties owned and occupied 94 4 by persons of low and moderate income, including any fee charged or assessment made as a condition of obtaining access to such public improvem.nts, unless: (1) funds received under Section 106 of the ACT are used to pay the proportion o such fee or assessment that relates to the capital costs of such public improvements that are f 1 anced from revenue sources other than under Title I of the ACT; or (2) for purposes of assessin any amount against properties owned and occupied by low and moderate income persons, the .UB-RECIPIENT certifies that it lacks sufficient funds received under Section 106 of the AC to comply with the requirements of subparagraph(1)above. 10. The SUB-RECIPIENT certifies that it will provide a drug ee workplace by: (A) Publishing a statement notifying employees that he unlawful manufacture, distribution, dispensing, possession or use of a controlled substance is prohibited in the SUB- RECIPIENT's workplace and specifying the actio i s that will be taken against employees for violation of such prohibition; (B) Establishing a drug-free awareness program to infirm employees about: (1) The dangers of drug abuse in the workpla.e; (2) The SUB-RECIPIENT's policy of mainta' 'ng a drug-free workplace; (3) Any available drug counseling,rehabilitat on, and employee assistance programs; and (4) The penalties that may be imposed upo s employees for drug abuse violations • occurring in the workplace. . (C) Making it a requirement that each employee to •e 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 I y 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 of any criminal • g statute conviction for a violation occurring in the workplace no later than fi e days after such conviction; (E) Notifying the City of Elgin's Community Development Department within ten (10) days after receiving notice under subparagraph (D) 2) from an employee or otherwise receiving actual notice of such conviction; (F) Taking one of the following actions, within 30 days of receiving notice under subparagraph(D)(2),with respect to any employe: who is so convicted: (1) Taking appropriate personnel action a Nainst such an employee, up to and including termination; or (2) Requiring such employee to participate s tisfactorily in a drug abuse assistance or rehabilitation program approved for su•II purposes by a Federal, State, or local health, law enforcement, or other appropri;to agency; i i •, • • t 4 (G) Making a good faith effort to continue to ma s tain a drug-free workplace through implementation of paragraphs(A),(B),(C), (D), ( )and(F). 11. It has adopted and is enforcing a policy prohibiting the us:of excessive force by law enforcement agencies within its jurisdiction against any individual. engaged in nonviolent civil rights demonstrations. 12. In regards to lobbying,the SUB-RECIPIENT certifies: (A) No Federal appropriated funds have been paid .I will be paid, by or on behalf of the SUB-RECIPIENT, to any person for influencing sr attempting to influence an officer or employee of any agency, a Member of Congress, . 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 m. g of any Federal loan, the entering into of any cooperative agreement, and the extens on, continuation, renewal, amendment, or modification of any Federal contract,grant,lo. I,or cooperative agreement. (B) If any funds other than Federal appropriated fund. have been paid or will be paid to any person for influencing or attempting to influence . i officer or employee of any agency, a Member of Congress, an officer or employee of I ongress, or an employee of a Member of Congress in connection with the Federal ontract, grant, loan, or cooperative agreement, the undersigned shall complete and s bmit Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its I I structions. • (C) The SUB-RECIPIENT shall require that the Ian. age of this certification be included in the award documents for all sub-awards at all ti:rs (including subcontracts, sub-grants, and contracts under grants, loans, and cooperative agreements) and that all sub-recipients shall certify and disclose 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 transa tion imposed by section 1352,title 31, U.S. Code. Any person who fails to file the req fired certification shall be subject to a civil penalty of not less than$10,000 and not mor:than$100,000 for each such failure. 1 I f4 i - 7 ' EXHIBIT C EQUAL EMPLOYMENT OPPORTUNITY C RTIFICATION Community Development Block Gran Program City of Elgin The undersigned understands and agrees that it is a SUB-RECIP INT of the Community Development Block Grant Program of the CITY. The undersigned also agrees t ere shall be no discrimination against any employee who is employed in carrying out work from the a .istance received from the CITY and HUD, or against any applicant for such employment, because of ra e, color, religion, sex, age or national origin, including but not limited to employment, upgrading, .emotion or transfer; recruitment or recruitment advertising; lay off or termination; rates of pay or othe forms of compensation; and selection for training,including apprenticeship. The SUB-RECIPIENT further agrees to the following: (1) It will incorporate or cause to be incorporated into any LI . .t contract, loan, grant insurance or guarantee involving Federally assisted construction work, .r modification thereof, which is paid for in whole or in part with funds obtained from the Community Development Block Grant program,the language contained in HUD Equal Employm:nt Opportunity Regulations at 42 CFR 130.15(b), in Executive Order 11246, as amended by Ex cutive Orders 11375 and 12006, and implementing regulations issued in 41 CFR Chapter 60. (2) It will be bound by said equal opportunity clause with re•pect to its own employment practices when it participates in any Community Development Bloc Grant Program construction. (3) It will assist and cooperate actively with the CITY,HUD, . .d the Secretary of Labor in obtaining the compliance of contractors and subcontractors with the -qual opportunity clause and the rules, regulations and relevant orders of the Secretary of Labor. (4) It will furnish the CITY, HUD, and the Secretary of Labo such information as they may require for the supervision of such compliance, and will othe ise assist the CITY and HUD in the discharge of primary responsibility for securing complianc . (5) It will refrain from entering into any contract or contract .i odification subject to Executive Order 11246 of September 24, 1965, with a contractor debarr.d from or who has not demonstrated eligibility for government contracts and federally assisted construction contracts pursuant to the Executive Order. (6) It will carry out such sanctions and penalties for violation .f the equal opportunity clause as may be imposed upon contractors and subcontractors by the Se•retary of Labor,the CITY or HUD. (7) In the event that SUB-RECIPIENT fails or refuses to co.. .ly with the undertaking, the CITY, or HUD may take any or all of the following actions: canc-I, terminate or suspend, in whole or in part, this grant, refrain from extending any further ass' tance to the SUB-RECIPIENT until satisfactory assurance of future compliance has been res.,-ived; and refer the case to HUD for appropriate legal proceedings. Y % i • • SUB-RECIPIENT: Senior Services Associates Inc. 101 South Grove Avenue, I 1gin,Illinois 60120 BY: C>- � _�.. Ly% Bette Schoenholtz,Executiv Y i irector DATE: • 1 s ATTEST: A. r ,1 0 *;gceliTY 114 • ,t a