city hall monday, december 20, 2021 5:30 pm agenda

COUNCIL OF THE CITY OF DIXON, ILLINOIS REGULAR COUNCIL MEETING

COUNCIL CHAMBERS - CITY HALL MONDAY, DECEMBER 20, 2021

5:30 P.M.

AGENDA

The City of Dixon, in compliance with the Americans With Disabilities Act, requests that persons with disabilities who require certain accommodations to allow them to observe and/or participate in this meeting or have questions about the accessibility of this meeting or facilities, contact the ADA Coordinator at (815) 288-1485 to allow the City of Dixon to make reasonable accommodations for those persons.

People may attend the meeting in person at City Hall and may also watch the meeting via Facebook Live through the

City of Dixon Illinois Government - Facebook page

1. Call to Order

2. Roll Call

3. Pledge of Allegiance/Invocation

4. Retirement Presentation – Sergeant Wolfley

5. Visitor/Public Comment

6. Work Session

7. Approval of Minutes

8. Approval of Total Labor and Outside Claims

9. Approval of Year to Date Financials

10. Department Reports

11. City Manager Report

12. Council Reports a. Mayor Arellano b. Councilman Bishop c. Councilman Considine d. Councilman Oros e. Councilman Venier

13. Boards & Commissions Reports

a. Historic Preservation Commission Meeting Minutes

14. Visitors/Public Comment



5:30 P.M.

AGENDA


15. Ordinances

16. Resolutions

a. Resolution Amending 2021-2022 Budget – Cemetery-Contractual Expense b. Resolution Amending 2021-2022 Budget – Library-Technology Equipment c. Re-Appointment of Members to the KSB Hospital Board of Directors.

17. Motions

a. Discussion and possible approval to waive the formal bidding process for Street Department Garage Doors Replacement

b. Discussion and possible approval to purchase garage doors from Raynor Door Authority of the Sauk Valley

c. Discussion and possible approval to waive the formal bidding process for Street Department Heater Replacement

d. Discussion and possible approval to purchase heaters from Wolf Farms. e. Discussion and possible approval of an Intergovernmental Agreement with IDOT

for TARP Grant Work on Anchor Road f. Discussion and possible approval of an Intergovernmental Agreement with IDOT

Division of Aeronautics for Taxiway Lighting g. Place on file Tax Increment Financing District Eligibility Report and

Redevelopment Plan and Project for the Industrial Park Redevelopment Project Area

h. Place on file Tax Increment Financing District Eligibility Report and Redevelopment Plan and Project for the Fargo Creek Redevelopment Project Area

18. Executive Session

19. Adjournment



5:30 P.M.

AGENDA


SUPPLEMENTAL AGENDA

16. Resolutions

a. Amend the budget for fiscal year 2020-2021 by increasing the line item for “Contractual” by $5,000 within the Cemetery budget and decreasing the line item for “Contractual” by $5,000 within the Public Property budget.

b. Amend the budget for fiscal year 2021-2022 by increasing the line item for “Small Equipment & Tools” within the Library budget by $12,013; and increasing the revenue line item “State Grants” fund balance by $12,013

c. Reappoint Ray Neisewander III, Joseph Welty M.D., Richard Boysen, and Patrick King D.D.S., to the KSB Hospital Board of Directors for a term to end 12/30/2024.

COUNCIL OF THE CITY OF DIXON, ILLINOIS

COUNCIL CHAMBERS – CITY HALL REGULAR COUNCIL MEETING MONDAY, DECEMBER 6, 2021

5:30 P.M.

CALL TO ORDER

The meeting was called to order by Mayor Arellano at 5:32pm.

ROLL CALL

Councilman Oros, Venier, Bishop, and Mayor Arellano answered roll call. Absent: Councilman Considine.

PLEDGE OF ALLEGIANCE/INVOCATION

The Pledge of Allegiance was cited. Invocation was given by Reverend Randy Sizemore from Bethel Evangelical Congregational.

VISITOR/PUBLIC COMMENT Mayor gave a short introduction of new business owner Dakota Hagerman. Hagerman opened a new business in Dixon called Freedom Motorsports. Hagerman addressed the Council and gave a brief summary of his new business and how it relates to the growing industry of side by sides. Freedom Motorsports would like to take over issuing the side by side license plates that currently the City issues. They would manage the inspections before issuing the plates which would allow their business to upsell on products. .

WORK SESSION

Anthony with Sikich presented the FY21 audit. Anthony gave an overview of the 3 phases; planning, preliminary fieldwork & detailed testing of general ledgers. He presented the Council with 4 reports including a single audit, recommendations and compliance.

APPROVAL OF MINUTES Councilman Bishop moved that the minutes of the Regular Session and Executive Session Council Meeting of Monday, November 15, 2021; be accepted and placed on file. Seconded by Councilman Oros. Voting Yea: Councilman Oros, Venier, Bishop, and Mayor Arellano. Voting Nay: None. Motion Carried



5:30 P.M.

APPROVAL OF TOTAL LABOR AND OUTSIDE CLAIMS

Councilman Oros moved that the Total Labor and Outside Claims in the amount of $1,966,713.16 be approved and ordered paid. Seconded by Councilman Venier. Voting Yea: Councilman Oros, Venier, Bishop, and Mayor Arellano. Voting Nay: None. Motion Carried

DEPARTMENT REPORTS None

CITY MANAGER REPORT

City Manager Langloss recognized Finance Director Fredericks and team for the outstanding work on the FY21 Financial Audit. Noted that we switched to a new auditing firm and sometimes the transiting can be challenging. Langloss discussed the Pension and IMRF funding, talked about state wide consolidations making the return rate better. Langloss thanked Councilman Oros for her role in the non-for-profit housing group that goes in and refurbishes houses. Participating in housing study. Langloss said the City won a $12 million grant. The Raise grant will be used to put a pedestrian walking bridge across the old railroad. It will add another 2.8-mile pathway including Page Park and Rt 2 around the tennis courts. A huge thank you to Larry Reid, former Mayor Burke, Greg Gates, Dave Schreiner, Fehr Graham, the community that participated in the surveys.

COUNCIL REPORTS Mayor Arellano – Spoke about the Raise grant and also thanked the riverfront commissioners, City Manager Langloss and all the members involved in bringing this amazing project to the community. A Moment of silence was observed for Sterling’s Firefighter Garrett Ramos who lost his life in the line of duty days ago. Rayovac will be completely out of their building by end of the year. Received final notification letter. Recognized Dixon Chamber for the Christmas walk and Small Shop Saturday. Was great to see people out and about in the community again. Talked about I88 welcome center, making it stand out and draw people to come into the downtown. Councilman Bishop – Agreed with everything the other Councilmembers addressed Councilman Considine – Absent Councilman Oros – Paid respects to Captain Garrett Ramos, his family including his work family as well as Dixon’s first responders. We are a community and need to come together. Mentioned there was a memorial fund set up at Sauk Valley Bank for Captain Ramos’s family. Recognized



5:30 P.M. the City and its accomplishments. Proud to be a part of all excited for what is still to come. Was excited the Christmas Walk was back after being gone last year. Dixon did a great job. Councilman Venier – Great performance coming up at the Dixon Theater – Christmas Carol with shows on the 10th,11th and 12th. Excited to see what the City has to come; many small steps lead to big leaps.

BOARD & COMMISSIONS REPORTS

Reports on file: Building Department Report

VISITORS/PUBLIC COMMENT None

ORD# 3258 – LEVY AND ASSESSMENT OF TAXES FOR THE CITY OF DIXON, LEE COUNTY, ILLINOIS FOR THE

FISCAL YEAR BEGINNING MAY 1, 2021 AND ENDING APRIL 30, 2022

Councilman Venier moved to authorize the ordinance with respect to the 2021 Tax Levy. Seconded by Councilman Bishop. Discussion ensued. Voting Yea: Councilman Oros, Venier, Bishop, and Mayor Arellano. Voting Nay: None. Motion Carried

RES# 2890-21 – AUTHORIZATION OF LOAN APPLICANTS AUTHORIZED REPRESENTATIVE TO SIGN PWSLP LOAN APPLICATION DOCUMENTS

Public Works Director/Assistant City Manager Heckman explained the request and discussion ensued. Councilman Bishop moved to approve the resolution authorizing the City Manager to sign all Public Water Supply Loan application documents and forms. Seconded by Councilman Venier. Voting Yea: Councilman Oros, Venier, Bishop, and Mayor Arellano. Voting Nay: None. Motion Carried

APPROVAL OF THE FY 2021 AUDIT Finance Director Fredericks explained the request and discussion ensued. Councilman Oros moved to approve the FY 2021 Audited Financial Statements. Seconded by Councilman Venier. Voting Yea: Councilman Oros, Venier, Bishop and Mayor Arellano. Voting Nay: None. Motion Carried



5:30 P.M.

APPROVAL OF BANK AGREEMENT BETWEEN THE CITY OF DIXON AND SAUK VALLEY BANK.

Finance Director Fredericks explained the process of the RFP bid sent out to all the City of Dixon’s Financial Institutions, and discussion ensued. Councilman Venier moved to approve the agreement between the City of Dixon and Sauk Valley Bank. Seconded by Councilman Bishop. Voting Yea: Councilman Venier, Bishop and Mayor Arellano. Voting Nay: None. Abstain: Councilman Oros. Motion Carried

APPROVAL OF DIXON HISTORIC THEATRE DONATION EXPENSE

Mayor Arellano explained that this was included in the FY21 approved budget, but because of the dollar amount it needed Councils approval. Councilman Bishop moved to approve the donation of $97,483.00 towards donation expense to the Dixon Historic Theatre. Seconded by Councilman Oros. Voting Yea: Councilman Oros, Venier, Bishop and Mayor Arellano. Voting Nay: None. Motion Carried

APPROVAL OF AGREEMENT FOR WITH CRAWFORD, MURPHY & TILLY, INC. FOR PERIMETER FENCE

Public Works Director/Assistant City Manager Heckman explained the request, and discussion ensued. This is new agreement of this request; the first contractor had the right to back out and chose to do so. Rebid by IDOT in July 2021. Councilman Oros moved to approve the agreement with Crawford, Murphy & Tilly, Inc for construction phase services related to the installation of the perimeter fence at the Dixon Municipal Airport. Seconded by Councilman Venier. Voting Yea: Councilman Oros, Venier, Bishop and Mayor Arellano. Voting Nay: None. Motion Carried

APPROVAL OF AGREEMENT WITH CRAWFORD, MURPHY & TILLY, INC. FOR TAXIWAY LIGHTING

Public Works Director/Assistant City Manager Heckman explained the request, and discussion ensued. Councilman Oros moved to approve the agreement with Crawford, Murphy & Tilly, Inc for construction phase services related to the installation of taxiway lighting at the Dixon Municipal Airport. Seconded by Councilman Bishop. Voting Yea: Councilman Oros, Venier, Bishop and Mayor Arellano. Voting Nay: None. Motion Carried



5:30 P.M.

APPROVAL TO EXPAND SERVING HOURS OF THE CLASS P LIQUOR LICENSE (BANQUET)

Mayor Arellano explained the request, and discussion ensued. Councilman Venier moved to approve the expanding of serving hours of the Class P Liquor License (banquet) to 1:00am until January 5, 2022. Seconded by Councilman Bishop. Voting Yea: Councilman Oros, Venier, Bishop and Mayor Arellano. Voting Nay: None. Motion Carried

EXECUTIVE SESSION

Councilman Bishop moved that the Council Meeting of Monday, December 6, 2021; meet in Executive Session to discuss purchase or sale of real property by the City pursuant to Section 2(c)(5) of the Open Meetings Act. Seconded by Councilman Oros. Voting Yea: Councilman Oros, Venier, Bishop, and Mayor Arellano. Voting Nay: None. Motion Carried

RECONVENE

Councilman Venier moved that the Regular Session Council Meeting of Monday, December 6, 2021, reconvene into Open Session. Seconded by Councilman Bishop. Voting Yea: Councilman Oros, Venier, Bishop, and Mayor Arellano. Voting Nay: None. Motion Carried

ADJOURMENT

Councilman Bishop moved that the Regular Council Meeting of Monday, December 6, 2021 be adjourned to meet in Regular Session on Monday, December 20, 2021, at 5:30pm in the Council Chambers at City Hall. Seconded by Councilman Oros. Voting Yea: Councilman Oros, Venier, Bishop, and Mayor Arellano. Voting Nay: None. Motion Carried The meeting adjourned at 8:24pm. ____________________________________ DEPUTY CITY CLERK

CITY OF DIXON Payment Approval Report - For Agenda Packets Page: 1

Report dates: 5/1/2021-12/20/2021 Dec 16, 2021 06:10PM

Report Criteria:

Invoices with totals above $.00 included.

Only paid invoices included.

[Report].Date Paid = 12/07/2021-12/20/2021

Segment DEPARTMENT Vendor Vendor Name Invoice Number Description Invoice Date Net Inv Amt Amount Paid Date Paid

4 ACE HARDWARE 655143 FUNNEL STRAINER, SUPER SHOCK IT 11/17/2021 94.00 94.00 12/20/2021

4 ACE HARDWARE 655441 POOL SHOCK, SUPER SHOCK 11/19/2021 100.48 100.48 12/20/2021

4 ACE HARDWARE 655781 1 GAL POOL SHOCK 11/24/2021 62.36 62.36 12/20/2021

4 ACE HARDWARE 656738 MISC OPERATING SUPPLIES 12/06/2021 371.15 371.15 12/20/2021

1612 CORE & MAIN LP P829830 ANCHOR COUPLINGS 12/07/2021 1,204.08 1,204.08 12/20/2021

1316 FEHR GRAHAM & ASSOCIATES 104449 PROJECT 17-526 - GALENA AVE WATE 11/30/2021 8,061.00 8,061.00 12/20/2021

458 LAYNE CHRISTENSEN COMPANY 2138207 WELL #8 REHAB 11/19/2021 100,368.05 100,368.05 12/20/2021

492 MARTIN & COMPANY EXCAVATING 29109 8.02 TN ASPHALT PAVING STONE, 47. 12/04/2021 1,592.00 1,592.00 12/20/2021

638 RENNER QUARRIES LTD. 55990 14.95 TN 3/4" CHIPS 12/09/2021 128.57 128.57 12/20/2021

836 WELLS FARGO NOV 2021 HOWELL 9714 TRAINING REFUND 12/03/2021 850.00- 850.00- 12/20/2021

850 WILLETT HOFMANN & ASSOC INC 30465 PROJECT 1070D20 DIXON I88 DEVEL 11/19/2021 47.52 47.52 12/20/2021

850 WILLETT HOFMANN & ASSOC INC 30465 PROJECT 1070D20 DIXON I88 DEVEL 11/19/2021 47.53 47.53 12/20/2021

Total : 111,226.74 111,226.74

REVENUES

REVENUES 836 WELLS FARGO DEC 2021 FREDERICKS 4 CASH REWARDS - DEC 2021 FREDERI 12/03/2021 573.00- 573.00- 12/20/2021

Total REVENUES: 573.00- 573.00-

COUNCIL

COUNCIL 725 STERLING CODIFIERS 12641 2021 S-5 SUPPLEMENT EDITING PAG 11/30/2021 348.00 348.00 12/20/2021

COUNCIL 725 STERLING CODIFIERS 13055 ANNUAL WEB HOSTING FEE; PERIOD 12/09/2021 500.00 500.00 12/20/2021

COUNCIL 828 WARD MURRAY PACE & JOHNSON 221013 FOR PROFESSIONAL SERVICES REN 12/10/2021 7,478.92 7,478.92 12/20/2021

COUNCIL 828 WARD MURRAY PACE & JOHNSON 221014 NOVEMBER 21 LEGAL FEES - TIF CRE 12/09/2021 4,621.50 4,621.50 12/20/2021

COUNCIL 836 WELLS FARGO DEC 2021 BLUMHOFF 18 FIRST CLASS MAILING 12/03/2021 7.38 7.38 12/20/2021

Total COUNCIL: 12,955.80 12,955.80

ADMINISTRATION

ADMINISTRATION 1193 AMERICAN DATABANK 2111033 BACKGROUND CHECK - KOLNER, S 11/30/2021 168.50 168.50 12/20/2021

ADMINISTRATION 45 ARJES, JESSE 4V5DSE RESILIENCY PROGRAM 12/09/2021 197.98 197.98 12/20/2021

ADMINISTRATION 122 CENTURYLINK DEC 2021 029672 MAYORS OFFICE 304029672 11/19/2021 121.78 121.78 12/19/2021

ADMINISTRATION 1933 CHASE PAYMENTECH NOV 2021 5946988 NON UTILITY CC FEES NOVEMBER 20 11/30/2021 374.13 374.13 12/19/2021

ADMINISTRATION 1084 ROCK RIVER HUMAN RESOURCE RRHRPA 2022 MEMBERS RRHRPA 2022 MEMBERSHIP DUES 12/09/2021 35.00 35.00 12/20/2021




ADMINISTRATION 675 SAUK VALLEY MEDIA 10125787 2021 ANNUAL TREASURER REPORT 11/17/2021 1,439.10 1,439.10 12/20/2021

ADMINISTRATION 677 SBM STERLING BUSINESS CENTER INV540317 COPIER CONTRACT #A9175-MX4070N 12/07/2021 195.13 195.13 12/20/2021

ADMINISTRATION 914 SIKICH LLP 538757 PROFESSIONAL SERVICES RENDERE 11/30/2021 750.00 750.00 12/20/2021

ADMINISTRATION 2802 SLIGHT EDGE COACHING 1069 EFFECTIVE PERSONAL LEADERSHIP 12/06/2021 3,500.00 3,500.00 12/20/2021

ADMINISTRATION 818 VENIER'S JEWELERS 14979 NEW PLATE & ENGRAVING 12/10/2021 24.00 24.00 12/20/2021

ADMINISTRATION 836 WELLS FARGO DEC 2021 9898 FREDERI IMTA (TREASURER) ANNUAL CONFER 12/03/2021 14.03 14.03 12/20/2021




ADMINISTRATION 836 WELLS FARGO DEC 2021 BLUMHOFF 18 COFFEE - PRESS CONFR. 11.18.2021 12/03/2021 9.98 9.98 12/20/2021

ADMINISTRATION 1814 XPRESS BILL PAY 61153 NOV 2021 NON UTILITY FEES 12/01/2021 110.93 110.93 12/19/2021

Total ADMINISTRATION: 7,513.12 7,513.12

INFORMATION TECHNOLOGY

INFORMATION TECHN 1775 AMAZON CAPITAL SERVICES INC 1KFQ-1KDX-XG9J 7 USB GPS RECEIVERS/3 CASES AND 12/01/2021 263.18 263.18 12/20/2021

INFORMATION TECHN 1775 AMAZON CAPITAL SERVICES INC 1YPR-WT1X-TQ6V COLOR IMAGECLASS WIRELESS MO 12/01/2021 768.00 768.00 12/20/2021

INFORMATION TECHN 2768 DACRA TECH LLC DT 2021-11-02 CORE360 MONTHLY SERVICE FEE - N 11/30/2021 850.00 850.00 12/20/2021

INFORMATION TECHN 393 INTERNATIONAL ASSN OF CHIEFS OF 0198150 ASSOCIATE GENERAL DUES 01.01.20 12/01/2021 190.00 190.00 12/20/2021

INFORMATION TECHN 1340 SHI INTERNATIONAL CORP B14422495 HUDDLY IQ CONFERENCE CAMERA H 11/29/2021 799.00 799.00 12/20/2021

INFORMATION TECHN 1340 SHI INTERNATIONAL CORP B14451769 2-HP 414X-HIGH YIELD BLACK LASER 12/06/2021 162.00 162.00 12/20/2021

INFORMATION TECHN 1311 STRATEGIC INSIGHTS INC 233 LICENSE UPGRADE/RENEWAL-PLAN-I 12/13/2021 1,550.00 1,550.00 12/20/2021

INFORMATION TECHN 1577 SYNDEO NETWORKS INC 14821 FIBER OPTIC INTERNET/IP SUBNET- 1 12/03/2021 224.99 224.99 12/20/2021

INFORMATION TECHN 836 WELLS FARGO DEC 2021 PHILHOWER 4 DUO SECURITY 2 FACTOR LOGIN 12/03/2021 300.00 300.00 12/20/2021

INFORMATION TECHN 836 WELLS FARGO DEC 2021 PHILHOWER 4 ZOOM SUBSCRIPTION 12/03/2021 14.99 14.99 12/20/2021

INFORMATION TECHN 836 WELLS FARGO DEC 2021 PHILHOWER 4 AMAZON MUSIC 12/03/2021 9.99 9.99 12/20/2021

INFORMATION TECHN 836 WELLS FARGO DEC 2021 PHILHOWER 4 CLOUDFLARE 12/03/2021 40.00 40.00 12/20/2021

INFORMATION TECHN 836 WELLS FARGO DEC 2021 PHILHOWER 4 DELL 12/03/2021 3.95 3.95 12/20/2021

INFORMATION TECHN 836 WELLS FARGO DEC 2021 PHILHOWER 4 DELL 12/03/2021 3.96 3.96 12/20/2021

INFORMATION TECHN 836 WELLS FARGO DEC 2021 PHILHOWER 4 MONITORS 12/03/2021 887.52 887.52 12/20/2021

INFORMATION TECHN 836 WELLS FARGO DEC 2021 PHILHOWER 4 COMPUTERS 12/03/2021 1,013.96 1,013.96 12/20/2021

Total INFORMATION TECHNOLOGY: 7,081.54 7,081.54

GRANT EXPENSES

GRANT EXPENSES 1316 FEHR GRAHAM & ASSOCIATES 104353 PROJECT 17-570P FY 2018 BROWNFI 11/30/2021 1,550.00 1,550.00 12/20/2021

Total GRANT EXPENSES: 1,550.00 1,550.00

INFRASTRUCTURE FUND EXPENSES

INFRASTRUCTURE FU 2902 BRIMAR INDUSTRIES LLC 12092021 SAFETYSIGN - 5 VEST, DOUBLE SIDE 12/07/2021 2,022.32 2,022.32 12/09/2021




INFRASTRUCTURE FU 1316 FEHR GRAHAM & ASSOCIATES 102997 PROJECT 20-1012 2021 STREET REB 09/30/2021 23,572.73 23,572.73 12/20/2021



INFRASTRUCTURE FU 1316 FEHR GRAHAM & ASSOCIATES 104451 PROJECT 20-208 2020 GENERAL MAI 11/30/2021 262.50 262.50 12/20/2021

INFRASTRUCTURE FU 1316 FEHR GRAHAM & ASSOCIATES 104459 SRTS NON INFRASTRUCTURE EVALU 12/09/2021 500.00 500.00 12/10/2021

INFRASTRUCTURE FU 503 HELM SERVICE 20694 DIXON STREETS 2021 09/30/2021 376,274.47 376,274.47 12/20/2021

INFRASTRUCTURE FU 503 HELM SERVICE 20846 DIXON STREETS 2021 11/19/2021 727,918.00 727,918.00 12/20/2021

INFRASTRUCTURE FU 650 ROCK RIVER READY MIX 24647 2.0 YD 4000 PSI, 2.0 CALCIUM, 2 YD W 11/29/2021 232.40 232.40 12/20/2021

INFRASTRUCTURE FU 837 WENDLER ENGINEERNG SERVICES I 41554 PROJECT 2200325 2021 GENERAL MA 12/03/2021 8,835.50 8,835.50 12/20/2021

INFRASTRUCTURE FU 850 WILLETT HOFMANN & ASSOC INC 30466 PROJECT 1156D18 - WEST FARGO CR 11/19/2021 2,775.75 2,775.75 12/20/2021

Total INFRASTRUCTURE FUND EXPENSES: 1,193,780.37 1,193,780.37

MUNICIPAL

MUNICIPAL 4 ACE HARDWARE 656819 CHRISTMAS DECORATION SUPPLIES 12/06/2021 15.03 15.03 12/20/2021

MUNICIPAL 52 ARAMARK 610000220439 MAT NYLON/RUBBER, MAT CARE GUA 11/30/2021 90.00 90.00 12/20/2021

MUNICIPAL 596 PEST CONTROL CONSULTANTS 289146 CITY HALL PEST CONTROL 12/01/2021 65.00 65.00 12/20/2021

MUNICIPAL 662 RP LUMBER COMPANY INC 2112-420817 CHRISTMAS DECORATION SUPPLIES 12/06/2021 14.80 14.80 12/20/2021

MUNICIPAL 1989 THE HOME DEPOT PRO 656046372 CUSTODIAL SUPPLIES CITY HALL 12/02/2021 174.68 174.68 12/20/2021

Total MUNICIPAL: 359.51 359.51

CAPITAL FUND EXPENSES

CAPITAL FUND EXPEN 242 ENGEL ELECTRIC CO 31539 TRAFFIC SIGNAL POST ASSEMBLY KN 09/27/2021 3,573.03 3,573.03 12/20/2021

CAPITAL FUND EXPEN 1316 FEHR GRAHAM & ASSOCIATES 104354 PROJECT 19-945 DIMCO SUPPLEMEN 11/30/2021 3,750.00 3,750.00 12/20/2021

CAPITAL FUND EXPEN 2743 PRAIRIE STATE TRACTOR LLC 80802 JOHN DEERE 1585 TRACTOR/WIDE A 09/09/2021 37,700.00 37,700.00 12/20/2021

Total CAPITAL FUND EXPENSES: 45,023.03 45,023.03

BUILDING ZONING

BUILDING ZONING 836 WELLS FARGO DEC 2021 MILLER 5661 TRAINING - J.BAY INT'L BLDG CODE 12/03/2021 152.00 152.00 12/20/2021

Total BUILDING ZONING: 152.00 152.00

STREETS

STREETS 4 ACE HARDWARE 655332 MISC OPERATING SUPPLIES 11/18/2021 32.49 32.49 12/20/2021

STREETS 4 ACE HARDWARE 655404 CRAYON LUMBER - BLACK, REB & BL 11/19/2021 17.93 17.93 12/20/2021

STREETS 4 ACE HARDWARE 655449 MISC OPERATING SUPPLIES 11/19/2021 60.77 60.77 12/20/2021

STREETS 4 ACE HARDWARE 656330 CM SCKT 1/2DR 36MM 12/01/2021 10.79 10.79 12/20/2021

STREETS 4 ACE HARDWARE 656472 MINI RED LED LIGHT, BLACK WINDO 12/02/2021 40.15 40.15 12/20/2021

STREETS 4 ACE HARDWARE 656582 WREATH NORTH PIN CLR, SPRYPAIN 12/03/2021 62.03 62.03 12/20/2021




STREETS 4 ACE HARDWARE 656882 KEYS 12/07/2021 5.37 5.37 12/20/2021

STREETS 2650 AEP ENERGY DEC 2021 151168 0 RIVER ST. ALLEY S GALENA - 30131 11/29/2021 424.46 424.46 12/20/2021

STREETS 2650 AEP ENERGY DEC 2021 151393 0 BLOODY GULCH RD LITE - 30131513 11/24/2021 31.77 31.77 12/20/2021

STREETS 2650 AEP ENERGY DEC 2021 151405 E RIVER RD 0 ARTESIAN PLACE - 301 11/29/2021 87.57 87.57 12/20/2021

STREETS 2650 AEP ENERGY DEC 2021 151416 105 E RIVER RD LITE RT 25 - 3013151 11/29/2021 545.32 545.32 12/20/2021

STREETS 52 ARAMARK 610000225244 DM0001DKGY MAT NYLON/RUBBER 3 12/09/2021 57.50 57.50 12/20/2021

STREETS 85 BONNELL INDUSTRIES INC 0201554-IN CURB SHOE, BULL NOSE STYLE, FOR 11/30/2021 305.28 305.28 12/20/2021

STREETS 85 BONNELL INDUSTRIES INC 0201673-IN 29.5" #40 ROLLER CHAIN 12/06/2021 107.64 107.64 12/20/2021

STREETS 85 BONNELL INDUSTRIES INC 0201676-IN CURB SHOE, MITER ANGLE END AND 12/06/2021 351.52 351.52 12/20/2021

STREETS 1678 CIT TRUCKS LLC 109P121915 FILTER FRESH AIR 12/09/2021 46.15 46.15 12/20/2021

STREETS 157 CONSTELLATION NEW ENERGY INC 60938513101 78 S GALENA AVE - 7296274-55031 11/30/2021 317.52 317.52 12/20/2021

STREETS 157 CONSTELLATION NEW ENERGY INC 61121245301 PAVILLION LIGHTING 105 W RIVER ST 11/30/2021 196.53 196.53 12/20/2021

STREETS 157 CONSTELLATION NEW ENERGY INC 61121252001 0 PEORIA AVE LINCOLN STATUE DR - 11/30/2021 68.57 68.57 12/20/2021

STREETS 157 CONSTELLATION NEW ENERGY INC 61121257501 0 GALENA W RIVER ST - 7296274-5503 11/30/2021 36.85 36.85 12/20/2021

STREETS 157 CONSTELLATION NEW ENERGY INC 61131445101 416 S DEMENT AVE - 7296274-55031 11/30/2021 128.60 128.60 12/20/2021

STREETS 157 CONSTELLATION NEW ENERGY INC 61131445301 524 E RIVER ST - 7296274-55031 11/30/2021 47.41 47.41 12/20/2021

STREETS 1277 FISCH MOTORS INC 3507 TRUCK TEST 11/19/2021 51.00 51.00 12/20/2021

STREETS 1277 FISCH MOTORS INC 3527 TRUCK TEST 11/29/2021 34.00 34.00 12/20/2021

STREETS 1277 FISCH MOTORS INC 3528 TRUCK, 5, 7, 1 11/29/2021 102.00 102.00 12/20/2021

STREETS 2205 FRANK'S SMALL ENGINE REPAIR 3633 OIL, BLADE, AND SEAL KIT 10/25/2021 504.43 504.43 12/20/2021

STREETS 492 MARTIN & COMPANY EXCAVATING 29108 8.5 TN ASPHALT PAVING OREGON ST 12/04/2021 476.00 476.00 12/20/2021

STREETS 505 MENARDS 05840 12 GALLON 6.0 PEAK HP 12/03/2021 99.99 99.99 12/20/2021

STREETS 505 MENARDS 05840 NYLON LOCK NUTS/FLAT WASHERS/ 12/03/2021 472.80 472.80 12/20/2021

STREETS 619 PRECISION AUTOMOTIVE 1475 BLOWER MOTOR RESISTOR RESIST 12/01/2021 248.20 248.20 12/20/2021

STREETS 650 ROCK RIVER READY MIX 24552 2.50 YD 4000 PSI, 2.5 YD CALCIUM, 2.5 11/19/2021 290.50 290.50 12/20/2021

STREETS 650 ROCK RIVER READY MIX 24624 2.5 YD 4000 PSI, 2.5 YD CALCIUM 11/23/2021 284.25 284.25 12/20/2021

STREETS 650 ROCK RIVER READY MIX 24637 2.0 YD 4000 PSI, 2.0 YD CALCIUM 11/24/2021 232.40 232.40 12/20/2021

STREETS 650 ROCK RIVER READY MIX 24703 3.25 YD 4000 PSI, 3.25 YD WINTER 11/30/2021 369.53 369.53 12/20/2021

STREETS 682 SCHMITT PLUMBING & HEATING 63002 REPLACE 10" STORM SEWER 7TH & 09/30/2021 1,405.00 1,405.00 12/20/2021

STREETS 728 STERLING NAPA AUTO PARTS 123347 EXATIFITBLADE, OIL DRY 11/30/2021 81.43 81.43 12/20/2021

STREETS 728 STERLING NAPA AUTO PARTS 123421 BOXED CAPSULES 11/30/2021 51.56 51.56 12/20/2021

STREETS 728 STERLING NAPA AUTO PARTS 123545 LED SS S T T 60 SER 12/01/2021 36.98 36.98 12/20/2021

STREETS 728 STERLING NAPA AUTO PARTS 124179 AIR FILTERS, FUEL FILTERS 12/07/2021 489.71 489.71 12/20/2021

STREETS 728 STERLING NAPA AUTO PARTS 124217 AIR FILTER 12/07/2021 200.04 200.04 12/20/2021

STREETS 728 STERLING NAPA AUTO PARTS 124265 RAGS IN A BOX 12/07/2021 13.99 13.99 12/20/2021

STREETS 954 TIMBER INDUSTRIES LLC 211988 BROWN DYED MULCH 12/03/2021 58.00 58.00 12/20/2021

STREETS 836 WELLS FARGO DEC2021 4781 CANTERB EMPLOYEE APPRECIATION LUNCH 12/03/2021 113.27 113.27 12/20/2021

STREETS 836 WELLS FARGO DEC2021 4781 CANTERB EMPLOYEE APPRECIATION LUNCH 12/03/2021 225.11 225.11 12/20/2021

STREETS 840 WHATEVER IT TAKES REPAIR 46868P MISC REPAIRS 11/30/2021 70.59 70.59 12/20/2021




Total STREETS: 8,893.00 8,893.00

PUBLIC PROPERTY

PUBLIC PROPERTY 4 ACE HARDWARE 655240 LIFT RENTAL 11/17/2021 1,880.00 1,880.00 12/20/2021

PUBLIC PROPERTY 4 ACE HARDWARE 655585 MISC OPERATING SUPPLIES 11/22/2021 13.49 13.49 12/20/2021

PUBLIC PROPERTY 4 ACE HARDWARE 656287 FLEXSEAL BLK SPRAY 11/30/2021 14.17 14.17 12/20/2021

PUBLIC PROPERTY 4 ACE HARDWARE 656490 MISC OPERATING SUPPLIES 12/02/2021 42.28 42.28 12/20/2021

PUBLIC PROPERTY 4 ACE HARDWARE 657010 SLOP SUPPLIES - NUT LOCK SS 1/4" B 12/08/2021 24.27 24.27 12/20/2021

PUBLIC PROPERTY 52 ARAMARK 610000221988 MAT NYLON/RUBBER, MASK REUSAB 12/02/2021 11.25 11.25 12/20/2021

PUBLIC PROPERTY 2874 POLO COOPERATIVE ASSOCIATION 3084 276 GALLONS PREBLENDED GASOH 11/24/2021 440.63 440.63 12/20/2021

PUBLIC PROPERTY 635 RAYNOR DOOR AUTHORITY 58354 SLIPPED DRUM TO LEVEL THE DOOR 11/24/2021 90.50 90.50 12/20/2021

PUBLIC PROPERTY 728 STERLING NAPA AUTO PARTS 121031 FUSE HOLDER 11/10/2021 10.29 10.29 12/20/2021

PUBLIC PROPERTY 728 STERLING NAPA AUTO PARTS 121141 2004 GMC SIERRA BRAKE PADS,ROT 11/11/2021 673.39 673.39 12/20/2021

PUBLIC PROPERTY 728 STERLING NAPA AUTO PARTS 122157 RETURN OF BRAKE MOTORS 11/18/2021 337.97- 337.97- 12/20/2021

PUBLIC PROPERTY 728 STERLING NAPA AUTO PARTS 122159 2004 GMC SIERRA WATER PUMP AND 11/18/2021 279.20 279.20 12/20/2021

PUBLIC PROPERTY 728 STERLING NAPA AUTO PARTS 123424 BULK BATTERY CABLE, BATTERY AC 11/30/2021 25.45 25.45 12/20/2021

PUBLIC PROPERTY 728 STERLING NAPA AUTO PARTS 123426 HEAT SHRINK TUBING 11/30/2021 5.75 5.75 12/20/2021

PUBLIC PROPERTY 728 STERLING NAPA AUTO PARTS 123753 BATTERY ACCESSORIES 12/02/2021 14.99 14.99 12/20/2021

PUBLIC PROPERTY 836 WELLS FARGO DEC 2021 HECKMAN 436 DECEMBER 2021 CHRISTMAS DECOR 12/03/2021 297.00 297.00 12/20/2021

PUBLIC PROPERTY 850 WILLETT HOFMANN & ASSOC INC 30448 2021 FARGO CREEK DAM INSPECTIO 11/12/2021 1,216.80 1,216.80 12/20/2021

Total PUBLIC PROPERTY: 4,701.49 4,701.49

CEMETERY

CEMETERY 4 ACE HARDWARE 656132 LIGHT BULBS, TOILET BOWL CLEANE 11/29/2021 85.54 85.54 12/20/2021

CEMETERY 52 ARAMARK 610000221988 MAT NYLON/RUBBER, MASK REUSAB 12/02/2021 11.25 11.25 12/20/2021

CEMETERY 1500 JOHNSON TRACTOR INC WA13005 BATTERY 11/24/2021 257.97 257.97 12/20/2021

CEMETERY 436 KITZMAN'S LTD. 437256 2X12X12 - #2 BETTER KD SPF 12/02/2021 23.18 23.18 12/20/2021

CEMETERY 2874 POLO COOPERATIVE ASSOCIATION 3084 276 GALLONS PREBLENDED GASOH 11/24/2021 440.64 440.64 12/20/2021

CEMETERY 2743 PRAIRIE STATE TRACTOR LLC 114310 J.D. MOWER BAGGER PARTS 12/08/2021 395.17 395.17 12/20/2021

CEMETERY 627 QUALITY READY MIX CONCRETE INC 35213 3.5 TORP SAND - QRM STOCKPILE 11/19/2021 52.50 52.50 12/20/2021

CEMETERY 635 RAYNOR DOOR AUTHORITY 58354 SLIPPED DRUM TO LEVEL THE DOOR 11/24/2021 90.50 90.50 12/20/2021

CEMETERY 728 STERLING NAPA AUTO PARTS 122493 CIRCUIT TESTER 11/22/2021 27.51 27.51 12/20/2021

CEMETERY 728 STERLING NAPA AUTO PARTS 122647 BATTERY FOR LEAF VAC 11/23/2021 139.19 139.19 12/20/2021

CEMETERY 728 STERLING NAPA AUTO PARTS 122689 BULB 11/23/2021 1.69 1.69 12/20/2021

Total CEMETERY: 1,525.14 1,525.14

VETERANS PARK

VETERANS PARK 146 COM ED DEC 2021 331015 1217 PALMYRA ST - VETERANS PARW 11/22/2021 52.21 52.21 12/20/2021




VETERANS PARK 555 NICOR NOV 2021 02686019296 1217 PALMYRA ST 02-68-60-1929 6 10/21/2021 58.49 58.49 12/20/2021

Total VETERANS PARK: 110.70 110.70

PUBLIC SAFETY BUILDING

PUBLIC SAFETY BUILD 19 ALARM DETECTION SYSTEMS INC. 137704-1055 QUARTERLY ALARM MONITORING PB 12/05/2021 386.34 386.34 12/20/2021

PUBLIC SAFETY BUILD 26 ALPHA CONTROLS & SERVICES C006347 QUARTERLY FACILITY OPTIMIZATION 12/01/2021 1,227.50 1,227.50 12/20/2021

PUBLIC SAFETY BUILD 52 ARAMARK 610000218920 MAT NYLON/RUBBER 11/25/2021 109.00 109.00 12/20/2021

PUBLIC SAFETY BUILD 168 CULLIGAN OF DIXON DEC 2021 105486 SOFTNER SALT PSB 11/30/2021 66.50 66.50 12/20/2021

PUBLIC SAFETY BUILD 503 HELM SERVICE FRE129994 PSB - REPLACE HOT WATER VALVE O 11/21/2021 526.68 526.68 12/20/2021

PUBLIC SAFETY BUILD 555 NICOR NOV 2021 14643162390 210-220 S HENNEPIN AVE 04-64-31-62 11/16/2021 393.80 393.80 12/20/2021

Total PUBLIC SAFETY BUILDING: 2,709.82 2,709.82

DOWNTOWN MAINTENANCE

DOWNTOWN MAINTEN 4 ACE HARDWARE 653676 MISC OPERATING SUPPLIES 11/02/2021 123.93 123.93 12/20/2021














Total DOWNTOWN MAINTENANCE: 383.68 383.68

TRAFFIC MAINTENANCE

TRAFFIC MAINTENANC 4 ACE HARDWARE 656191 HARDWARE 11/30/2021 8.59 8.59 12/20/2021

TRAFFIC MAINTENANC 4 ACE HARDWARE 656450 8" CRIMPER LONG NOSE 12/02/2021 22.49 22.49 12/20/2021

TRAFFIC MAINTENANC 148 COMCAST CABLE NOV 2021 166520 INTERNET 612 E 7TH STREET - 87711 11/27/2021 69.95 69.95 12/19/2021

Total TRAFFIC MAINTENANCE: 101.03 101.03

WATER

WATER 4 ACE HARDWARE 653934 NIPPLE GALVE, COUPLING, BATTERIE 11/04/2021 66.92 66.92 12/20/2021




WATER 4 ACE HARDWARE 654232 GRADE STAKE, HITCH PINS, SUPER S 11/08/2021 114.74 114.74 12/20/2021

WATER 4 ACE HARDWARE 654604 MISC OPERATING SUPPLIES 11/11/2021 35.61 35.61 12/20/2021


WATER 4 ACE HARDWARE 655164 MILWAUKEE GRINDER 11/17/2021 449.99 449.99 12/20/2021

WATER 4 ACE HARDWARE 655189 HARDWARE 11/17/2021 10.21 10.21 12/20/2021

WATER 4 ACE HARDWARE 655265 FLASHLIGHT 11/18/2021 53.99 53.99 12/20/2021

WATER 4 ACE HARDWARE 655565 POOL SHOCK, TRASH CAN 11/22/2021 29.03 29.03 12/20/2021

WATER 4 ACE HARDWARE 655647 SHOP LABOR, SPK PLUG, CHEMICAL 11/23/2021 43.19 43.19 12/20/2021



WATER 4 ACE HARDWARE 656227 HARDWARE 11/30/2021 8.96 8.96 12/20/2021

WATER 4 ACE HARDWARE 656275 SMALL TOOLS 11/30/2021 20.40 20.40 12/20/2021

WATER 4 ACE HARDWARE 656356 PLIERS 12/01/2021 8.99 8.99 12/20/2021

WATER 4 ACE HARDWARE 656356 MISC CLEANING SUPPLIES 12/01/2021 10.42 10.42 12/20/2021

WATER 4 ACE HARDWARE 656605 B BOX REPAIR 12/03/2021 17.62 17.62 12/20/2021

WATER 4 ACE HARDWARE 656638 B BOX REPAIR 12/03/2021 19.78 19.78 12/20/2021

WATER 4 ACE HARDWARE 656762 GAUGE PRESS LIQUID 12/06/2021 8.99 8.99 12/20/2021

WATER 4 ACE HARDWARE 656980 CLAMPS 12/08/2021 10.04 10.04 12/20/2021

WATER 19 ALARM DETECTION SYSTEMS INC. 90640-1055 QUARTERLY CHARGES JANUARY - M 12/05/2021 105.00 105.00 12/20/2021

WATER 24 ALL-SAFE OF DIXON 157381 FLUORIDE SAMPLES SHIPPING 12/01/2021 10.19 10.19 12/20/2021

WATER 24 ALL-SAFE OF DIXON 157635 WATER SAMPLE 12/03/2021 9.59 9.59 12/20/2021

WATER 24 ALL-SAFE OF DIXON 158229 SHIPPING 12/09/2021 10.19 10.19 12/20/2021

WATER 1775 AMAZON CAPITAL SERVICES INC 17R4-FFJC-V1CV MOPHIE JUICE PACK WIRELESS 11/30/2021 99.95 99.95 12/20/2021

WATER 1662 BARBECK COMMUNICATIONS 119001289-1 VEHICLE INSTALLATION GEN4 GRILE 11/30/2021 389.29 389.29 12/20/2021

WATER 2526 BMS TECHNOLOGIES 75260 NOV 2021 UTILITY BILL POSTAGE 12/01/2021 1,175.53 1,175.53 12/20/2021

WATER 2526 BMS TECHNOLOGIES 75260 NOV 2021 UTILITY BILL PROCESSING 12/01/2021 404.01 404.01 12/20/2021

WATER 2526 BMS TECHNOLOGIES 75260 NOV2021 SHUT OFF POSTAGE 12/01/2021 132.14 132.14 12/20/2021

WATER 2526 BMS TECHNOLOGIES 75260 NOV 2021 SHUT OFF PROCESSING 12/01/2021 45.42 45.42 12/20/2021

WATER 2828 CERONI PIPING COMPANY 49980 INSTALL NEW DISCHARGE TEE WELL 11/17/2021 5,198.00 5,198.00 12/20/2021

WATER 1933 CHASE PAYMENTECH NOV 2021 5945769 UTILITY CC FEES NOV 2021 11/30/2021 2,604.60 2,604.60 12/19/2021

WATER 2837 CHEMCO INDUSTRIES INC 109890 NUT BUSTER (AEROSOL), BIO ZYME, 12/01/2021 403.51 403.51 12/20/2021

WATER 148 COMCAST CABLE DEC 2021 258608 1329 N GALENA AVE INTERNET 12/05/2021 98.40 98.40 12/19/2021

WATER 157 CONSTELLATION NEW ENERGY INC 61131422001 420 E RIVER RD (WELL #5) - 10634424 11/24/2021 1,436.42 1,436.42 12/20/2021

WATER 157 CONSTELLATION NEW ENERGY INC 61146189901 1952 LOWELL PARK RD - 10634421 11/25/2021 189.00 189.00 12/20/2021

WATER 157 CONSTELLATION NEW ENERGY INC 61146218901 2019 LOWELL PARK RD - 10634422 11/25/2021 51.84 51.84 12/20/2021

WATER 157 CONSTELLATION NEW ENERGY INC 61146223601 1740 N BRINTON AVE - 10634423 11/25/2021 133.30 133.30 12/20/2021

WATER 157 CONSTELLATION NEW ENERGY INC 61146349101 0 CHICAGO AVE (BOOSTER 8) - 10634 11/25/2021 338.25 338.25 12/20/2021

WATER 157 CONSTELLATION NEW ENERGY INC 61146534901 1329 N GALENA AVE, WELL 9 - 106344 11/30/2021 3,515.19 3,515.19 12/20/2021

WATER 157 CONSTELLATION NEW ENERGY INC 61146536201 1025 NACHUSA AVE, WELL 7 - 106344 11/30/2021 4,674.83 4,674.83 12/20/2021

WATER 157 CONSTELLATION NEW ENERGY INC 61146551001 1512 S COLLEGE AVE - 10634418 11/25/2021 344.10 344.10 12/20/2021

WATER 157 CONSTELLATION NEW ENERGY INC 61146554901 1100 WARP RD WELL #8 - 10634420 11/30/2021 2,648.26 2,648.26 12/20/2021




WATER 157 CONSTELLATION NEW ENERGY INC 61146663701 1125 N JEFFERSON WELL#6 - 1063441 11/30/2021 2,648.43 2,648.43 12/20/2021

WATER 157 CONSTELLATION NEW ENERGY INC 61146799001 92 ARTESIAN PLACE - 10634412 11/30/2021 3,642.04 3,642.04 12/20/2021

WATER 157 CONSTELLATION NEW ENERGY INC 61146823001 1552 DUTCH RD WELL #10, 10634413 11/30/2021 1,811.43 1,811.43 12/20/2021

WATER 1316 FEHR GRAHAM & ASSOCIATES 104432 PROJECT 21-489 RISK AND RESILIEN 11/30/2021 6,000.00 6,000.00 12/20/2021

WATER 275 FYR- FYTER INC 77384 ANNUAL SERVICE 11/23/2021 575.15 575.15 12/20/2021

WATER 339 HUFFMAN CAR WASH 149122 TRUCK WASH 11/24/2021 11.75 11.75 12/20/2021

WATER 2800 J & R SUPPLY INC 2111395-IN MISC OPERATING SUPPLIES 11/30/2021 445.00 445.00 12/20/2021

WATER 2800 J & R SUPPLY INC 2111603-IN MISC OPERATING SUPPLIES 12/10/2021 300.00 300.00 12/20/2021

WATER 436 KITZMAN'S LTD. 437150 2-2X4X8, 1-2X4X10 11/30/2021 18.35 18.35 12/20/2021

WATER 505 MENARDS 04635 PLUMBING SUPPLIES 11/17/2021 48.75 48.75 12/20/2021

WATER 509 METROPOLITAN INDUSTRIES INC INV032455 DATA SERVICE METRO CLOUD DATA 10/15/2021 910.00 910.00 12/20/2021

WATER 594 PDC LABORATORIES I9492169 FLUORIDE BY PROBE 12/08/2021 54.00 54.00 12/20/2021

WATER 594 PDC LABORATORIES I9492591 FLUORIDE BY PROBE X2 12/10/2021 36.00 36.00 12/20/2021

WATER 596 PEST CONTROL CONSULTANTS 355507 MONTHLY PEST CONTROL 12/09/2021 68.00 68.00 12/20/2021

WATER 627 QUALITY READY MIX CONCRETE INC 35110 2 IDOT PP 11/01/2021 270.00 270.00 12/20/2021

WATER 635 RAYNOR DOOR AUTHORITY 58849 MICELLANEOUS GARAGE DOOR REP 11/30/2021 577.00 577.00 12/20/2021

WATER 677 SBM STERLING BUSINESS CENTER INV540317 COPIER CONTRACT #A9175-MX4070N 12/07/2021 97.56 97.56 12/20/2021

WATER 780 TOTAL WATER TREATMENT SYSTEMS 0953498 DI SERVICE - DEC 2021 11/30/2021 78.92 78.92 12/20/2021

WATER 809 USA BLUEBOOK 804004 Y-STRAINER 1' TRUE UNION PVC MES 11/29/2021 324.24 324.24 12/20/2021

WATER 836 WELLS FARGO DEC 2021 HUYETT 7903 MISC OPERATING SUPPLIES 12/03/2021 106.85 106.85 12/20/2021

WATER 836 WELLS FARGO DEC 2021 HUYETT 7903 REESE HD BALL MOUNT 12/03/2021 47.99 47.99 12/20/2021

WATER 1814 XPRESS BILL PAY 61153 NOV 2021 UTILITY FEES 12/01/2021 736.92 736.92 12/19/2021

Total WATER: 43,906.53 43,906.53

SEWAGE TREATMENT

SEWAGE TREATMENT 1166 1ST AYD CORPORATION PSI496643 OIL & WATER ABSORBENT ROLL 12/03/2021 222.24 222.24 12/20/2021

SEWAGE TREATMENT 4 ACE HARDWARE 653559 MISC OPERATING SUPPLIES 11/01/2021 17.94 17.94 12/20/2021

SEWAGE TREATMENT 4 ACE HARDWARE 654383 ALL PURPOSE SPRAYER 11/09/2021 4.66 4.66 12/20/2021

SEWAGE TREATMENT 4 ACE HARDWARE 654401 RUST REFORMER SPRAY, ACE RSTP 11/09/2021 11.86 11.86 12/20/2021

SEWAGE TREATMENT 4 ACE HARDWARE 654463 PINE SOL, PLASTIC BUCKET, NOZZLE 11/10/2021 23.91 23.91 12/20/2021


SEWAGE TREATMENT 4 ACE HARDWARE 655262 AIR COUPLER, 24 PK WATER, 3/8" 50' 11/18/2021 75.72 75.72 12/20/2021

SEWAGE TREATMENT 4 ACE HARDWARE 655665 14" RUBBER TARP STRAP 11/23/2021 21.49 21.49 12/20/2021


SEWAGE TREATMENT 4 ACE HARDWARE 655679 RUBBER TARP STRAP ORIGINAL INV 11/23/2021 21.49- 21.49- 12/20/2021

SEWAGE TREATMENT 4 ACE HARDWARE 656495 PRO NYLON WALL BRUSH 18" 12/02/2021 17.09 17.09 12/20/2021

SEWAGE TREATMENT 52 ARAMARK 610000220587 MAT NYLON/RUBBER, MASK REUSAB 11/30/2021 48.50 48.50 12/20/2021

SEWAGE TREATMENT 52 ARAMARK 610000223623 MAT NYLON/RUBBER 12/07/2021 48.50 48.50 12/20/2021

SEWAGE TREATMENT 2526 BMS TECHNOLOGIES 75260 NOV 2021 UTILITY BILL POSTAGE 12/01/2021 1,175.53 1,175.53 12/20/2021

SEWAGE TREATMENT 2526 BMS TECHNOLOGIES 75260 NOV 2021 UTILITY BILL PROCESSING 12/01/2021 404.01 404.01 12/20/2021




SEWAGE TREATMENT 2526 BMS TECHNOLOGIES 75260 NOV2021 SHUT OFF POSTAGE 12/01/2021 132.14 132.14 12/20/2021

SEWAGE TREATMENT 2526 BMS TECHNOLOGIES 75260 NOV 2021 SHUT OFF PROCESSING 12/01/2021 45.42 45.42 12/20/2021

SEWAGE TREATMENT 122 CENTURYLINK DEC 2021 027784 WASTEWATER 304027784 11/19/2021 355.49 355.49 12/19/2021

SEWAGE TREATMENT 1933 CHASE PAYMENTECH NOV 2021 5945769 UTILITY CC FEES NOV 2021 11/30/2021 2,604.60 2,604.60 12/19/2021

SEWAGE TREATMENT 1992 CJL & M LLC 1311 CONTRACTUAL NOV 2021 11/30/2021 306.00 306.00 12/20/2021

SEWAGE TREATMENT 157 CONSTELLATION NEW ENERGY INC 61121250601 1670 BRANDYWINE LANE 7296274-55 11/30/2021 69.02 69.02 12/20/2021

SEWAGE TREATMENT 157 CONSTELLATION NEW ENERGY INC 61131436701 2600 W 3RD STREET - 7296274-28 11/24/2021 18,797.75 18,797.75 12/20/2021

SEWAGE TREATMENT 157 CONSTELLATION NEW ENERGY INC 61146174501 976 TAYLOR CT - 7296274-55031 11/30/2021 82.72 82.72 12/20/2021

SEWAGE TREATMENT 157 CONSTELLATION NEW ENERGY INC 61146318501 128 LIBERTY CT - 7296274-55031 11/30/2021 36.59 36.59 12/20/2021

SEWAGE TREATMENT 157 CONSTELLATION NEW ENERGY INC 61146344401 0 LOWELL PARK RD - 7296274-55031 11/30/2021 145.64 145.64 12/20/2021

SEWAGE TREATMENT 157 CONSTELLATION NEW ENERGY INC 61146469801 1731 TILTON PARK DR - 7296274-5503 11/30/2021 41.90 41.90 12/20/2021

SEWAGE TREATMENT 157 CONSTELLATION NEW ENERGY INC 61146482301 926 E RIVER RD - 7296274-55031 11/30/2021 42.04 42.04 12/20/2021

SEWAGE TREATMENT 157 CONSTELLATION NEW ENERGY INC 61146555401 706 E FELLOWS ST - 7296274-55031 11/30/2021 43.13 43.13 12/20/2021

SEWAGE TREATMENT 339 HUFFMAN CAR WASH 149001 TRUCK WASH 11/01/2021 6.25 6.25 12/20/2021




SEWAGE TREATMENT 1541 KALEEL'S 7 HI VIS - T.COLE 12/07/2021 100.00 100.00 12/20/2021

SEWAGE TREATMENT 531 MO-ST PLUMBING 28684 CLEAN & SERVICE ICE MACHINE; REP 11/03/2021 469.90 469.90 12/20/2021

SEWAGE TREATMENT 635 RAYNOR DOOR AUTHORITY 57192 DOOR REMOTES FOR WASTEWATER 10/29/2021 495.00 495.00 12/20/2021

SEWAGE TREATMENT 677 SBM STERLING BUSINESS CENTER INV539935 DIARY DAILY BUSINESS, CALENDAR, 12/03/2021 167.08 167.08 12/20/2021

SEWAGE TREATMENT 677 SBM STERLING BUSINESS CENTER INV540317 COPIER CONTRACT #A9175-MX4070N 12/07/2021 97.56 97.56 12/20/2021

SEWAGE TREATMENT 728 STERLING NAPA AUTO PARTS 122693 9" EPDM TART TIE 11/23/2021 16.90 16.90 12/20/2021

SEWAGE TREATMENT 735 STRAND ASSOCIATES INC 177804 1506.316 PROF SERV NOVEMBER 1-3 12/07/2021 1,111.11 1,111.11 12/20/2021

SEWAGE TREATMENT 809 USA BLUEBOOK 803084 WIDE MOUTH BOTTLES NALGENE 11/24/2021 90.77 90.77 12/20/2021

SEWAGE TREATMENT 836 WELLS FARGO DEC 2021 MILLER 5661 IPASS REPLENISHMENT 12/03/2021 10.00 10.00 12/20/2021

SEWAGE TREATMENT 836 WELLS FARGO DEC 2021 MILLER 5661 IPASS REPLENISHMENT 12/03/2021 10.00 10.00 12/20/2021

SEWAGE TREATMENT 836 WELLS FARGO DECEMBER 2021 2650 M APPLE.COM/BILL ICLOUD+ WITH 50 G 12/03/2021 .99 .99 12/20/2021

SEWAGE TREATMENT 1814 XPRESS BILL PAY 61153 NOV 2021 UTILITY FEES 12/01/2021 736.92 736.92 12/19/2021

Total SEWAGE TREATMENT: 28,109.28 28,109.28

FIRE

FIRE 22 ALEXIS FIRE EQUIPMENT CO. 0071898-IN E4 AND SQ5 REPAIRS 11/30/2021 476.17 476.17 12/20/2021

FIRE 1775 AMAZON CAPITAL SERVICES INC 139W-DFDK-YG64 100 PIECE 3 PLY EARLOOP FACE MAS 12/01/2021 69.90 69.90 12/20/2021

FIRE 1775 AMAZON CAPITAL SERVICES INC 1KD7-K17R-Y7N9 8 RITE IN THE RAIN ALL WEATHER BE 12/01/2021 100.48 100.48 12/20/2021

FIRE 1662 BARBECK COMMUNICATIONS 141000730-1 CRADLEPOINTS FOR C1, C2, E4 12/01/2021 610.00 610.00 12/20/2021

FIRE 122 CENTURYLINK DEC 2021 074498 PSB 304074498 11/19/2021 280.00 280.00 12/19/2021

FIRE 1651 ESO SOLUTIONS INC ESO-65259 ESO RECORDS MANAGEMENT SOFT 12/01/2021 7,515.12 7,515.12 12/20/2021

FIRE 427 KEN NELSON AUTO PLAZA 351531 SQ5 SEAT REPAIR 10/21/2021 55.00 55.00 12/20/2021

FIRE 1980 SNYDER'S PHARMACY 00382561 EMS SUPPLIES 11/26/2021 77.12 77.12 12/20/2021




FIRE 1980 SNYDER'S PHARMACY 00382754 EMS SUPPLIES 11/29/2021 177.23 177.23 12/20/2021

FIRE 836 WELLS FARGO DEC 2021 BUSKOHL 6211 HANSLER BABY GIFT 12/03/2021 52.13 52.13 12/20/2021

FIRE 836 WELLS FARGO DEC 2021 BUSKOHL 6211 MEAL PLAN- BUSKOHL- NFA 12/03/2021 318.56 318.56 12/20/2021

FIRE 836 WELLS FARGO DEC 2021 HENRY 2638 OFFICE SUPPLIES 12/03/2021 17.96 17.96 12/20/2021

FIRE 836 WELLS FARGO DEC 2021 HENRY 2638 FUEL- FISHER AT IFSI 12/03/2021 51.21 51.21 12/20/2021

FIRE 836 WELLS FARGO DEC 2021 HENRY 2638 GAS- TRAINING CAR 12/03/2021 67.74 67.74 12/20/2021

FIRE 836 WELLS FARGO DEC 2021 HENRY 2638 SHIFT THANKSGIVING MEAL 12/03/2021 37.32 37.32 12/20/2021

FIRE 836 WELLS FARGO DEC 2021 HENRY 2638 SHIFT THANKSGIVING MEAL 12/03/2021 40.00 40.00 12/20/2021

FIRE 836 WELLS FARGO DEC 2021 LOHSE 6229 LUNCH FOR TRAINING 11-6-21 12/03/2021 61.96 61.96 12/20/2021

FIRE 836 WELLS FARGO DEC 2021 LOHSE 6229 LODGING FOR FISHER AT RIT 12/03/2021 497.15 497.15 12/20/2021

FIRE 836 WELLS FARGO DEC 2021 LOHSE 6229 LODGING FOR BERGEMANN, PALACZ 12/03/2021 994.30 994.30 12/20/2021

FIRE 836 WELLS FARGO DEC 2021 LOHSE 6229 MEDIC LICENSE RENEWAL- BROWN 12/03/2021 41.00 41.00 12/20/2021

Total FIRE: 11,540.35 11,540.35

CONFISCATED PROP EXPENSES

CONFISCATED PROP E 836 WELLS FARGO NOV 2021 HOWELL 9714 CELLEBRITE RENEWAL 12/03/2021 4,300.00 4,300.00 12/20/2021

Total CONFISCATED PROP EXPENSES: 4,300.00 4,300.00

DUI FINES FUND EXPENSE

DUI FINES FUND EXPE 1858 SALTUS TECHNOLOGIES 11242021 AUTOMATED ECITATION INTERFACE 11/30/2021 1,750.00 1,750.00 12/20/2021

Total DUI FINES FUND EXPENSE: 1,750.00 1,750.00

POLICE

POLICE 1662 BARBECK COMMUNICATIONS 141000683-1 RADIO LABOR AND PARTS 11/30/2021 152.41 152.41 12/20/2021

POLICE 1662 BARBECK COMMUNICATIONS 141000722-1 PORTABLE RADIO MAINTENANCE 12/09/2021 233.49 233.49 12/20/2021

POLICE 1662 BARBECK COMMUNICATIONS 141000849-1 PORTABLE RADIO MAINTENANCE 12/09/2021 233.49 233.49 12/20/2021

POLICE 122 CENTURYLINK DEC 2021 074498 PSB 304074498 11/19/2021 904.69 904.69 12/19/2021

POLICE 152 COMPLETE AUTOWERKS REPAIR SE 19151 LOF 11/10/2021 55.51 55.51 12/20/2021

POLICE 152 COMPLETE AUTOWERKS REPAIR SE 19225 WHEEL WEIGHTS, MOUNT & BALANC 11/22/2021 26.90 26.90 12/20/2021

POLICE 152 COMPLETE AUTOWERKS REPAIR SE 19248 LOF, WIPER BLADES 11/24/2021 113.62 113.62 12/20/2021

POLICE 152 COMPLETE AUTOWERKS REPAIR SE 19274 LOF 12/01/2021 46.24 46.24 12/20/2021

POLICE 339 HUFFMAN CAR WASH 2561 32 WASHES @ $4.00 11/30/2021 128.00 128.00 12/20/2021

POLICE 351 ID NETWORKS 278580 LIVESCAN/MOTOROLA INTERFACE 12/02/2021 495.00 495.00 12/20/2021

POLICE 427 KEN NELSON AUTO PLAZA 348371 LOF, ROTATION, BRAKES/ROTORS 08/30/2021 1,087.68 1,087.68 12/20/2021

POLICE 427 KEN NELSON AUTO PLAZA 351424 LOF, ROTATION, BRAKES/ROTORS 10/21/2021 605.79 605.79 12/20/2021

POLICE 427 KEN NELSON AUTO PLAZA 353573 CONVERTOR REPAIR 11/26/2021 1,314.33 1,314.33 12/20/2021

POLICE 427 KEN NELSON AUTO PLAZA 353968 DIAGNOSTICS, BRAKE CLEANING 12/02/2021 132.00 132.00 12/20/2021

POLICE 467 LEE COUNTY TREASURER JAN 2022 POLICE DISPATCHING JAN 2022 12/07/2021 17,259.00 17,259.00 12/20/2021




POLICE 939 MOTOROLA SOLUTIONS 6168520211101 DECEMBER RADIO MAINTENANCE 12/01/2021 216.00 216.00 12/20/2021

POLICE 629 QUILL CORPORATION 21238904 LEATHER BINDER 11/29/2021 46.99 46.99 12/20/2021

POLICE 629 QUILL CORPORATION 21250037 OFFICE PAPER, PENS 11/29/2021 336.94 336.94 12/20/2021

POLICE 629 QUILL CORPORATION 21344482 EVIDENCE DISKS 12/02/2021 54.99 54.99 12/20/2021

POLICE 629 QUILL CORPORATION 21397450 BADGE CLIPS 12/03/2021 5.69 5.69 12/20/2021

POLICE 629 QUILL CORPORATION 21410212 LANYARDS 12/06/2021 5.99 5.99 12/20/2021

POLICE 641 RIVER RIDGE ANIMAL HOSPITAL 660664 HERY BOARDING- 6 DAYS 11/29/2021 134.40 134.40 12/20/2021

POLICE 1340 SHI INTERNATIONAL CORP B14451769 2-HP 414X-HIGH YIELD BLACK LASER 12/06/2021 162.00 162.00 12/20/2021

POLICE 704 SLIM-N-HANK'S 16388 TOW BILL 12/12/2021 150.00 150.00 12/20/2021

POLICE 798 ULTRA STROBE COMMUNICATIONS I 080141 GUN RACK INSTALLATION 12/13/2021 814.65 814.65 12/20/2021

POLICE 798 ULTRA STROBE COMMUNICATIONS I 080142 GUN RACK INSTALLATION 12/13/2021 857.15 857.15 12/20/2021

POLICE 801 UNIFORM DEN INC 107970-01 PARTIAL DEPARTMENT WINTER ORD 12/02/2021 733.97 733.97 12/20/2021

POLICE 836 WELLS FARGO DEC 2021 PHILHOWER 4 AXIS CAMERA 12/03/2021 599.00 599.00 12/20/2021

POLICE 836 WELLS FARGO NOV 2021 HOWELL 9714 POSTAGE 12/03/2021 8.70 8.70 12/20/2021

POLICE 836 WELLS FARGO NOV 2021 HOWELL 9714 LEGAL MEETING- HOWELL, WHELAN, 12/03/2021 115.94 115.94 12/20/2021

POLICE 836 WELLS FARGO NOV 2021 HOWELL 9714 BUS TICKET CITIZEN ASSIST 12/03/2021 41.99 41.99 12/20/2021

POLICE 836 WELLS FARGO NOV 2021 HOWELL 9714 LODGING-CITIZEN ASSIST 12/03/2021 77.91 77.91 12/20/2021

POLICE 836 WELLS FARGO NOV 2021 HOWELL 9714 LAMENDOLA TRAINING LODGING 12/03/2021 572.40 572.40 12/20/2021

POLICE 836 WELLS FARGO NOV 2021 HOWELL 9714 LAMENDOLA TRAINING LUNCH 12/03/2021 7.81 7.81 12/20/2021

POLICE 836 WELLS FARGO NOV 2021 HOWELL 9714 HOWELL UNIFORMS 12/03/2021 447.00 447.00 12/20/2021

POLICE 836 WELLS FARGO NOV 2021 HOWELL 9714 LAMENDOLA TRAINING FUEL 12/03/2021 40.00 40.00 12/20/2021

POLICE 836 WELLS FARGO NOV 2021 HOWELL 9714 LAMENDOLA TRAINING DINNER 12/03/2021 28.32 28.32 12/20/2021




POLICE 836 WELLS FARGO NOV 2021 HOWELL 9714 LAMENDOLA TRAINING FUEL 12/03/2021 62.00 62.00 12/20/2021


POLICE 836 WELLS FARGO NOV 2021 HOWELL 9714 UNIFORM FITTING LUNCHRAGAN, LE 12/03/2021 28.38 28.38 12/20/2021

POLICE 836 WELLS FARGO NOV 2021 HOWELL 9714 MEAL CITIZEN ASSIST 12/03/2021 9.08 9.08 12/20/2021

POLICE 836 WELLS FARGO NOV 2021 SIBLEY 4383 RICHARDS CLOTHING ALLOWANCE 12/03/2021 135.46 135.46 12/20/2021

POLICE 836 WELLS FARGO NOV 2021 SIBLEY 4383 SIBLEY/HOWELL BODY CAM TRAININ 12/03/2021 31.19 31.19 12/20/2021

POLICE 836 WELLS FARGO NOV 2021 SIBLEY 4383 RICHARDS CLOTHING ALLOWANCE R 12/03/2021 47.80- 47.80- 12/20/2021

POLICE 836 WELLS FARGO NOV 2021 SIBLEY 4383 GARRISON VEHICLE DYNAMICS TRAI 12/03/2021 900.00 900.00 12/20/2021

POLICE 836 WELLS FARGO NOV 2021 SIBLEY 4383 POSTAGE 12/03/2021 50.00 50.00 12/20/2021

POLICE 836 WELLS FARGO NOV 2021 SIBLEY 4383 POSTAGE 12/03/2021 17.99 17.99 12/20/2021

POLICE 836 WELLS FARGO NOV 2021 WHELAN 1308 POSTAGE 12/03/2021 7.38 7.38 12/20/2021

POLICE 836 WELLS FARGO NOV 2021 WHELAN 1308 POSTAGE 12/03/2021 14.76 14.76 12/20/2021

POLICE 836 WELLS FARGO NOV 2021 WHELAN 1308 INVESTIGATIVE EXPENSE 12/03/2021 75.00 75.00 12/20/2021

Total POLICE: 29,621.82 29,621.82




LIBRARY

LIBRARY 4 ACE HARDWARE 655464 TRASH BAGS, DSP GLOVES 11/19/2021 62.07 62.07 12/20/2021

LIBRARY 1775 AMAZON CAPITAL SERVICES INC 133G-CN4D-NVLP REPORT COVERS 11/29/2021 21.70 21.70 12/20/2021

LIBRARY 1775 AMAZON CAPITAL SERVICES INC 133G-CN4D-NVLP PORTABLE TRACER PAD 11/29/2021 19.89 19.89 12/20/2021

LIBRARY 1775 AMAZON CAPITAL SERVICES INC 1FYG-F6HQ-NG1F INK, DISPOSABLE MASKS 12/04/2021 45.77 45.77 12/20/2021

LIBRARY 122 CENTURYLINK DEC 2021 050193 LIBRARY 304050193 12/04/2021 256.31 256.31 12/19/2021

LIBRARY 1872 CINTAS 4104220534 WET MOP / REPLACE MATS 12/09/2021 34.40 34.40 12/20/2021

LIBRARY 1872 CINTAS 4104220534 GLASS CLEANER, DISINF, TRASH BA 12/09/2021 12.34 12.34 12/20/2021

LIBRARY 2010 CINTAS CORPORATION #355 4104492701 MONTHLY CLEANING RESTROOMS - 12/13/2021 125.55 125.55 12/20/2021

LIBRARY 148 COMCAST CABLE DEC 2021 248583 221 S HENNEPIN BSMT - 87711030102 12/02/2021 122.85 122.85 12/19/2021

LIBRARY 184 DEMCO INC 7049263 VISTAFOIL, BOOK JACKETS, DVD CAS 12/01/2021 559.07 559.07 12/20/2021

LIBRARY 389 INGRAM LIBRARY SERVICES 56080431 ADULT MATERIALS - BOOKS 11/24/2021 508.28 508.28 12/20/2021

LIBRARY 389 INGRAM LIBRARY SERVICES 56080431 YA - BOOKS 11/24/2021 10.79 10.79 12/20/2021

LIBRARY 389 INGRAM LIBRARY SERVICES 56080431 CHILDREN - BOOKS 11/24/2021 45.90 45.90 12/20/2021







LIBRARY 500 MCNAMARA, MIKE 875656 PAINTING & DRYWALL REPAIR 12/09/2021 1,311.75 1,311.75 12/20/2021

LIBRARY 1227 MIDWEST TAPE 501345076 10 AUDIOBOOKS 11/30/2021 404.90 404.90 12/20/2021

LIBRARY 1227 MIDWEST TAPE 501345076 1 AUDIOBOOK 11/30/2021 29.99 29.99 12/20/2021

LIBRARY 1227 MIDWEST TAPE 501366145 3 AUDIOBOOKS, 1 DVD 12/03/2021 150.96 150.96 12/20/2021

LIBRARY 2627 NAYAX LLC 944674 11/2021 MONTHLY SERVICE FEE 11/23/2021 8.95 8.95 12/20/2021

LIBRARY 599 PETTY CASH - JENNIFER KOCH 002250 02 726421 FELT FOR COVERING 12/04/2021 7.47 7.47 12/20/2021

LIBRARY 599 PETTY CASH - JENNIFER KOCH 221 1D11 001 04E4 CARD, CALENDAR FOR OFFICE 12/03/2021 23.78 23.78 12/20/2021

LIBRARY 1649 STAPLES BUSINESS CREDIT 7344797971-0-1 CALCULATOR TAPE ROLLS 12/07/2021 1.48 1.48 12/20/2021

LIBRARY 1649 STAPLES BUSINESS CREDIT 7344797971-0-2 POST-ITS, BOOK TAPE, COPY PAPER 11/30/2021 71.34 71.34 12/20/2021

LIBRARY 1329 TELCOM INNOVATIONS GROUP LLC A57729M ANNUAL MAINTENANCE-MITEL 3300/S 12/01/2021 478.75 478.75 12/20/2021

LIBRARY 2511 TODAY'S BUSINESS SOLUTIONS INC 12599 ANNUAL BILLING SCANNER-FAX-CAR 12/06/2021 1,095.00 1,095.00 12/20/2021

LIBRARY 836 WELLS FARGO NOV 2021 DETER 7655 MONTHLY SERVICE FEE (NOV-DEC) 12/03/2021 14.99 14.99 12/20/2021

LIBRARY 836 WELLS FARGO NOV 2021 DETER 7655 REMOVAL OF VARIOUS ITEMS 12/03/2021 350.00 350.00 12/20/2021

LIBRARY 836 WELLS FARGO NOV 2021 DETER 7655 BATTERIES, DISHWASHER SOAP & CL 12/03/2021 30.49 30.49 12/20/2021

LIBRARY 836 WELLS FARGO NOV 2021 DETER 7655 ILA MEMBERSHIP DUES FOR LIBRAR 12/03/2021 150.00 150.00 12/20/2021

LIBRARY 836 WELLS FARGO NOV 2021 DETER 7655 CRAFT SUPPLIES 12/03/2021 132.01 132.01 12/20/2021

LIBRARY 836 WELLS FARGO NOV 2021 DETER 7655 ICLOUD STORAGE 12/03/2021 .99 .99 12/20/2021

Total LIBRARY: 7,171.88 7,171.88




LIBRARY GRANT

LIBRARY GRANT 1732 COAST TO COAST SOLUTIONS IVC0102785 LIBRARY BAGS - 1600 11/24/2021 1,014.14 1,014.14 12/20/2021

LIBRARY GRANT 1732 COAST TO COAST SOLUTIONS IVC0102940 MARDI GRAS PEN 350 12/09/2021 510.29 510.29 12/20/2021

Total LIBRARY GRANT: 1,524.43 1,524.43

AIRPORT

AIRPORT 4 ACE HARDWARE 653730 BRONZE PIGTAILS LAMPHOLDERS, R 11/02/2021 44.52 44.52 12/20/2021

AIRPORT 4 ACE HARDWARE 653760 CONDUIT/EMT STRP/SET SCREWS/B 12/02/2021 217.32 217.32 12/20/2021

AIRPORT 4 ACE HARDWARE 654382 MISC OPERATING SUPPLIES 11/09/2021 42.82 42.82 12/20/2021

AIRPORT 4 ACE HARDWARE 655822 HARDWARE 11/24/2021 3.57 3.57 12/20/2021

AIRPORT 4 ACE HARDWARE 656595 PIGTAIL LAMP HOLDER,ROUND OUTL 12/03/2021 47.94 47.94 12/20/2021

AIRPORT 52 ARAMARK 610000225208 DM0001DKGY MAT NYLON/RUBBER 3 12/09/2021 105.00 105.00 12/20/2021

AIRPORT 85 BONNELL INDUSTRIES INC 0201679-IN FLAT HOT ROLLED A-36 1.275LB/FT A 12/06/2021 21.53 21.53 12/20/2021

AIRPORT 143 CMT 218138 CONSTRUCTION PHASE ENGINEERIN 11/15/2021 7,661.40 7,661.40 12/20/2021

AIRPORT 148 COMCAST CABLE DEC 2021 223651 1650 FRANKLIN GROVE RD 877110301 12/01/2021 217.64 217.64 12/19/2021

AIRPORT 157 CONSTELLATION NEW ENERGY INC 61131420301 1650 FRANKLIN GROVE RD - 7296274- 11/30/2021 553.41 553.41 12/20/2021

Total AIRPORT: 8,915.15 8,915.15

MUNICIPAL BAND

MUNICIPAL BAND 16 AIKEN, CAROLYN DEC 2021 2 SESSIONS/CHRISTMAS CONCERT 12/15/2021 60.00 60.00 12/20/2021

MUNICIPAL BAND 1414 ANTON, BRYAN DEC 2021 2 SESSIONS/CHRISTMAS CONCERT 12/15/2021 60.00 60.00 12/20/2021

MUNICIPAL BAND 2909 BALIKA, BRIAN DEC 2021 3 SESSIONS/CHRISTMAS CONCERT 12/15/2021 75.00 75.00 12/20/2021

MUNICIPAL BAND 2835 BALIKA, DAVID DEC 2021 3 SESSIONS/CHRISTMAS CONCERT 12/15/2021 75.00 75.00 12/20/2021

MUNICIPAL BAND 1224 BROCKWELL, DEVIN DEC 2021 3 SESSION/CHRISTMAS CONCERT, S 12/15/2021 95.00 95.00 12/20/2021

MUNICIPAL BAND 99 BURNETT, DONALD DEC 2021 3 SESSIONS/CHRISTMAS CONCERT 12/15/2021 75.00 75.00 12/20/2021

MUNICIPAL BAND 100 BURNETT, NANCY A. DEC 2021 3 SESSIONS/CHRISTMAS CONCERT, 12/15/2021 100.00 100.00 12/20/2021

MUNICIPAL BAND 2912 CARTER, RILEY DEC 2021 3 SESSIONS/CHRISTMAS CONCERT, 12/15/2021 95.00 95.00 12/20/2021

MUNICIPAL BAND 113 CARTWRIGHT, THOMAS B. DEC 2021 2 SESSIONS/CHRISTMAS CONCERT 12/15/2021 60.00 60.00 12/20/2021

MUNICIPAL BAND 1239 CRUMLEY-DUSENBURY, PATRICIA DEC 2021 3 SESSIONS/CHRISTMAS CONCERT 12/15/2021 75.00 75.00 12/20/2021

MUNICIPAL BAND 2910 DECKER, GEOFFREY DEC 2021 3 SESSIONS/CHRISTMAS CONCERT 12/15/2021 75.00 75.00 12/20/2021

MUNICIPAL BAND 602 EATON, LISA L DEC 2021 1 SESSION/CHRISTMAS CONCERT 12/15/2021 45.00 45.00 12/20/2021

MUNICIPAL BAND 233 EATON, MATTHEW W. DEC 2021 1 SESSION/CHRISTMAS CONCERT 12/15/2021 45.00 45.00 12/20/2021

MUNICIPAL BAND 240 ELLER, JAMIE DEC 2021 3 SESSIONS/CHRISTMAS CONCERT 12/15/2021 75.00 75.00 12/20/2021

MUNICIPAL BAND 248 ETCHISON, CRAIG DEC 2021 3 SESSIONS/CHRISTMAS CONCERT 12/15/2021 75.00 75.00 12/20/2021

MUNICIPAL BAND 2908 FREEMAN, SEAN DEC 2021 3 SESSIONS/CHRISTMAS CONCERT 12/15/2021 75.00 75.00 12/20/2021

MUNICIPAL BAND 1120 HABBEN, SARAH J. DEC 2021 3 SESSIONS/CHRISTMAS CONCERT 12/15/2021 75.00 75.00 12/20/2021

MUNICIPAL BAND 1240 HANSON, JACKLYN DEC 2021 2 SESSIONS/CHRISTMAS 12/15/2021 60.00 60.00 12/20/2021

MUNICIPAL BAND 321 HEMMEN, AMELIA M. DEC 2021 2 SESSIONS/CHRISTMAS CONCERT 12/15/2021 60.00 60.00 12/20/2021

MUNICIPAL BAND 1704 HOLDER, ELLEN KAYE DEC 2021 3 SESSIONS/CHRISTMAS CONCERT, 12/15/2021 95.00 95.00 12/20/2021




MUNICIPAL BAND 404 JAMES, CATHY L. DEC 2021 3 SESSIONS/CHRISTMAS CONCERT, 12/15/2021 175.00 175.00 12/20/2021

MUNICIPAL BAND 405 JAMES, JON P. DEC 2021 DIRECTOR DECEMBER 2021 12/15/2021 300.00 300.00 12/20/2021

MUNICIPAL BAND 417 JOHNSON, RUTH ELLEN DEC 2021 3 SESSIONS/CHRISTMAS CONCERT 12/15/2021 75.00 75.00 12/20/2021

MUNICIPAL BAND 423 KATNER, PAUL RALPH DEC 2021 ANNOUNCER 12/15/2021 75.00 75.00 12/20/2021

MUNICIPAL BAND 1966 KUEHL, ISAIAH DEC 2021 3 SESSIONS/CHRISTMAS CONCERT 12/15/2021 75.00 75.00 12/20/2021

MUNICIPAL BAND 1626 KUEHL, NOAH DEC 2021 3 SESSIONS/CHRISTMAS CONCERT 12/15/2021 75.00 75.00 12/20/2021

MUNICIPAL BAND 2473 LAUFF, BARBARA ANN DEC 2021 1 SESSION/CHRISTMAS CONCERT 12/15/2021 45.00 45.00 12/20/2021

MUNICIPAL BAND 2911 LUNDBECK, KIRK DEC 2021 3 SESSIONS/CHRISTMAS CONCERT 12/15/2021 75.00 75.00 12/20/2021

MUNICIPAL BAND 496 MAYS, MITCHELL R. DEC 2021 3 SESSIONS/CHRISTMAS CONCERT, 12/15/2021 85.00 85.00 12/20/2021

MUNICIPAL BAND 1482 MCCOY, EMMA DEC 2021 3 SESSIONS/CHRISTMAS CONCERT 12/15/2021 75.00 75.00 12/20/2021

MUNICIPAL BAND 2302 MOSSER, THOMAS EUGENE DEC 2021 3 SESSIONS/CHRISTMAS CONCERT 12/15/2021 75.00 75.00 12/20/2021

MUNICIPAL BAND 2830 MURPHY, GWENDOLYN DEC 2021 1 SESSION/CHRISTMAS CONCERT 12/15/2021 45.00 45.00 12/20/2021

MUNICIPAL BAND 2905 O'DONNELL, ELISE DEC 2021 3 SESSIONS/CHRISTMAS CONCERT, 12/15/2021 85.00 85.00 12/20/2021

MUNICIPAL BAND 2285 QUINTANA, REBECCAH J DEC 2021 1 SESSION/CHRISTMAS CONCERT 12/15/2021 45.00 45.00 12/20/2021

MUNICIPAL BAND 1398 RIVERA, JONATHAN P DEC 2021 2 SESSIONS/CHRISTMAS CONCERT 12/15/2021 60.00 60.00 12/20/2021

MUNICIPAL BAND 2907 SCHAUFF, DUGAN DEC 2021 2 SESSIONS/CHRISTMAS CONCERT 12/15/2021 60.00 60.00 12/20/2021

MUNICIPAL BAND 2832 SCHMITT, SHETARI DEC 2021 2 SESSIONS/CHRISTMAS CONCERT, 12/15/2021 80.00 80.00 12/20/2021

MUNICIPAL BAND 753 TERRANOVA, BROOKE DEC 2021 3 SESSIONS/CHRISTMAS CONCERT 12/15/2021 75.00 75.00 12/20/2021

MUNICIPAL BAND 814 VAN DREW, JEREMY DEC 2021 3 SESSIONS/CHRISTMAS CONCERT, 12/15/2021 95.00 95.00 12/20/2021

MUNICIPAL BAND 2906 VAUPEL, DENNIS DEC 2021 3 SESSIONS/CHRISTMAS CONCERT 12/15/2021 75.00 75.00 12/20/2021

MUNICIPAL BAND 1066 WATTERS, LAURA B. DEC 2021 3 SESSIONS/CHRISTMAS CONCERT 12/15/2021 75.00 75.00 12/20/2021

MUNICIPAL BAND 1402 WHITCOMBE, RENI ANN DEC 2021 3 SESSIONS/CHRISTMAS CONCERT, L 12/15/2021 125.00 125.00 12/20/2021

MUNICIPAL BAND 844 WHITCOMBE, THOMAS A. DEC 2021 2 SESSIONS/CHRISTMAS CONCERT 12/15/2021 60.00 60.00 12/20/2021

MUNICIPAL BAND 845 WHITE, DAWN M. DEC 2021 3 SESSIONS/CHRISTMAS CONCERT 12/15/2021 75.00 75.00 12/20/2021

MUNICIPAL BAND 2904 ZIMMERMAN, ELLENOR DEC 2021 2 SESSIONS/CHRISTMAS CONCERT, 12/15/2021 70.00 70.00 12/20/2021

Total MUNICIPAL BAND: 3,605.00 3,605.00

Grand Totals: 1,537,938.41 1,537,938.41

Report Criteria:

Invoices with totals above $.00 included.

Only paid invoices included.

[Report].Date Paid = 12/07/2021-12/20/2021

November 30 2021

Interest Rate

Maturity Date Operating Capital Funds Recovery Fund Utilities Retirement TIF Funds

Restricted Capital Funds

Restricted Funds

Checking Accounts 502,938 537,744 235,571 1,769,849 421,543 523,666 1,016,717 912,866 Illinois Funds 8,891,647 2,049,688 2,000,834 2,062,314 - - 347,493 491,486 Pension Invest. 33,414,303

Community State Bank 0.30% 8/23/2022 1,055,798 - Community State Bank 0.65% 2/25/2022 317,800 - - Community State Bank 0.40% 2/25/2022 - 764,110

Community State Bank 0.35% 7/24/2022 780,442 Community State Bank 0.35% 7/24/2022 780,442 - Community State Bank 0.40% 9/1/2022 200,000 Community State Bank 0.40% 10/9/2022 - - - - 104,340 Sauk Valley Bank 0.40% 12/5/2021 254,818 Sauk Valley Bank 1.65% 12/5/2022 257,984 Community State Bank 1.93% 1/24/2022 775,814 Sterling Federal Bank 0.20% 1/27/2022 342,164 Sterling Federal Bank 0.20% 1/27/2022 341,133 Community State Bank 1.83% 2/21/2022 333,181 Community State Bank 0.65% 1/24/2022 200,519 - Community State Bank 0.65% 1/24/2022 226,831 Community State Bank 0.40% 10/26/2022 326,299 Community State Bank 0.40% 1/26/2022 436,299 Community State Bank 0.40% 1/26/2022 424,264

Cash and Investment Total 9,394,585 4,129,674 3,292,203 5,663,377 35,824,081 523,666 1,364,209 2,909,101

City of DixonCash and Investments

As of November 30, 2021

% of Year Elapsed= 58%

FY22 YTD Actual FY22 Budget

Budget to Actual

% FY21 YTD Prior Year to

Actual % Beginning Fund Balance 10,257,549

RE Taxes 2,203,231 2,183,624 101% 2,291,829 96%Utility & Telecom Revenue 563,665 875,000 64% 516,489 109%Motel Tax 57,465 60,000 96% 32,874 175% dGambling Revenue 272,657 300,000 91% 114,865 237% dIncome Taxes 1,300,849 1,555,000 84% 1,040,357 125%Sales Tax 2,500,728 3,698,500 68% 2,164,098 116%Replacement Tax 787,150 455,000 173% a 376,072 209% aPermits, Fees & Fines 192,073 351,000 55% 161,574 119% dService Fees 774,878 940,000 82% 879,645 88%Landfill Revenues 301,168 200,000 151% b 244,858 123% bOther Income 107,635 56,700 190% c 756,079 14% cInterfund Transfers (650,000) 150,000 -433% h (700,000) 93% h

Total Revenue 8,411,497 10,824,824 78% 7,878,740 107%

Council 155,566 242,715 64% 100,981 154%Economic Development 22,947 132,700 17% 233,185 10% eAdministration 728,271 1,644,005 44% 644,965 113%Info Tech 148,696 277,490 54% 101,033 147%Building/ Zoning 97,847 207,365 47% 91,506 107%Street 503,782 1,152,681 44% 548,307 92%Public Property 304,590 625,995 49% 295,473 103%Fire 1,163,892 2,202,568 53% 1,206,461 96%Police 1,997,777 3,747,598 53% 1,804,518 111%Performing Arts 117,458 231,196 51% 29,287 401% gPublic Relations/Marketing 202,470 379,500 53% 155,000 131%

Total Expenses 5,443,296 10,843,813 50% 5,210,716 104%

Net Income 2,968,201 (18,989) -15631% 2,668,024 111%Ending Fund Balance* 13,225,750

*Fund balance break down:Cash 9,394,585 Interfund Loans 1,993,989 Other Assets - Liabilities 1,837,176 Debt - Fund Balance 13,225,750

a Increased Replacement Tax Revenueb Landfill royalty received quarterlyc IL Cures Reimbursement Program for Small Businessesd Decreased revenues during COVIDe City Small Business Grants given out during COVIDg No band season due to Covid; Donations to Theatreh Budgeted transfer to the Capital Fund; no transfer during COVID

City of DixonFY22 Unrestricted Funds (General, Debt, Performing Arts & Ambulance)


Actual Allocations Remaining Allocation

Beginning Fund Balance 6,909,289 Infrastructure:

Engineering DIMCO Cleanup 13,188 70,000 56,812 IT Fiber Optic - City Hall PSB 14,000 15,000 1,000 PSB Fiber- PSB to 911 center 35,003 35,000 (3)

Building/Structures:City Hall City Hall Mainteance 6,544 40,000 33,456 PSB PSB Building Maintenance 25,000 25,000 Street Fuel Island Replacement 165,000 165,000 Properties DCCMS Building Maintenance 25,000 25,000 Properties Moxie Building Maintenance 15,000 15,000 Cemetery Cemetery Building 750,000 750,000 Public Works Arch Improvements 60,000 60,000 Public Works Dirt Shed Roof 20,000 20,000

Equipment:Properties Wide Area Mower w/attachment 45,000 45,000 Police Spillman RMS System 27,000 27,000 - IT Security Camera Server 23,000 23,000 Properties Gator 12,500 25,000 12,500 Street Dump Truck w/plow/spreader 179,294 167,000 (12,294)

Vehicles:Police Vehicle Leases 63,300 63,300 Public Works Pickup with plow/spreader 28,200 28,200

Small Tools & Equip:Public Works Street Lights (4,438) 50,000 54,438 IT Copier Replacements 6,500 6,500 IT Server Software Upgrade 9,471 28,000 18,529 IT Network Switches 45,192 45,000 (192) IT Security Camera Software 9,000 9,000 IT Website Refresh 15,000 15,000 IT Internet Firewalls 27,177 32,000 4,823 Public Works Riverfront Tables 10,000 10,000 Public Works Cemetery Software & Future Development 15,000 15,000 Public Works Electronic Signs 25,000 25,000 Public Works Low Bridge Warning System 15,000 15,000

364,932 1,849,000 1,387,257 Total Ending Fund Balance* 7,231,183

* Fund balance break down:Cash 4,129,674 Interfund Loans 3,101,245 Other Assets - Liabilities 265

Ending Fund Balance 7,231,183

As of November 30, 2021FY22 Capital Project Fund

City Of Dixon

Debt Repayment21,250,401

Sister Cities15,000 Library Repairs

1,096,499

Nuisance Property20,735

River Street4,073,980

7th & Monroe856,538

Fire Pension Contribution

1,500,000

Bike Path210,215

General Fund Transfer for Rainy

Day5,000,000

Capital Transfer for Emergency3,000,000

Splash Pad Donation100,000

ITEP FY221,000,000

FY22 Future Development

250,000

Community Center700,000

Available to Spend

1,313,042

City of DixonRecovery Fund



Budget to Actual % FY21 YTD

Prior Year to Actual %

Beginning Fund Balance 19,057,170

Fees 4,068,179 6,583,954 62% 3,873,729 105%Other Income 26,317 439,000 6% 95,496 28%Interfund Transfers - - -

Total Revenue 4,094,496 7,022,954 58% 3,969,225 103%

Salaries 782,676 1,511,528 52% 778,377 101%Benefits 259,059 541,766 48% 281,228 92%Contractual Serv. 541,928 911,624 59% 460,605 118%Supplies 200,357 317,100 63% 164,470 122%Conf./Meeting 2,323 19,700 12% 2,589 90%Utilities 278,468 634,500 44% 283,176 98%Debt Service 90,787 2,428,829 4% 136,767 66%Other - 3,000 0% 228 0%Depreciation - - -

Total Expenses 2,155,598 6,368,047 34% 2,107,441 102%

Net Income 1,938,898 654,907 296% 1,861,783 104%Fund Balance* 20,996,068

* Fund balance break down:Cash 5,663,377 Interfund Loans (1,989,650) Other Assets - Liabilit (707,166) Capital Assets 25,750,518 Debt (7,721,011) Fund Balance 20,996,068

City of DixonFY22 Utilities (Water and Wastewater Funds)




Budget to Actual % FY21 YTD

Prior Year to Actual

% Beginning Fund Balance 34,580,504

Local Taxes 1,479,592 1,331,000 111% 1,206,470 123%Employee Contributions 170,289 350,000 49% a 196,124 87% aInvestment Income 1,265,459 815,000 155% 4,298,301 29%Transfers - 385,000 0% 200,000 0%

Total Revenue 2,915,340 2,881,000 101% 5,900,895 49%

Benefits 1,488,699 2,360,000 63% 1,618,435 92%Contractual Services 111,722 195,000 57% 103,742 108%Other - 10,000 0% -

Total Expenses 1,600,421 2,565,000 62% 1,722,177 93%

Net Income 1,314,919 316,000 416% 4,178,718 31%Ending Fund Balance* 35,895,423

* Fund balance break down:Cash 35,824,081 Other Assets - Liabilities 71,342 Fund Balance 35,895,423

a Police & Fire Pension Received one month in arears

City of DixonFY21 Pension Funds (IMRF, FICA, Fire and Police Pensions)


FY22 YTD FY22 Budget FY21 Actual Beginning Fund Balance 1,343,814

State Taxes 993,293 5,425,612 1,157,677 Rebuild IL Grant 172,811 345,000 345,622 Other Income 374 1,100 2,968 Transfer In - 1,000,000 700,000

Total Revenue 1,166,478 6,771,712 2,206,268

Capital Improvements 903,467 6,490,612 1,196,163 Total Expenses 903,467 6,490,612 1,196,163

Net Income 263,011 281,100 1,010,105 Ending Fund Balance* 1,606,825

* Fund balance break down:Cash 1,364,209 Other Assets - Liabilities 242,616 Fund Balance 1,606,825

City of DixonFY21 Restricted Capital Funds (MFT, Infrastructure)


FY22 YTD FY22 BudgetFY21

ActualBeginning Fund Balance (3,101,061)

Revenue: Local Taxes 523,394 450,000 458,384 Interest Income 88 150 141

523,482 450,150 458,525 Expenses:

Other - 150,000 9,700 Total Expenses - 150,000 9,700

Net Income 523,482 300,150 448,825 Ending Fund Balance* (2,577,579)

* Fund balance break down:Cash 523,666 Interfund Loans (3,101,245) Other Assets - Liabilities - Fund Balance (2,577,579)

City of DixonFY21 TIF Funds



FY22 YTD FY22

Budget Budget to Actual % FY21 Actual

Prior Year to Actual %

Beginning Fund Balance 2,533,435

Local Taxes 573,818 576,454 100% 564,709 102%State Taxes 450,074 3,226,666 14% 143,900 313%Fees 25,414 35,000 73% 22,912 111%Other Income 60,956 85,850 71% 81,915 74%Interfund Transfers 20,000 10,000 200% - 2000000%

Total Revenue 1,130,262 3,933,970 29% 813,436 139%

Salaries 200,793 375,400 53% 201,135 100%Benefits 43,934 84,000 52% 44,360 99%Contractual Services 383,010 671,750 57% 135,814 282%Supplies 79,119 202,116 39% 76,274 104%Conference/Meeting 8,569 18,500 46% 8,688 99%Utilities 3,029 11,500 26% 2,785 109%Other 2,753 53,250 5% 2,768 99%Capital Outlay - 2,704,000 0% 118,050 0%

Total Expenses 721,207 4,120,516 18% 589,874 122%

Net Income 409,055 (186,546) -219% 223,562 183%Fund Balance* 2,942,491

* Fund balance break down:Cash 2,909,101 Interfund Loans (4,212) Other Assets - Liabilities 37,602 Debt - Fund Balance 2,942,491


City of DixonFY21 Restricted Funds (Airport, Library, Working Cash, Police Fines

Medical Self Ins., Oakwood Endowment, Grants, Trusts)

1

DIXON HISTORIC PRESERVATION COMMISSION CITY HALL

P. O. BOX 318 DIXON IL 61021

[email protected]

MEETING MINUTES FOR OCTOBER 28, 2021 Dixon City Council Chambers, 9:00 A.M.

1. CALL TO ORDER Chairperson McLane called the meeting to order at 9:00 a.m. 2. ROLL CALL Commissioners present were John McLane, Antony Deter, Carol Krueger, Alan Hulstedt and Tom Wadsworth, along with Building Official Tim Shipman. 3. APPROVAL OF MINUTES Deter moved, and Wadsworth seconded, that the minutes of the September 10, 2021, meeting be approved. The motion carried unanimously. 4. NOTICES AND COMMUNICATIONS None received. 5. PUBLIC COMMENT No public comments were received. 6. OLD BUSINESS

a) Collaboration with the Reagan Home for the Reagan Way walking tour app and brochure. Kyle Ferrebee and Eloise Smith attended the meeting, representing the Reagan Home and its new owners, Young America’s Foundation (YAF). Ferrebee explained that they had also been working on similar projects (including audio/video) to promote the sites along Reagan Way and other Reagan sites in Dixon. He added that supporters of YAF and the Home are likely to assist with funding of such a project. Smith explained YAF’s depth of experience in promoting Reagan sites in California. A potential collaboration between the Home and our Commission will be discussed at the next meeting.

b) Status of application to expand the boundaries of the Dixon Historic District.

There has been no progress on this application since it was presented to the City

2

Council at its Aug. 16 meeting. Shipman suggested that someone meet with the mayor again to keep the proposal active.

c) Status of recommendation to the mayor that the city become a Certified

Local Government (CLG). There has been no progress on this application since it was presented to the City Council at its Aug. 16 meeting. Deter will meet with the mayor to inquire about the progress of the CLG proposal and the expansion of the Historic District.

7. NEW BUSINESS

a) Renovation at 214 West First Street. This proposed renovation involved simply repairing the exterior steps to the building. Hulstedt moved to approve the application as long as it approved by the Building Department. Wadsworth seconded the motion. Motion carried unanimously.

b) Resignation of member. Commissioner Wadsworth announced that his three-year term is complete at the end of October and that he does not plan to renew his position on the Commission. He agreed to attend one more meeting to enable a smooth transition to the person who succeeds him as secretary. The Commission suggested two names, Geoff Vanderlin or Jim Higby, who might be good candidates, and asked Wadsworth to bring these names to the mayor for his consideration.

8. ADJOURNMENT The next meeting is tentatively scheduled for 9:00 a.m. on Friday, Dec. 10, 2021, in the Dixon City Council Chambers. At 10:10 a.m., Wadsworth moved, and Krueger seconded, that the meeting be adjourned. The motion carried unanimously. Submitted by Tom Wadsworth, Secretary Dixon Historic Preservation Commission

RESOLUTION NO. ______________

RESOLUTION AMENDING 2021-2022 BUDGET (Cemetery – Contractual Expense)

WHEREAS, pursuant to 65 ILCS 5/8-2-9.6, the City Council may amend the annual budget of the City of Dixon by a vote of two-thirds of the corporate authorities then holding office; and WHEREAS, the City Council has reviewed the needs of the City of Dixon and deems it advisable and in the best interests of the City of Dixon to amend the budget for fiscal year 2021-2022 by amending line items within the Public Property Department budget to accommodate for additional Contractual Expense; and NOW, THEREFORE, BE IT RESOLVED by the City Council of the City of Dixon that the Finance Director of the City is hereby authorized and directed to amend the budget for fiscal year 2020-2021 by increasing the line item for “Contractual” by $5,000 within the Cemetery budget and decreasing the line item for “Contractual” by $5,000 within the Public Property budget. BE IT FURTHER RESOLVED that the City Council finds that all of the recitals contained in the preambles to this Resolution are full, true and correct and does incorporate them into this Resolution by reference. BE IT FURTHER RESOLVED that all resolutions and parts of resolutions in conflict herewith are, to the extent of such conflict, hereby repealed. BE IT FURTHER RESOLVED that this Resolution shall be in full force and effect from and after the date of its passage and approval, and publication as required by law. This Resolution read and approved this 20th day of December, 2021. __________________________________ Mayor Attest: ___________________________________ City Clerk

COUNCIL ACTION FORM

Date:

Subject:

Presented By:

Description:

FINANCIAL

Is this a budgeted item? YES NO

Line Item #: Title:

Amount Budgeted:

Actual Cost:

Under/Over:

Funding Sources:

Departments:

Is this item in the CIP? YES NO CIP Project Number:

Agenda Item:

12/15/2021Antony Deter

Resolution Amending 21-22 Budget Library 16b

The library board of trustees passed a budget amendment on December 13th, 2021 to amend thebudget for fiscal year 2021-2022 by increasing the revenue line item for "State Grants" by $12,013,and increasing the expenditures line item for "Small Equipment and Tools" by the same amount.This will accommodate the receipt and expenditure of a grant from the State Library for the purchaseof technology equipment including computers and a photocopier for use by the library's patrons.

✔

✔

COUNCIL ACTION FORM

Any previous Council actions:Action Date

Recommendation:

Required Action

ORDINANCE SOLUTION

Additional Comments:

SECONDED BY: MOTION BY:

TO

YES

NO

ABSENT

ABSTAIN

Mayor Arellano

Council Council CouncilOros

CouncilVenier

CITY COUNCIL VOTES

VOTES

Approve the resolution

✔

approve the FY21/22 budget resolution with respect to Library Technology Equipment

RESOLUTION NO. ______________

RESOLUTION AMENDING 2021-2022 BUDGET (Library – Technology Equipment)

WHEREAS, pursuant to 65 ILCS 5/8-2-9.6, the City Council may amend the annual budget of the City of Dixon by a vote of two-thirds of the corporate authorities then holding office; and WHEREAS, the City Council has reviewed the needs of the City of Dixon and deems it advisable and in the best interests of the City of Dixon to amend the budget for fiscal year 2021-2022 by amending line items within the Library budget to accommodate technology equipment expense; and NOW, THEREFORE, BE IT RESOLVED by the City Council of the City of Dixon that the Finance Director of the City is hereby authorized and directed to amend the budget for fiscal year 2021-2022 by increasing the line item for “Small Equipment & Tools” within the Library budget by $12,013; and increasing the revenue line item “State Grants” fund balance by $12,013. BE IT FURTHER RESOLVED that the City Council finds that all of the recitals contained in the preambles to this Resolution are full, true and correct and does incorporate them into this Resolution by reference. BE IT FURTHER RESOLVED that all resolutions and parts of resolutions in conflict herewith are, to the extent of such conflict, hereby repealed. BE IT FURTHER RESOLVED that this Resolution shall be in full force and effect from and after the date of its passage and approval, and publication as required by law. This Resolution read and approved this 20th day of December 2021. __________________________________________ Mayor Attest: __________________________________________ City Clerk

RESOLUTION #

APPOINTMENTS TO KSB HOSPITAL BOARD

WHEREAS, the terms of Ray Neisewander III, Joseph Welty M.D., Richard Boysen, and Patrick King D.D.S.,will expire on December 31, 2021; and

WHEREAS, Ray Neisewander III, Joseph Welty M.D., Richard Boysen, and

Patrick King D.D.S.,have indicated a desire to serve again on the KSB Hospital Board; and

WHEREAS, the City Council for the City of Dixon concurs in said re-

appointments and new appointments; and NOW, THEREFORE, BE IT RESOLVED by the City Council for the City of

Dixon that Ray Neisewander III, Joseph Welty M.D., Richard Boysen, and Patrick King D.D.S., are hereby re-appointed to the KSB Hospital Board for terms commencing January 1, 2022 and ending December 31, 2024, or until their respective successors are duly appointed and qualified.

This Resolution was read and approved this 20th day of December, 2021.

___________________________________ Liandro Arellano, Jr., Mayor ATTEST: _________________________________ Keesha Blumhoff, City Clerk

COUNCIL ACTION FORM

Date:

Subject:

Presented By:

Description:

FINANCIAL


Line Item #: Title:

Amount Budgeted:

Actual Cost:

Under/Over:

Funding Sources:

Departments:


Agenda Item:

12/20/2021

Shipman

Waiver of the City Formal Bid Process 17a

Requesting Council to waive the City's formal bid process and authorize staff to proceed withreplacement of 2 overhead garage doors at the Street Department Building.

Waiver of the formal bidding process is due to the current doors are in a state of disrepair and onlyable to use 1 of the 2 doors except in an emergency. Pricing was obtained from our local doormanufacturer and we are advised of extended lead times due to lack of material availabilityfurthering the reason for the waving of bids.

✔

✔

COUNCIL ACTION FORM


Recommendation:

Required Action

ORDINANCE SOLUTION



TO

YES

NO

ABSENT

ABSTAIN

Mayor Arellano


CouncilVenier

CITY COUNCIL VOTES

VOTES

None

Staff recommends Council waive the formal bidding process.

✔

waive the formal bidding process for overhead garage door replacement at the

City Street Department Building.

COUNCIL ACTION FORM

Date:

Subject:

Presented By:

Description:

FINANCIAL


Line Item #: Title:

Amount Budgeted:

Actual Cost:

Under/Over:

Funding Sources:

Departments:


Agenda Item:

12/20/2021

Shipman

Overhead door replacement @ Street Dept Bldg 17b

Removal of 2 existing overhead garage doors and replace.

✔

23704.00

✔

COUNCIL ACTION FORM


Recommendation:

Required Action

ORDINANCE SOLUTION



TO

YES

NO

ABSENT

ABSTAIN

Mayor Arellano


CouncilVenier

CITY COUNCIL VOTES

VOTES

Authorize staff to proceed with replacement of 2 overhead garage doors at the Street DepartmentBuilding

✔

authorize staff to schedule removal of existing overhead doors and replace by

Raynor Door Authority of the Sauk Valley.

COUNCIL ACTION FORM

Date:

Subject:

Presented By:

Description:

FINANCIAL


Line Item #: Title:

Amount Budgeted:

Actual Cost:

Under/Over:

Funding Sources:

Departments:


Agenda Item:

12/20/2021

Shipman

Waiver of the City Formal Bid Process 17c

Requesting Council to waive the City's Formal Bid Process and authorize staff to proceed withreplacement of heaters within the shop and truck bay area of the Street Department Building.

Waiver of the formal bidding process is due to the emergent issue of heater failure at the Street Deptbuilding. Four local contractors did provide a quote to staff for this replacement and the lowest quoteis being recommended. The contractor has worked with Jim Canterbury on heater replacement inthe shop area at the Airport.

✔

✔

COUNCIL ACTION FORM


Recommendation:

Required Action

ORDINANCE SOLUTION



TO

YES

NO

ABSENT

ABSTAIN

Mayor Arellano


CouncilVenier

CITY COUNCIL VOTES

VOTES

None

Staff recommends Council waive the formal bidding process.

✔

waive the formal bidding process for heater replacement at the City Street

Department Building

COUNCIL ACTION FORM

Date:

Subject:

Presented By:

Description:

FINANCIAL


Line Item #: Title:

Amount Budgeted:

Actual Cost:

Under/Over:

Funding Sources:

Departments:


Agenda Item:

12/20/2021

Shipman

Heater Replacement @ Street Dept Bldg 17d

Removal of 7 existing Modine forced air furnaces in the shop and truck bay due to disrepair andreplace with 5 radiant style heaters.

✔

22105.40

✔

COUNCIL ACTION FORM


Recommendation:

Required Action

ORDINANCE SOLUTION



TO

YES

NO

ABSENT

ABSTAIN

Mayor Arellano


CouncilVenier

CITY COUNCIL VOTES

VOTES

Authorize staff to proceed with replacement of heaters at the Street Department Building

✔

authorize staff to schedule removal of existing heaters and replace with radiant

heaters purchased from Wolf Farms.

COUNCIL ACTION FORM

Date:

Subject:

Presented By:

Description:

FINANCIAL


Line Item #: Title:

Amount Budgeted:

Actual Cost:

Under/Over:

Funding Sources:

Departments:


Agenda Item:

12/20/2021

Matt Heckman

Anchor Rd. TARP IGA 17e

Intergovernmental agreement between the City and IDOT for TARP grant work on Anchor Rd. Thisagreement allows the City to access the $66,100 in grant funds awarded for this project.

✔

Anchor Road TARP Project

$216,000.00

$205,905.85

$10,094.15 Under

Infrastructure

TARP Grant

Streets

✔ INFR-2--02

COUNCIL ACTION FORM


Recommendation:

Required Action

ORDINANCE SOLUTION



TO

YES

NO

ABSENT

ABSTAIN

Mayor Arellano


CouncilVenier

CITY COUNCIL VOTES

VOTES

None.

Approve the IGA.

✔

approve the agreement with IDOT for TARP grant work on Anchor Rd.

State of Illinois

INTERGOVERNMENTAL GRANT AGREEMENT FISCAL YEAR 2022 / 3/4/21Page 1 of 37

Agreement No. C‐92‐047‐18 State Funded

INTER‐GOVERNMENTAL GRANT AGREEMENT

BETWEEN THE STATE OF ILLINOIS, DEPARTMENT OF TRANSPORTATION (IDOT)

AND City of Dixon

The Illinois Department of Transportation (Grantor), with its principal office at 2300 South Dirksen Parkway, Springfield IL. 62764, and ____City of Dixon_____________________________ (Grantee), with its principal office at _______121 West Second St, Dixon, IL 61021_______ and payment address (if different than principal office) at _____ _________, hereby enter into this Inter‐governmental Grant Agreement (Agreement), pursuant to the Intergovernmental Cooperation Act, 5 ILCS 220/1 et seq. Grantor and Grantee are collectively referred to herein as “Parties” or individually as a “Party.”

PART ONE – THE UNIFORM TERMS RECITALS

WHEREAS, it is the intent of the Parties to perform consistent with all Exhibits and attachments hereto

and pursuant to the duties and responsibilities imposed by Grantor under the laws of the state of Illinois and in accordance with the terms, conditions and provisions hereof.

NOW, THEREFORE, in consideration of the foregoing and the mutual agreements contained herein, and for other good and valuable consideration, the value, receipt and sufficiency of which are acknowledged, the Parties hereto agree as follows:

ARTICLE I AWARD AND GRANTEE‐SPECIFIC INFORMATION AND CERTIFICATION

1.1. DUNS Number; SAM Registration; Nature of Entity. Under penalties of perjury, Grantee certifies

that082046194is Grantee’s correct DUNS Number, that is Grantee’s correct UEI, if applicable, that 366005850 is Grantee’s correct FEIN or Social Security Number, and that Grantee has an active State registration and SAM registration. Grantee is doing business as a (check one):

Individual Pharmacy‐Non Corporate

Sole Proprietorship Pharmacy/Funeral Home/Cemetery Corp.

Partnership Tax Exempt

Corporation (includes Not For Profit) Limited Liability Company (select

Medical Corporation applicable tax classification)

Governmental Unit P = partnership

Estate or Trust C = corporation

If Grantee has not received a payment from the state of Illinois in the last two years, Grantee must submit a W‐9 tax form with this Agreement.

State of Illinois


1.2. Amount of Agreement. Grant Funds (check one) shall not exceed or are estimated to be $66,100, of which $0 are federal funds. Grantee agrees to accept Grantor’s payment as specified in the Exhibits and attachments incorporated herein as part of this Agreement.

1.3. Identification Numbers. If applicable, the Federal Award Identification Number (FAIN) is , the federal awarding agency is Not Applicable, and the Federal Award date is Not Applicable. If applicable, the Assistance Listing Program Title is No Applicable and Assistance Listing Number is Not Applicable. The Catalog of State Financial Assistance (CSFA) Number is 494‐00‐0958. The State Award Identification Number is 19‐0958‐0002.

1.4. Term. This Agreement shall be effective upon execution of the agreement and shall expire on (See Exhibit E), unless terminated pursuant to this Agreement.

1.5. Certification. Grantee certifies under oath that (1) all representations made in this Agreement are true and correct and (2) all Grant Funds awarded pursuant to this Agreement shall be used only for the purpose(s) described herein. Grantee acknowledges that the Award is made solely upon this certification and that any false statements, misrepresentations, or material omissions shall be the basis for immediate termination of this Agreement and repayment of all Grant Funds.

THE REMAINDER OF THIS PAGE IS LEFT INTENTIONAL BLANK

State of Illinois


1.6. Signatures. In witness whereof, the Parties hereto have caused this Agreement to be executed by their duly authorized representatives.

Check if under $250,000. If under $250,000 the Secretary’s signature may be delegated.

ILLINOIS DEPARTMENT OF TRANSPORTATION (City of Dixon)

By: ____________________________________ By: ____________________________________ Omer Osman, Secretary Signature of Authorized Representative

Date: ___ _________ Date: ___ __________ Printed Name: ___ __________

Printed Title: _ _____________

By: _____________________________ E‐mail: ___ __________ Signature of Designee (if applicable)

Date: __ ___________________

Printed Name _ _____________


By: ____________________________________ By: ____________________________________ Yangsu Kim, Chief Counsel Signature of Other Authorized Representative (if applicable)

Date: ____ _______ Date: ___ __________

Printed Name: ___ __________


By: ____________________________________ E‐mail: ___ __________ Joanne Woodworth, Acting Chief Fiscal Officer

Date: ___ ________

By: ____________________________________ Signature of Other Approver (if applicable)

Date: __ _________

Printed Name: ____ _________________

Printed Title: _____ _________________

State of Illinois


ARTICLE II REQUIRED REPRESENTATIONS

2.1. Standing and Authority. Grantee warrants that:

(a) Grantee is validly existing and in good standing, if applicable, under the laws of the state

in which it was incorporated, organized or created. (b) Grantee has the requisite power and authority to execute and deliver this Agreement

and all documents to be executed by it in connection with this Agreement, to perform its obligations hereunder and to consummate the transactions contemplated hereby.

(c) If Grantee is an agency under the laws of a jurisdiction other than Illinois, Grantee warrants that it is also duly qualified to do business in Illinois and is in good standing with the Illinois Secretary of State.

(d) The execution and delivery of this Agreement, and the other documents to be executed by Grantee in connection with this Agreement, and the performance by Grantee of its obligations hereunder have been duly authorized by all necessary entity action.

(e) This Agreement and all other documents related to this Agreement, including the Uniform Grant Application, the Exhibits and attachments to which Grantee is a party constitute the legal, valid and binding obligations of Grantee enforceable against Grantee in accordance with their respective terms.

2.2. Compliance with Internal Revenue Code. Grantee certifies that it does and will comply with all provisions of the federal Internal Revenue Code (26 USC 1), the Illinois Income Tax Act (35 ILCS 5), and all rules promulgated thereunder, including withholding provisions and timely deposits of employee taxes and unemployment insurance taxes.

2.3. Compliance with Federal Funding Accountability and Transparency Act of 2006. Grantee certifies

that it does and will comply with the reporting requirements of the Federal Funding Accountability and Transparency Act of 2006 (P.L. 109‐282) (FFATA) with respect to Federal Awards greater than or equal to $30,000. A FFATA sub‐award report must be filed by the end of the month following the month in which the award was made.

2.4. Compliance with Uniform Grant Rules (2 CFR Part 200). Grantee certifies that it shall adhere to

the applicable Uniform Administrative Requirements, Cost Principles, and Audit Requirements, which are published in Title 2, Part 200 of the Code of Federal Regulations, and are incorporated herein by reference. See 44 Ill. Admin. Code 7000.40(c)(1)(A).

2.5. Compliance with Registration Requirements. Grantee certifies that it: (i) is registered with the

federal SAM; (ii) is in good standing with the Illinois Secretary of State, if applicable; (iii) have a valid DUNS Number; (iv) have a valid UEI, if applicable; and (v) have successfully completed the annual registration and prequalification through the Grantee Portal. It is Grantee’s responsibility to remain current with these registrations and requirements. If Grantee’s status with regard to any of these requirements change, or the certifications made in and information provided in the Uniform Grant Application changes, Grantee must notify the Grantor in accordance with ARTICLE XVIII.

ARTICLE III DEFINITIONS

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3.1. Definitions. Capitalized words and phrases used in this Agreement have the following meanings: “2 CFR Part 200” means the Uniform Administrative Requirements, Cost Principles, and Audit

Requirements for Federal Awards published in Title 2, Part 200 of the Code of Federal Regulations. “Agreement” or “Grant Agreement” has the same meaning as in 44 Ill. Admin. Code 7000.30. “Allocable Costs” means costs allocable to a particular cost objective if the goods or services involved are

chargeable or assignable to such cost objective in accordance with relative benefits received or other equitable relationship. Costs allocable to a specific Program may not be shifted to other Programs in order to meet deficiencies caused by overruns or other fund considerations, to avoid restrictions imposed by law or by the terms of this Agreement, or for other reasons of convenience.

“Allowable Costs” has the same meaning as in 44 Ill. Admin. Code 7000.30. “Assistance Listings” has the same meaning as in 2 CFR 200.1. “Assistance Listing Number” has the same meaning as in 2 CFR 200.1 “Assistance Listing Program Title” has the same meaning as in 2 CFR 200.1. “Award” has the same meaning as in 44 Ill. Admin. Code 7000.30. “Budget” has the same meaning as in 44 Ill. Admin. Code 7000.30. “Budget Period” has the same meaning as in 2 CFR 200.1. “Catalog of State Financial Assistance” or “CSFA” has the same meaning as in 44 Ill. Admin. Code 7000.30. “Close‐out Report” means a report from the Grantee allowing the Grantor to determine whether all

applicable administrative actions and required work have been completed, and therefore closeout actions can commence.

“Conflict of Interest” has the same meaning as in 44 Ill. Admin. Code 7000.30. “Consolidated Year‐End Financial Report” or “CYEFR” means a financial information presentation in which

the assets, equity, liabilities, and operating accounts of an entity and its subsidiaries are combined (after eliminating all inter‐entity transactions) and shown as belonging to a single reporting entity.

“Cost Allocation Plan” has the same meaning as in 44 Ill. Admin. Code 7000.30. “Direct Costs” has the same meaning as in 44 Ill. Admin. Code 7000.30. “Disallowed Costs” has the same meaning as in 44 Ill. Admin. Code 7000.30. “DUNS Number” means a unique nine‐digit identification number provided by Dun & Bradstreet for each

physical location of Grantee’s organization. “FAIN” means the Federal Award Identification Number. “FFATA” or “Federal Funding Accountability and Transparency Act” has the same meaning as in 31 USC

6101; P.L. 110‐252.

State of Illinois


“Financial Assistance” has the same meaning as in 44 Ill. Admin. Code 7000.30. “Fixed‐Rate” has the same meaning as in 44 Ill. Admin. Code 7000.30. “Fixed‐Rate” is in contrast to fee‐for‐

service, 44 Ill. Admin. Code 7000.30. “GATU” means the Grant Accountability and Transparency Unit of GOMB. “Generally Accepted Accounting Principles” or “GAAP” has the same meaning as in 2 CFR 200.1. “GOMB” means the Illinois Governor’s Office of Management and Budget.

“Grant Funds” means the Financial Assistance made available to Grantee through this Agreement. “Grantee Portal” has the same meaning as in 44 Ill. Admin. Code 7000.30. “Improper Payment” has the same meaning as in 2 CFR 200.1.

“Indirect Costs” has the same meaning as in 44 Ill. Admin. Code 7000.30.

“Indirect Cost Rate” means a device for determining in a reasonable manner the proportion of indirect costs each Program should bear. It is a ratio (expressed as a percentage) of the Indirect Costs to a Direct Cost base. If reimbursement of Indirect Costs is allowable under an Award, Grantor will not reimburse those Indirect Costs unless Grantee has established an Indirect Cost Rate covering the applicable activities and period of time, unless Indirect Costs are reimbursed at a fixed rate. “Indirect Cost Rate Proposal” has the same meaning as in 44 Ill. Admin. Code 7000.30. “Net Revenue” means an entity’s total revenue less its operating expenses, interest paid, depreciation, and taxes. “Net Revenue” is synonymous with “Profit.” “Nonprofit Organization” has the same meaning as in 2 CFR 200.1. “Notice of Award” has the same meaning as in 44 Ill. Admin. Code 7000.30. “OMB” has the same meaning as in 44 Ill. Admin. Code 7000.30.

“Obligations” has the same meaning as in 44 Ill. Admin. Code 7000.30. “Period of Performance” has the same meaning as in 2 CFR 200.1. “Prior Approval” has the same meaning as in 44 Ill. Admin. Code 7000.30. “Profit” means an entity’s total revenue less its operating expenses, interest paid, depreciation, and taxes. “Profit” is synonymous with “Net Revenue.” “Program” means the services to be provided pursuant to this Agreement. “Program Costs” means all Allowable Costs incurred by Grantee and the value of the contributions made by third parties in accomplishing the objectives of the Award during the Term of this Agreement. “Related Parties” has the meaning set forth in Financial Accounting Standards Board (FASB) Accounting Standards Codification (ASC) 850‐10‐20.

State of Illinois


“SAM” means the federal System for Award Management (SAM); which is the federal repository into which an entity must provide information required for the conduct of business as a recipient. 2 CFR 25 Appendix A (1)(C)(1). “State” means the State of Illinois. “Term” has the meaning set forth in Paragraph 1.4. “Unallowable Costs” has the same meaning as in 44 Ill. Admin. Code 7000.30. “Unique Entity Identifier” or “UEI” means the unique identifier assigned to the Grantee or to subrecipients by SAM.

ARTICLE IV PAYMENT

4.1. Availability of Appropriation; Sufficiency of Funds. This Agreement is contingent upon and

subject to the availability of sufficient funds. Grantor may terminate or suspend this Agreement, in whole or in part, without penalty or further payment being required, if (i) sufficient funds for this Agreement have not been appropriated or otherwise made available to the Grantor by the State or the federal funding source, (ii) the Governor or Grantor reserves funds, or (iii) the Governor or Grantor determines that funds will not or may not be available for payment. Grantor shall provide notice, in writing, to Grantee of any such funding failure and its election to terminate or suspend this Agreement as soon as practicable. Any suspension or termination pursuant to this Section will be effective upon the date of the written notice unless otherwise indicated.

4.2. Pre‐Award Costs. Pre‐award costs are not permitted unless specifically authorized by the Grantor in Exhibit A, PART TWO or PART THREE of this Agreement. If they are authorized, pre‐award costs must be charged to the initial Budget Period of the Award, unless otherwise specified by the Grantor. 2 CFR 200.458.

4.3. Return of Grant Funds. Any Grant Funds remaining that are not expended or legally obligated by

Grantee, including those funds obligated pursuant to ARTICLE XVII, at the end of the Agreement period, or in the case of capital improvement Awards at the end of the time period Grant Funds are available for expenditure or obligation, shall be returned to Grantor within forty‐five (45) days. A Grantee who is required to reimburse Grant Funds and who enters into a deferred payment plan for the purpose of satisfying a past due debt, shall be required to pay interest on such debt as required by Section 10.2 of the Illinois State Collection Act of 1986. 30 ILCS 210; 44 Ill. Admin. Code 7000.450(c). In addition, as required by 44 Ill. Admin. Code 7000.440(b)(2), unless granted a written extension, Grantee must liquidate all obligations incurred under the Award at the end of the period of performance.

4.4. Cash Management Improvement Act of 1990. Unless notified otherwise in PART TWO or PART THREE, federal funds received under this Agreement shall be managed in accordance with the Cash Management Improvement Act of 1990 (31 USC 6501 et seq.) and any other applicable federal laws or regulations. See 2 CFR 200.305; 44 Ill. Admin. Code 7000.120.

4.5. Payments to Third Parties. Grantee agrees that Grantor shall have no liability to Grantee when Grantor acts in good faith to redirect all or a portion of any Grantee payment to a third party. Grantor will be deemed to have acted in good faith when it is in possession of information that indicates Grantee authorized Grantor to intercept or redirect payments to a third party or when so ordered by a court of competent jurisdiction.

4.6. Modifications to Estimated Amount. If the Agreement amount is established on an estimated

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basis, then it may be increased by mutual agreement at any time during the Term. Grantor may decrease the estimated amount of this Agreement at any time during the Term if (i) Grantor believes Grantee will not use the funds during the Term, (ii) Grantor believes Grantee has used funds in a manner that was not authorized by this Agreement, (iii) sufficient funds for this Agreement have not been appropriated or otherwise made available to the Grantor by the State or the federal funding source, (iv) the Governor or Grantor reserves funds, or (v) the Governor or Grantor determines that funds will or may not be available for payment. Grantee will be notified, in writing, of any adjustment of the estimated amount of this Agreement. In the event of such reduction, services provided by Grantee under Exhibit A may be reduced accordingly. Grantee shall be paid for work satisfactorily performed prior to the date of the notice regarding adjustment. 2 CFR 200.308.

4.7. Interest. (a) All interest earned on Grant Funds held by a Grantee shall be treated in accordance

with 2 CFR 200.305(b)(9), unless otherwise provided in PART TWO or PART THREE. Any amount due shall be remitted annually in accordance with 2 CFR 200.305(b)(9) or to the Grantor, as applicable.

(b) Grant Funds shall be placed in an insured account, whenever possible, that bears

interest, unless exempted under 2 CFR 200.305(b)(8).

4.8. Timely Billing Required. Grantee must submit any payment request to Grantor within fifteen (15) days of the end of the quarter, unless another billing schedule is specified in PART TWO, PART THREE or Exhibit C. Failure to submit such payment request timely will render the amounts billed an unallowable cost which Grantor cannot reimburse. In the event that Grantee is unable, for good cause, to submit its payment request timely, Grantee shall timely notify Grantor and may request an extension of time to submit the payment request. Grantor’s approval of Grantee’s request for an extension shall not be unreasonably withheld.

4.9. Certification. Pursuant to 2 CFR 200.415, each invoice and report submitted by Grantee (or sub‐grantee) must contain the following certification by an official authorized to legally bind the Grantee (or sub‐grantee):

By signing this report [or payment request or both], I certify to the best of my knowledge and belief that the report [or payment request] is true, complete, and accurate; that the expenditures, disbursements and cash receipts are for the purposes and objectives set forth in the terms and conditions of the State or federal pass‐through award; and that supporting documentation has been submitted as required by the grant agreement. I acknowledge that approval for any other expenditure described herein shall be considered conditional subject to further review and verification in accordance with the monitoring and records retention provisions of the grant agreement. I am aware that any false, fictitious, or fraudulent information, or the omission of any material fact, may subject me to criminal, civil or administrative penalties for fraud, false statements, false claims or otherwise. (U.S. Code Title 18, Section 1001 and Title 31, Sections 3729‐3730 and 3801‐3812; 30 ILCS 708/120).

ARTICLE V SCOPE OF GRANT ACTIVITIES/PURPOSE OF GRANT

5.1. Scope of Grant Activities/Purpose of Grant. Grantee will conduct the Grant Activities or provide

the services as described in the Exhibits and attachments, including Exhibit A (Project Description) and Exhibit B (Deliverables), incorporated herein and in accordance with all terms and conditions set forth herein and all applicable administrative rules. In addition, the State’s Notice of Award is incorporated herein by reference. All Grantor‐specific provisions and programmatic reporting required under this Agreement are described in PART

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TWO (The Grantor‐Specific Terms). All Project‐specific provisions and reporting required under this Agreement are described in PART THREE.

5.2. Scope Revisions. Grantee shall obtain Prior Approval from Grantor whenever a Scope revision is

necessary for one or more of the reasons enumerated in 2 CFR 200.308. All requests for Scope revisions that require Grantor approval shall be signed by Grantee’s authorized representative and submitted to Grantor for approval. Expenditure of funds under a requested revision is prohibited and will not be reimbursed if expended before Grantor gives written approval. See 2 CFR 200.308.

5.3. Specific Conditions. If applicable, specific conditions required after a risk assessment will be

included in Exhibit G. Grantee shall adhere to the specific conditions listed therein.

ARTICLE VI BUDGET

6.1. Budget. The Budget is a schedule of anticipated grant expenditures that is approved by Grantor

for carrying out the purposes of the Award. When Grantee or third parties support a portion of expenses associated with the Award, the Budget includes the non‐federal as well as the federal share (and State share if applicable) of grant expenses. The Budget submitted by Grantee at application, or a revised Budget subsequently submitted and approved by Grantor, is considered final and is incorporated herein by reference.

6.2. Budget Revisions. Grantee shall obtain Prior Approval from Grantor whenever a Budget revision is necessary for one or more of the reasons enumerated in 2 CFR 200.308 or 44 Ill. Admin. Code 7000.370(b). All requests for Budget revisions that require Grantor approval shall be signed by Grantee’s authorized representative and submitted to Grantor for approval. Expenditure of funds under a requested revision is prohibited and will not be reimbursed if expended before Grantor gives written approval.

6.3. Discretionary and Non‐discretionary Line Item Transfers. Discretionary and non‐discretionary line

item transfers may only be made in accordance with 2 CFR 200.308 and 44 Ill. Admin. Code 7000.370. Neither discretionary nor non‐discretionary line item transfers may result in an increase to the total amount of Grant Funds in the Budget unless Prior Approval is obtained from Grantor.

6.4. Notification. Within thirty (30) calendar days from the date of receipt of the request for Budget

revisions, Grantor will review the request and notify Grantee whether the Budget revision has been approved, denied, or the date upon which a decision will be reached.

ARTICLE VII ALLOWABLE COSTS

7.1. Allowability of Costs; Cost Allocation Methods. The allowability of costs and cost allocation

methods for work performed under this Agreement shall be determined in accordance with 2 CFR 200 Subpart E and Appendices III, IV, and V.

7.2. Indirect Cost Rate Submission.

(a) All Grantees must make an Indirect Cost Rate election in the Grantee Portal, even grantees that do not charge or expect to charge Indirect Costs. 44 Ill. Admin. Code 7000.420(d).

(i) Waived and de minimis Indirect Cost Rate elections will remain in effect until

the Grantee elects a different option.

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(b) A Grantee must submit an Indirect Cost Rate Proposal in accordance with federal

regulations, in a format prescribed by Grantor. For Grantees who have never negotiated an Indirect Cost Rate before, the Indirect Cost Rate Proposal must be submitted for approval no later than three months after the effective date of the Award. For Grantees who have previously negotiated an Indirect Cost Rate, the Indirect Cost Rate Proposal must be submitted for approval within 180 days of the Grantee’s fiscal year end, as dictated in the applicable appendices, such as:

(i) Appendix V and VII to 2 CFR Part 200 governs Indirect Cost Rate Proposals for state and local governments,

(ii) Appendix III to 2 CFR Part 200 governs Indirect Cost Rate Proposals for public and private institutions of higher education,

(iii) Appendix IV to 2 CFR Part 200 governs Indirect (F&A) Costs Identification and Assignment, and Rate Determination for Nonprofit Organizations, and

(iv) Appendix V to 2 CFR Part 200 governs state/Local Governmentwide Central Service Cost Allocation Plans.

(c) A Grantee who has a current, applicable rate negotiated by a cognizant federal agency

shall provide to Grantor a copy of its Indirect Cost Rate acceptance letter from the federal government and a copy of all documentation regarding the allocation methodology for costs used to negotiate that rate, e.g., without limitation, the cost policy statement or disclosure narrative statement. Grantor will accept that Indirect Cost Rate, up to any statutory, rule‐based or programmatic limit.

(d) A Grantee who does not have a current negotiated rate, may elect to charge a de

minimis rate of 10% of modified total direct costs which may be used indefinitely. No documentation is required to justify the 10% de minimis Indirect Cost Rate. 2 CFR 200.414(f).

7.3. Transfer of Costs. Cost transfers between Grants, whether as a means to compensate for cost

overruns or for other reasons, are unallowable. See 2 CFR 200.451. 7.4. Higher Education Cost Principles. The federal cost principles that apply to public and private

institutions of higher education are set forth in 2 CFR Part 200 Subpart E and Appendix III. 7.5. Government Cost Principles. The federal cost principles that apply to state, local and federally‐

recognized Indian tribal governments are set forth in 2 CFR Part 200 Subpart E, Appendix V, and Appendix VII. 7.6. Financial Management Standards. The financial management systems of Grantee must meet the

following standards:

(a) Accounting System. Grantee organizations must have an accounting system that provides accurate, current, and complete disclosure of all financial transactions related to each state‐ and federally‐funded Program. Accounting records must contain information pertaining to state and federal pass‐through awards, authorizations, obligations, unobligated balances, assets, outlays, and income. These records must be maintained on a current basis and balanced at least quarterly. Cash contributions to the Program from third parties must be accounted for in the general ledger with other Grant Funds. Third party in‐kind (non‐cash) contributions are not required to be recorded in the general ledger, but must be under accounting control, possibly through the use of a memorandum ledger. To comply with 2 CFR 200.305(b)(7)(i) and 30 ILCS 708/520, Grantee shall use reasonable efforts to ensure that funding streams are delineated within Grantee’s accounting system. See 2 CFR 200.302.

(b) Source Documentation. Accounting records must be supported by such source documentation as canceled checks, bank statements, invoices, paid bills, donor letters, time and attendance records, activity reports, travel reports, contractual and consultant agreements, and

State of Illinois


subaward documentation. All supporting documentation should be clearly identified with the Award and general ledger accounts which are to be charged or credited.

(i) The documentation standards for salary charges to grants are prescribed by 2 CFR 200.430, and in the cost principles applicable to the entity’s organization (Paragraphs 7.4 through 7.5).

(ii) If records do not meet the standards in 2 CFR 200.430, then Grantor may notify Grantee in PART TWO, PART THREE or Exhibit G of the requirement to submit Personnel activity reports. See 2 CFR 200.430(i)(8). Personnel activity reports shall account on an after‐the‐fact basis for one hundred percent (100%) of the employee's actual time, separately indicating the time spent on the grant, other grants or projects, vacation or sick leave, and administrative time, if applicable. The reports must be signed by the employee, approved by the appropriate official, and coincide with a pay period. These time records should be used to record the distribution of salary costs to the appropriate accounts no less frequently than quarterly.

(iii) Formal agreements with independent contractors, such as consultants, must include a description of the services to be performed, the period of performance, the fee and method of payment, an itemization of travel and other costs which are chargeable to the agreement, and the signatures of both the contractor and an appropriate official of Grantee.

(iv) If third party in‐kind (non‐cash) contributions are used for Grant purposes, the valuation of these contributions must be supported with adequate documentation.

(c) Internal Control. Effective control and accountability must be maintained for all cash, real and personal property, and other assets. Grantee must adequately safeguard all such property and must provide assurance that it is used solely for authorized purposes. Grantee must also have systems in place that provide reasonable assurance that the information is accurate, allowable, and compliant with the terms and conditions of this Agreement. 2 CFR 200.303.

(d) Budget Control. Records of expenditures must be maintained for each Award by the cost categories of the approved Budget (including indirect costs that are charged to the Award), and actual expenditures are to be compared with Budgeted amounts at least quarterly.

(e) Cash Management. Requests for advance payment shall be limited to Grantee's immediate cash needs. Grantee must have written procedures to minimize the time elapsing between the receipt and the disbursement of Grant Funds to avoid having excess funds on hand. 2 CFR 200.305.

7.7. Federal Requirements. All Awards, whether funded in whole or in part with either federal or

State funds, are subject to federal requirements and regulations, including but not limited to 2 CFR Part 200, 44 Ill. Admin. Code 7000.30(b) and the Financial Management Standards in Paragraph 7.6.

7.8. Profits. It is not permitted for any person or entity to earn a Profit from an Award. See, e.g., 2 CFR 200.400(g); see also 30 ILCS 708/60(a)(7).

7.9. Management of Program Income. Grantee is encouraged to earn income to defray program

costs where appropriate, subject to 2 CFR 200.307.

ARTICLE VIII REQUIRED CERTIFICATIONS

8.1. Certifications. Grantee shall be responsible for compliance with the enumerated certifications to

the extent that the certifications apply to Grantee.

(a) Bribery. Grantee certifies that it has not been convicted of bribery or attempting to

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bribe an officer or employee of the state of Illinois, nor made an admission of guilt of such conduct which is a matter of record (30 ILCS 500/50‐5).

(b) Bid Rigging. Grantee certifies that it has not been barred from contracting with a unit of state or local government as a result of a violation of Paragraph 33E‐3 or 33E‐4 of the Criminal Code of 1961 (720 ILCS 5/33E‐3 or 720 ILCS 5/33E‐4, respectively).

(c) Debt to State. Grantee certifies that neither it, nor its affiliate(s), is/are barred from receiving an Award because Grantee, or its affiliate(s), is/are delinquent in the payment of any debt to the State, unless Grantee, or its affiliate(s), has/have entered into a deferred payment plan to pay off the debt, and Grantee acknowledges Grantor may declare the Agreement void if the certification is false (30 ILCS 500/50‐11). (d) Educational Loan. Grantee certifies that it is not barred from receiving State agreements as a result of default on an educational loan (5 ILCS 385/1 et seq.). (e) International Boycott. Grantee certifies that neither it nor any substantially owned affiliated company is participating or shall participate in an international boycott in violation of the provision of the U.S. Export Administration Act of 1979 (50 USC Appendix 2401 et seq.) or the regulations of the U.S. Department of Commerce promulgated under that Act (15 CFR Parts 730 through 774).

(f) Dues and Fees. Grantee certifies that it is not prohibited from receiving an Award because it pays dues or fees on behalf of its employees or agents, or subsidizes or otherwise reimburses them for payment of their dues or fees to any club which unlawfully discriminates (775 ILCS 25/1 et seq.). (g) Pro‐Children Act. Grantee certifies that it is in compliance with the Pro‐Children Act of 2001 in that it prohibits smoking in any portion of its facility used for the provision of health, day care, early childhood development services, education or library services to children under the age of eighteen (18), which services are supported by federal or state government assistance (except such portions of the facilities which are used for inpatient substance abuse treatment) (20 USC 7181‐7184).

(h) Drug‐Free Work Place. If Grantee is not an individual, Grantee certifies it will provide a

drug free workplace pursuant to the Drug Free Workplace Act. 30 ILCS 580/3. If Grantee is an individual and this Agreement is valued at more than $5,000, Grantee certifies it shall not engage in the unlawful manufacture, distribution, dispensation, possession, or use of a controlled substance during the performance of the Agreement. 30 ILCS 580/4. Grantee further certifies that it is in compliance with the government‐wide requirements for a drug‐free workplace as set forth in 41 USC 8102.

(i) Motor Voter Law. Grantee certifies that it is in full compliance with the terms and provisions of the National Voter Registration Act of 1993 (52 USC 20501 et seq.).

(j) Clean Air Act and Clean Water Act. Grantee certifies that it is in compliance with all applicable standards, order or regulations issued pursuant to the Clean Air Act (42 USC §7401 et seq.) and the Federal Water Pollution Control Act, as amended (33 USC 1251 et seq.).

(k) Debarment. Grantee certifies that it is not debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this Agreement by any federal department or agency 2 CFR 200.205(a), or by the State (See 30 ILCS 708/25(6)(G)).

(l) Non‐procurement Debarment and Suspension. Grantee certifies that it is in compliance with Subpart C of 2 CFR Part 180 as supplemented by 2 CFR Part 376, Subpart C.

(m) Grant for the Construction of Fixed Works. Grantee certifies that all Programs for the

construction of fixed works which are financed in whole or in part with funds provided by this Agreement

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shall be subject to the Prevailing Wage Act (820 ILCS 130/0.01 et seq.) unless the provisions of that Act exempt its application. In the construction of the Program, Grantee shall comply with the requirements of the Prevailing Wage Act including, but not limited to, inserting into all contracts for such construction a stipulation to the effect that not less than the prevailing rate of wages as applicable to the Program shall be paid to all laborers, workers, and mechanics performing work under the Award and requiring all bonds of contractors to include a provision as will guarantee the faithful performance of such prevailing wage clause as provided by contract.

(n) Health Insurance Portability and Accountability Act. Grantee certifies that it is in

compliance with the Health Insurance Portability and Accountability Act of 1996 (HIPAA), Public Law No. 104‐191, 45 CFR Parts 160, 162 and 164, and the Social Security Act, 42 USC 1320d‐2 through 1320d‐7, in that it may not use or disclose protected health information other than as permitted or required by law and agrees to use appropriate safeguards to prevent use or disclosure of the protected health information. Grantee shall maintain, for a minimum of six (6) years, all protected health information.

(o) Criminal Convictions. Grantee certifies that neither it nor any managerial agent of

Grantee has been convicted of a felony under the Sarbanes‐Oxley Act of 2002, nor a Class 3 or Class 2 felony under Illinois Securities Law of 1953, or that at least five (5) years have passed since the date of the conviction. Grantee further certifies that it is not barred from receiving an Award under 30 ILCS 500/50‐10.5, and acknowledges that Grantor shall declare the Agreement void if this certification is false (30 ILCS 500/50‐10.5).

(p) Forced Labor Act. Grantee certifies that it complies with the State Prohibition of Goods from Forced Labor Act, and certifies that no foreign‐made equipment, materials, or supplies furnished to the State under this Agreement have been or will be produced in whole or in part by forced labor, convict labor, or indentured labor under penal sanction (30 ILCS 583).

(q) Illinois Use Tax. Grantee certifies in accordance with 30 ILCS 500/50‐12 that it is not

barred from receiving an Award under this Paragraph. Grantee acknowledges that this Agreement may be declared void if this certification is false.

(r) Environmental Protection Act Violations. Grantee certifies in accordance with 30 ILCS

500/50‐14 that it is not barred from receiving an Award under this Paragraph. Grantee acknowledges that this Agreement may be declared void if this certification is false.

(s) Goods from Child Labor Act. Grantee certifies that no foreign‐made equipment,

materials, or supplies furnished to the State under this Agreement have been produced in whole or in part by the labor of any child under the age of twelve (12) (30 ILCS 584).

(t) Federal Funding Accountability and Transparency Act of 2006. Grantee certifies that it

is in compliance with the terms and requirements of 31 USC 6101. (u) Illinois Works Review Panel. For Awards made for public works projects, as defined in

the Illinois Works Jobs Program Act, Grantee certifies that it and any contractor(s) or sub‐contractor(s) that performs work using funds from this Award, shall, upon reasonable notice, appear before and respond to requests for information from the Illinois Works Review Panel. 30 ILCS 559/20‐25(d).

ARTICLE IX CRIMINAL DISCLOSURE

9.1. Mandatory Criminal Disclosures. Grantee shall continue to disclose to Grantor all violations of

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criminal law involving fraud, bribery or gratuity violations potentially affecting this Award. See 30 ILCS 708/40. Additionally, if Grantee receives over $10 million in total Financial Assistance, funded by either State or federal funds, during the period of this Award, Grantee must maintain the currency of information reported to SAM regarding civil, criminal or administrative proceedings as required by 2 CFR 200.113 and Appendix XII of 2 CFR Part 200, and 30 ILCS 708/40.

ARTICLE X UNLAWFUL DISCRIMINATION

10.1. Compliance with Nondiscrimination Laws. Both Parties, their employees and subcontractors

under subcontract made pursuant to this Agreement, remain compliant with all applicable provisions of state and federal laws and regulations pertaining to nondiscrimination, sexual harassment and equal employment opportunity including, but not limited to, the following laws and regulations and all subsequent amendments thereto:

(a) The Illinois Human Rights Act (775 ILCS 5/1‐101 et seq.), including, without limitation, 44 Ill. Admin. Code Part 750, which is incorporated herein;

(b) The Public Works Employment Discrimination Act (775 ILCS 10/1 et seq.);

(c) The United States Civil Rights Act of 1964 (as amended) (42 USC 2000a‐ and 2000h‐6).

(See also guidelines to Federal Financial Assistance Recipients Regarding Title VI Prohibition Against National Origin Discrimination Affecting Limited English Proficient Persons [Federal Register: February 18, 2002 (Volume 67, Number 13, Pages 2671‐2685)]);

(d) Section 504 of the Rehabilitation Act of 1973 (29 USC 794);

(e) The Americans with Disabilities Act of 1990 (as amended) (42 USC 12101 et seq.); and (f) The Age Discrimination Act (42 USC 6101 et seq.).

ARTICLE XI LOBBYING

11.1. Improper Influence. Grantee certifies that no Grant Funds have been paid or will be paid by or on

behalf of Grantee to any person for influencing or attempting to influence an officer or employee of any government agency, a member of Congress or Illinois General Assembly, an officer or employee of Congress or Illinois General Assembly, or an employee of a member of Congress or Illinois General Assembly in connection with the awarding of any agreement, the making of any grant, the making of any loan, the entering into of any cooperative agreement, or the extension, continuation, renewal, amendment or modification of any agreement, grant, loan or cooperative agreement. 31 USC 1352. Additionally, Grantee certifies that it has filed the required certification under the Byrd Anti‐Lobbying Amendment (31 USC 1352), if applicable.

11.2. Federal Form LLL. If any funds, other than federally‐appropriated funds, were paid or will be paid to any person for influencing or attempting to influence any of the above persons in connection with this Agreement, the undersigned must also complete and submit Federal Form LLL, Disclosure of Lobbying Activities Form, in accordance with its instructions.

11.3. Lobbying Costs. Grantee certifies that it is in compliance with the restrictions on lobbying set forth in 2 CFR 200.450. For any Indirect Costs associated with this Agreement, total lobbying costs shall be separately identified in the Program Budget, and thereafter treated as other Unallowable Costs.

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11.4. Procurement Lobbying. Grantee warrants and certifies that it and, to the best of its knowledge,

its sub‐grantees have complied and will comply with Executive Order No. 1 (2007) (EO 1‐2007). EO 1‐2007 generally prohibits Grantees and subcontractors from hiring the then‐serving Governor’s family members to lobby procurement activities of the State, or any other unit of government in Illinois including local governments, if that procurement may result in a contract valued at over $25,000. This prohibition also applies to hiring for that same purpose any former State employee who had procurement authority at any time during the one‐year period preceding the procurement lobbying activity.

11.5. Subawards. Grantee must include the language of this ARTICLE XI in the award documents for any subawards made pursuant to this Award at all tiers. All sub‐awardees are also subject to certification and disclosure. Pursuant to Appendix II(I) to 2 CFR Part 200, Grantee shall forward all disclosures by contractors regarding this certification to Grantor.

11.6. Certification. This certification is a material representation of fact upon which reliance was placed to enter into this transaction and is a prerequisite for this transaction, pursuant to 31 USC 1352. Any person who fails to file the required certifications shall be subject to a civil penalty of not less than $10,000, and not more than $100,000, for each such failure.

ARTICLE XII MAINTENANCE AND ACCESSIBILITY OF RECORDS; MONITORING

12.1. Records Retention. Grantee shall maintain for three (3) years from the date of submission of the

final expenditure report, adequate books, all financial records and, supporting documents, statistical records, and all other records pertinent to this Award, adequate to comply with 2 CFR 200.334, unless a different retention period is specified in 2 CFR 200.334 or 44 Ill. Admin. Code 7000.430(a) and (b). If any litigation, claim or audit is started before the expiration of the retention period, the records must be retained until all litigation, claims or audit exceptions involving the records have been resolved and final action taken.

12.2. Accessibility of Records. Grantee, in compliance with 2 CFR 200.337 and 44 Ill. Admin. Code 7000.430(e), shall make books, records, related papers, supporting documentation and personnel relevant to this Agreement available to authorized Grantor representatives, the Illinois Auditor General, Illinois Attorney General, any Executive Inspector General, the Grantor’s Inspector General, federal authorities, any person identified in 2 CFR 200.337, and any other person as may be authorized by Grantor (including auditors), by the state of Illinois or by federal statute. Grantee shall cooperate fully in any such audit or inquiry.

12.3. Failure to Maintain Books and Records. Failure to maintain books, records and supporting documentation, as described in this ARTICLE XII, shall establish a presumption in favor of the State for the recovery of any funds paid by the State under this Agreement for which adequate books, records and supporting documentation are not available to support disbursement.

12.4. Monitoring and Access to Information. Grantee must monitor its activities to assure compliance

with applicable state and federal requirements and to assure its performance expectations are being achieved. Grantor shall monitor the activities of Grantee to assure compliance with all requirements and performance expectations of the award. Grantee shall timely submit all financial and performance reports, and shall supply, upon Grantor’s request, documents and information relevant to the Award. Grantor may make site visits as warranted by program needs. See 2 CFR 200.329 and 200.332. Additional monitoring requirements may be in PART TWO or PART THREE.

ARTICLE XIII FINANCIAL REPORTING REQUIREMENTS

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13.1. Required Periodic Financial Reports. Grantee agrees to submit financial reports as requested and

in the format required by Grantor. Grantee shall file quarterly reports with Grantor describing the expenditure(s) of the funds related thereto, unless more frequent reporting is required by the Grantee pursuant to specific award conditions. 2 CFR 200.208. Unless so specified, the first of such reports shall cover the first three months after the Award begins, and reports must be submitted no later than the due date(s) specified in PART TWO or PART THREE, unless additional information regarding required financial reports is set forth in Exhibit G. Failure to submit the required financial reports may cause a delay or suspension of funding. 30 ILCS 705/1 et seq.; 2 CFR 208(b)(3) and 200.328. Any report required by 30 ILCS 708/125 may be detailed in PART TWO or PART THREE.

13.2. Close‐out Reports.

(a) Grantee shall submit a Close‐out Report no later than the due date specified in PART

TWO or PART THREE following the end of the period of performance for this Agreement or Agreement termination. The format of this Close‐out Report shall follow a format prescribed by Grantor. 2 CFR 200.344; 44 Ill. Admin. Code 7000.440(b).

(b) If an audit or review of Grantee occurs and results in adjustments after Grantee submits a Close‐out Report, Grantee will submit a new Close‐out Report based on audit adjustments, and immediately submit a refund to Grantor, if applicable. 2 CFR 200.345.

13.3. Effect of Failure to Comply. Failure to comply with reporting requirements shall result in the

withholding of funds, the return of Improper Payments or Unallowable Costs, will be considered a material breach of this Agreement and may be the basis to recover Grant Funds. Grantee's failure to comply with this ARTICLE XIII, ARTICLE XIV, or ARTICLE XV shall be considered prima facie evidence of a breach and may be admitted as such, without further proof, into evidence in an administrative proceeding before Grantor, or in any other legal proceeding. Grantee should refer to the State of Illinois Grantee Compliance Enforcement System for policy and consequences for failure to comply. 44 Ill. Admin. Code 7000.80.

ARTICLE XIV PERFORMANCE REPORTING REQUIREMENTS

14.1. Required Periodic Performance Reports. Grantee agrees to submit Performance Reports as

requested and in the format required by Grantor. Performance Measures listed in Exhibit E must be reported quarterly, unless otherwise specified in PART TWO, PART THREE or Exhibit G. Unless so specified, the first of such reports shall cover the first three months after the Award begins. If Grantee is not required to report performance quarterly, then Grantee must submit a Performance Report at least annually. Pursuant to 2 CFR 200.208, specific conditions may be imposed requiring Grantee to report more frequently based on the risk assessment or the merit‐based review of the application. In such cases, Grantor shall notify Grantee of same in Exhibit G. Pursuant to 2 CFR 200.329 and 44 Ill. Admin. Code 7000.410(b)(2), periodic Performance Reports shall be submitted no later than the due date(s) specified in PART TWO or PART THREE. For certain construction‐related Awards, such reports may be exempted as identified in PART TWO or PART THREE. 2 CFR 200.329. Failure to submit such required Performance Reports may cause a delay or suspension of funding. 30 ILCS 705/1 et seq.

14.2. Close‐out Performance Reports. Grantee agrees to submit a Close‐out Performance Report, in the format required by Grantor, no later than the due date specified in PART TWO or PART THREE following the end of the period of performance or Agreement termination. See 2 CFR 200.344; 44 Ill. Admin. Code 7000.440(b)(1).

14.3. Content of Performance Reports. Pursuant to 2 CFR 200.329(b) and (c), all Performance Reports must relate the financial data and accomplishments to the performance goals and objectives of this Award and

State of Illinois


also include the following: a comparison of actual accomplishments to the objectives of the award established for the period; where the accomplishments can be quantified, a computation of the cost and demonstration of cost effective practices (e.g., through unit cost data); performance trend data and analysis if required; and reasons why established goals were not met, if appropriate. Appendices may be used to include additional supportive documentation. Additional content and format guidelines for the Performance Reports will be determined by Grantor contingent on the Award’s statutory, regulatory and administrative requirements, and are included in PART TWO or PART THREE of this Agreement.

14.4. Performance Standards. Grantee shall perform in accordance with the Performance Standards

set forth in Exhibit F. See 2 CFR 200.301 and 200.210.

ARTICLE XV AUDIT REQUIREMENTS

15.1. Audits. Grantee shall be subject to the audit requirements contained in the Single Audit Act

Amendments of 1996 (31 USC 7501‐7507) and Subpart F of 2 CFR Part 200, and the audit rules and policies set forth by the Governor’s Office of Management and Budget. See 30 ILCS 708/65(c); 44 Ill. Admin. Code 7000.90.

15.2. Consolidated Year‐End Financial Reports (CYEFR). All grantees are required to complete and

submit a CYEFR through the Grantee Portal. The CYEFR is a required schedule in the Grantee’s audit report if the Grantee is required to complete and submit an audit report as set forth herein.

(a) This Paragraph 15.2 applies to all Grantees, unless exempted pursuant to a federal or state statute or regulation, which is identified in PART TWO or PART THREE.

(b) The CYEFR must cover the same period as the Audited Financial Statements, if required,

and must be submitted in accordance with the audit schedule at 44 Ill. Admin. Code 7000.90. If Audited Financial Statements are not required, however, then the CYEFR must cover the Grantee’s fiscal year and must be submitted within 6 months of the Grantee’s fiscal year‐end.

(c) CYEFRs must include an in relation to opinion from the auditor of the financial

statements included in the CYEFR.

(d) CYEFRs shall follow a format prescribed by Grantor. 15.3. Audit Requirements.

(a) Single and Program‐Specific Audits. If, during its fiscal year, Grantee expends $750,000

or more in Federal Awards (direct federal and federal pass‐through awards combined), Grantee must have a single audit or program‐specific audit conducted for that year as required by 2 CFR 200.501 and other applicable sections of Subpart F of 2 CFR Part 200. The audit report packet must be completed as described in 2 CFR 200.512 (single audit) or 2 CFR 200.507 (program‐specific audit), 44 Ill. Admin. Code 7000.90(h)(1) and the current GATA audit manual and submitted to the Federal Audit Clearinghouse, as required by 2 CFR 200.512. The results of peer and external quality control reviews, management letters, AU‐C 265 communications and the Consolidated Year‐End Financial Report(s) must be submitted to the Grantee Portal. The due date of all required submissions set forth in this Paragraph is the earlier of (i) 30 calendar days after receipt of the auditor’s report(s) or (ii) nine (9) months after the end of the Grantee’s audit period.

(b) Financial Statement Audit. If, during its fiscal year, Grantee expends less than $750,000

in Federal Awards, Grantee is subject to the following audit requirements:

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(i) If, during its fiscal year, Grantee expends $500,000 or more in Federal and state Awards, singularly or in any combination, from all sources, Grantee must have a financial statement audit conducted in accordance with the Generally Accepted Government Auditing Standards (GAGAS). Grantee may be subject to additional requirements in PART TWO, PART THREE or Exhibit G based on the Grantee’s risk profile.

(ii) If, during its fiscal year, Grantee expends less than $500,000 in Federal and state Awards, singularly or in any combination, from all sources, but expends $300,000 or more in Federal and state Awards, singularly or in any combination, from all sources, Grantee must have a financial statement audit conducted in accordance with the Generally Accepted Auditing Standards (GAAS).

(iii) If Grantee is a Local Education Agency (as defined in 34 CFR 77.1), Grantee shall have a financial statement audit conducted in accordance with GAGAS, as required by 23 Ill. Admin. Code 100.110, regardless of the dollar amount of expenditures of Federal and state Awards.

(iv) If Grantee does not meet the requirements in subsections 15.3(a) and 15.3(b)(i‐iii) but is required to have a financial statement audit conducted based on other regulatory requirements, Grantee must submit those audits for review.

(v) Grantee must submit its financial statement audit report packet, as set forth in 44 Ill. Admin. Code 7000.90(h)(2) and the current GATA audit manual, to the Grantee Portal within the earlier of (i) 30 calendar days after receipt of the auditor’s report(s) or (ii) 6 months after the end of the Grantee’s audit period.

15.4. Performance of Audits. For those organizations required to submit an independent audit report,

the audit is to be conducted by the Illinois Auditor General, or a Certified Public Accountant or Certified Public Accounting Firm licensed in the state of Illinois or in accordance with Section 5.2 of the Illinois Public Accounting Act (225 ILCS 450/5.2). For all audits required to be performed subject to Generally Accepted Government Auditing standards or Generally Accepted Auditing standards, Grantee shall request and maintain on file a copy of the auditor’s most recent peer review report and acceptance letter. Grantee shall follow procedures prescribed by Grantor for the preparation and submission of audit reports and any related documents.

15.5. Delinquent Reports. Notwithstanding anything herein to the contrary, when such reports or statements required under this section are prepared by the Illinois Auditor General, if they are not available by the above‐specified due date, they will be provided to Grantor within thirty (30) days of becoming available. Otherwise, Grantee should refer to the State of Illinois Grantee Compliance Enforcement System for the policy and consequences for late reporting. 44 Ill. Admin. Code 7000.80.

ARTICLE XVI TERMINATION; SUSPENSION; NON‐COMPLIANCE

16.1. Termination.

(a) This Agreement may be terminated, in whole or in part, by either Party for any or no

reason upon thirty (30) calendar days’ prior written notice to the other Party. If terminated by the Grantee, Grantee must include the reasons for such termination, the effective date, and, in the case of a partial termination, the portion to be terminated. If Grantor determines in the case of a partial termination that the reduced or modified portion of the Award will not accomplish the purposes for which the Award was made, Grantor may terminate the Agreement in its entirety. 2 CFR 200.340(a)(4).

(b) This Agreement may be terminated, in whole or in part, by Grantor without advance

notice:

(i) Pursuant to a funding failure under Paragraph 4.1;

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(ii) If Grantee fails to comply with the terms and conditions of this or any Award,

application or proposal, including any applicable rules or regulations, or has made a false representation in connection with the receipt of this or any Grant;

(iii) If the Award no longer effectuates the program goals or agency priorities as set

forth in Exhibit A, PART TWO or PART THREE; or

(iv) If Grantee breaches this Agreement and either (1) fails to cure such breach within 15 calendar days’ written notice thereof, or (2) if such cure would require longer than 15 calendar days and the Grantee has failed to commence such cure within 15 calendar days’ written notice thereof. In the event that Grantor terminates this Agreement as a result of the breach of the Agreement by Grantee, Grantee shall be paid for work satisfactorily performed prior to the date of termination.

16.2. Suspension. Grantor may suspend this Agreement, in whole or in part, pursuant to a funding

failure under Paragraph 4.1 or if the Grantee fails to comply with terms and conditions of this or any Award. If suspension is due to Grantee’s failure to comply, Grantor may withhold further payment and prohibit Grantee from incurring additional obligations pending corrective action by Grantee or a decision to terminate this Agreement by Grantor. Grantor may determine to allow necessary and proper costs that Grantee could not reasonably avoid during the period of suspension.

16.3. Non‐compliance. If Grantee fails to comply with the U.S. Constitution, applicable statutes,

regulations or the terms and conditions of this or any Award, Grantor may impose additional conditions on Grantee, as described in 2 CFR 200.208. If Grantor determines that non‐compliance cannot be remedied by imposing additional conditions, Grantor may take one or more of the actions described in 2 CFR 200.339. The Parties shall follow all Grantor policies and procedures regarding non‐compliance, including, but not limited to, the procedures set forth in the State of Illinois Grantee Compliance Enforcement System. 44 Ill. Admin. Code 7000.80 and 7000.260.

16.4. Objection. If Grantor suspends or terminates this Agreement, in whole or in part, for cause, or

takes any other action in response to Grantee’s non‐compliance, Grantee may avail itself of any opportunities to object and challenge such suspension, termination or other action by Grantor in accordance with any applicable processes and procedures, including, but not limited to, the procedures set forth in the State of Illinois Grantee Compliance Enforcement System. 2 CFR 200.342; 44 Ill. Admin. Code 7000.80 and 7000.260.

16.5. Effects of Suspension and Termination.

(a) Grantor may credit Grantee for expenditures incurred in the performance of authorized services under this Agreement prior to the effective date of a suspension or termination.

(b) Grantee shall not incur any costs or obligations that require the use of these Grant Funds

after the effective date of a suspension or termination, and shall cancel as many outstanding obligations as possible.

(c) Costs to Grantee resulting from obligations incurred by Grantee during a suspension or after termination of the Agreement are not allowable unless:

(i) Grantor expressly authorizes them in the notice of suspension or termination; and

(ii) The costs result from obligations properly incurred before the effective date of

suspension or termination, are not in anticipation of the suspension or termination, and the costs

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would be allowable if the Agreement was not suspended or terminated. 2 CFR 200.343.

16.6. Close‐out of Terminated Agreements. If this Agreement is terminated, in whole or in part, the Parties shall comply with all close‐out and post‐termination requirements of this Agreement. 2 CFR 200.340(d).

ARTICLE XVII SUBCONTRACTS/SUB‐GRANTS

17.1. Sub‐recipients/Delegation. Grantee may not subcontract nor sub‐grant any portion of this

Agreement nor delegate any duties hereunder without Prior Approval of Grantor. The requirement for Prior Approval is satisfied if the subcontractor or sub‐grantee has been identified in the Uniform Grant Application, such as, without limitation, a Project Description, and Grantor has approved. Grantee must notify any potential sub‐recipient that the sub‐recipient shall obtain and provide to the Grantee a Unique Entity Identifier prior to receiving a subaward. 2 CFR 25.300.

17.2. Application of Terms. Grantee shall advise any sub‐grantee of funds awarded through this

Agreement of the requirements imposed on them by federal and state laws and regulations, and the provisions of this Agreement. The terms of this Agreement shall apply to all subawards authorized in accordance with Paragraph 17.1. 2 CFR 200.101(b)(2).

17.3. Liability as Guaranty. Grantee shall be liable as guarantor for any Grant Funds it obligates to a

sub‐grantee or sub‐contractor pursuant to Paragraph 17.1 in the event the Grantor determines the funds were either misspent or are being improperly held and the sub‐grantee or sub‐contractor is insolvent or otherwise fails to return the funds. 2 CFR 200.345; 30 ILCS 705/6; 44 Ill. Admin. Code 7000.450(a).

ARTICLE XVIII NOTICE OF CHANGE

18.1. Notice of Change. Grantee shall notify the Grantor if there is a change in Grantee’s legal status,

federal employer identification number (FEIN), DUNS Number, UEI, SAM registration status, Related Parties, or address. See 30 ILCS 708/60(a). If the change is anticipated, Grantee shall give thirty (30) days’ prior written notice to Grantor. If the change is unanticipated, Grantee shall give notice as soon as practicable thereafter. Grantor reserves the right to take any and all appropriate action as a result of such change(s).

18.2. Failure to Provide Notification. To the extent permitted by Illinois law, Grantee shall hold harmless Grantor for any acts or omissions of Grantor resulting from Grantee’s failure to notify Grantor of these changes.

18.3. Notice of Impact. Grantee shall immediately notify Grantor of any event that may have a material

impact on Grantee’s ability to perform this Agreement.

18.4. Circumstances Affecting Performance; Notice. In the event Grantee becomes a party to any litigation, investigation or transaction that may reasonably be considered to have a material impact on Grantee’s ability to perform under this Agreement, Grantee shall notify Grantor, in writing, within five (5) calendar days of determining such litigation or transaction may reasonably be considered to have a material impact on the Grantee’s ability to perform under this Agreement.

18.5. Effect of Failure to Provide Notice. Failure to provide the notice described in Paragraph 18.4 shall be grounds for immediate termination of this Agreement and any costs incurred after notice should have been given shall be disallowed.

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ARTICLE XIX

STRUCTURAL REORGANIZATION

19.1. Effect of Reorganization. Grantee acknowledges that this Agreement is made by and between Grantor and Grantee, as Grantee is currently organized and constituted. No promise or undertaking made hereunder is an assurance that Grantor agrees to continue this Agreement, or any license related thereto, should Grantee significantly reorganize or otherwise substantially change the character of its corporate structure, business structure or governance structure. Grantee agrees that it will give Grantor prior notice of any such action or changes significantly affecting its overall structure, and will provide any and all reasonable documentation necessary for Grantor to review the proposed transaction including financial records and corporate and shareholder minutes of any corporation which may be involved. This ARTICLE XIX does not require Grantee to report on minor changes in the makeup of its governance structure. Nevertheless, PART TWO or PART THREE may impose further restrictions. Failure to comply with this ARTICLE XIX shall constitute a material breach of this Agreement.

ARTICLE XX AGREEMENTS WITH OTHER STATE AGENCIES

20.1. Copies upon Request. Grantee shall, upon request by Grantor, provide Grantor with copies of

contracts or other agreements to which Grantee is a party with any other State agency.

ARTICLE XXI CONFLICT OF INTEREST

21.1. Required Disclosures. Grantee must immediately disclose in writing any potential or actual

Conflict of Interest to the Grantor. 2 CFR 200.113 and 30 ILCS 708/35. 21.2. Prohibited Payments. Grantee agrees that payments made by Grantor under this Agreement will

not be used to compensate, directly or indirectly, any person currently holding an elective office in this State including, but not limited to, a seat in the General Assembly. In addition, where the Grantee is not an instrumentality of the State of Illinois, as described in this Paragraph, Grantee agrees that payments made by Grantor under this Agreement will not be used to compensate, directly or indirectly, any person employed by an office or agency of the state of Illinois whose annual compensation is in excess of sixty percent (60%) of the Governor’s annual salary, or $106,447.20 (30 ILCS 500/50‐13). An instrumentality of the State of Illinois includes, without limitation, State departments, agencies, boards, and State universities. An instrumentality of the State of Illinois does not include, without limitation, municipalities and units of local government and related entities. 2 CFR 200.64.

21.3. Request for Exemption. Grantee may request written approval from Grantor for an exemption

from Paragraph 21.2. Grantee acknowledges that Grantor is under no obligation to provide such exemption and that Grantor may, if an exemption is granted, grant such exemption subject to such additional terms and conditions as Grantor may require.

ARTICLE XXII EQUIPMENT OR PROPERTY

22.1. Transfer of Equipment. Grantor shall have the right to require that Grantee transfer to Grantor

any equipment, including title thereto, purchased in whole or in part with Grantor funds, if Grantor determines that Grantee has not met the conditions of 2 CFR 200.439. Grantor shall notify Grantee in writing should Grantor

State of Illinois


require the transfer of such equipment. Upon such notification by Grantor, and upon receipt or delivery of such equipment by Grantor, Grantee will be deemed to have transferred the equipment to Grantor as if Grantee had executed a bill of sale therefor.

22.2. Prohibition against Disposition/Encumbrance. The Grantee is prohibited from, and may not sell,

transfer, encumber (other than original financing) or otherwise dispose of said equipment, material, or real property during the Grant Term without Prior Approval of Grantor. Any real property acquired using Grant Funds must comply with the requirements of 2 CFR 200.311.

22.3. Equipment and Procurement. Grantee must comply with the uniform standards set forth in 2 CFR 200.310–200.316 governing the management and disposition of property which cost was supported by Grant Funds. Any waiver from such compliance must be granted by either the President’s Office of Management and Budget, the Governor’s Office of Management and Budget, or both, depending on the source of the Grant Funds used. Additionally, Grantee must comply with the standards set forth in 2 CFR 200.317‐200.326 for use in establishing procedures for the procurement of supplies and other expendable property, equipment, real property and other services with Grant Funds. These standards are furnished to ensure that such materials and services are obtained in an effective manner and in compliance with the provisions of applicable federal and state statutes and executive orders.

22.4. Equipment Instructions. Grantee must obtain disposition instructions from Grantor when

equipment, purchased in whole or in part with Grant Funds, are no longer needed for their original purpose. Notwithstanding anything to the contrary contained within this Agreement, Grantor may require transfer of any equipment to Grantor or a third party for any reason, including, without limitation, if Grantor terminates the Award or Grantee no longer conducts Award activities. The Grantee shall properly maintain, track, use, store and insure the equipment according to applicable best practices, manufacturer’s guidelines, federal and state laws or rules, and Grantor requirements stated herein.

22.5. Domestic Preferences for Procurements. In accordance with 2 CFR 200.322, as appropriate and

to the extent consistent with law, the Grantee should, to the greatest extent practicable under this Award, provide a preference for the purchase, acquisition, or use of goods, products, or materials produced in the United States (including but not limited to iron, aluminum, steel, cement, and other manufactured products). The requirements of this paragraph must be included in all subawards and in all contracts and purchase orders for work or products under this Award.

ARTICLE XXIII PROMOTIONAL MATERIALS; PRIOR NOTIFICATION

23.1. Publications, Announcements, etc. Use of Grant Funds for promotions is subject to the

prohibitions for advertising or public relations costs in 2 CFR 200.421(e). In the event that Grantor funds are used in whole or in part to produce any written publications, announcements, reports, flyers, brochures or other written materials, Grantee shall obtain Prior Approval for the use of those funds (2 CFR 200.467) and agrees to include in these publications, announcements, reports, flyers, brochures and all other such material, the phrase “Funding provided in whole or in part by the [Grantor].” Exceptions to this requirement must be requested, in writing, from Grantor and will be considered authorized only upon written notice thereof to Grantee.

23.2. Prior Notification/Release of Information. Grantee agrees to notify Grantor ten (10) days prior to issuing public announcements or press releases concerning work performed pursuant to this Agreement, or funded in whole or in part by this Agreement, and to cooperate with Grantor in joint or coordinated releases of information.

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ARTICLE XXIV INSURANCE

24.1. Maintenance of Insurance. Grantee shall maintain in full force and effect during the Term of this

Agreement casualty and bodily injury insurance, as well as insurance sufficient to cover the replacement cost of any and all real or personal property, or both, purchased or, otherwise acquired, or improved in whole or in part, with funds disbursed pursuant to this Agreement. 2 CFR 200.310. Additional insurance requirements may be detailed in PART TWO or PART THREE.

24.2. Claims. If a claim is submitted for real or personal property, or both, purchased in whole with

funds from this Agreement and such claim results in the recovery of money, such money recovered shall be surrendered to Grantor.

ARTICLE XXV LAWSUITS

25.1. Independent Contractor. Neither Grantee nor any employee or agent of Grantee acquires any

employment rights with Grantor by virtue of this Agreement. Grantee will provide the agreed services and achieve the specified results free from the direction or control of Grantor as to the means and methods of performance. Grantee will be required to provide its own equipment and supplies necessary to conduct its business; provided, however, that in the event, for its convenience or otherwise, Grantor makes any such equipment or supplies available to Grantee, Grantee’s use of such equipment or supplies provided by Grantor pursuant to this Agreement shall be strictly limited to official Grantor or state of Illinois business and not for any other purpose, including any personal benefit or gain.

25.2. Liability. Neither Party shall be liable for actions chargeable to the other Party under this

Agreement including, but not limited to, the negligent acts and omissions of Party’s agents, employees or subcontractors in the performance of their duties as described under this Agreement, unless such liability is imposed by law. This Agreement shall not be construed as seeking to enlarge or diminish any obligation or duty owed by one Party against the other or against a third party.

ARTICLE XXVI MISCELLANEOUS

26.1. Gift Ban. Grantee is prohibited from giving gifts to State employees pursuant to the State

Officials and Employees Ethics Act (5 ILCS 430/10‐10) and Executive Order 15‐09. 26.2. Access to Internet. Grantee must have Internet access. Internet access may be either dial‐up or

high‐speed. Grantee must maintain, at a minimum, one business e‐mail address that will be the primary receiving point for all e‐mail correspondence from Grantor. Grantee may list additional e‐mail addresses at any time during the Term of this Agreement. The additional addresses may be for a specific department or division of Grantee or for specific employees of Grantee. Grantee must notify Grantor of any e‐mail address changes within five (5) business days from the effective date of the change.

26.3. Exhibits and Attachments. Exhibits A through G, PART TWO, PART THREE, if applicable, and all

other exhibits and attachments hereto are incorporated herein in their entirety. 26.4. Assignment Prohibited. Grantee acknowledges that this Agreement may not be sold, assigned, or

transferred in any manner by Grantee, to include an assignment of Grantee’s rights to receive payment hereunder, and that any actual or attempted sale, assignment, or transfer by Grantee without the Prior Approval of Grantor in writing shall render this Agreement null, void and of no further effect.

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26.5. Amendments. This Agreement may be modified or amended at any time during its Term by

mutual consent of the Parties, expressed in writing and signed by the Parties.

26.6. Severability. If any provision of this Agreement is declared invalid, its other provisions shall not be affected thereby.

26.7. No Waiver. No failure of either Party to assert any right or remedy hereunder will act as a waiver

of either Party’s right to assert such right or remedy at a later time or constitute a course of business upon which either Party may rely for the purpose of denial of such a right or remedy.

26.8. Applicable Law; Claims. This Agreement and all subsequent amendments thereto, if any, shall be governed and construed in accordance with the laws of the state of Illinois. Any claim against Grantor arising out of this Agreement must be filed exclusively with the Illinois Court of Claims. 705 ILCS 505/1 et seq. Grantor does not waive sovereign immunity by entering into this Agreement.

26.9. Compliance with Law. This Agreement and Grantee’s obligations and services hereunder are hereby made and must be performed in compliance with all applicable federal and State laws, including, without limitation, federal regulations, State administrative rules, including 44 Ill. Admin. Code 7000, and any and all license requirements or professional certification provisions.

26.10. Compliance with Confidentiality Laws. If applicable, Grantee shall comply with applicable state and federal statutes, federal regulations and Grantor administrative rules regarding confidential records or other information obtained by Grantee concerning persons served under this Agreement. The records and information shall be protected by Grantee from unauthorized disclosure.

26.11. Compliance with Freedom of Information Act. Upon request, Grantee shall make available to

Grantor all documents in its possession that Grantor deems necessary to comply with requests made under the Freedom of Information Act. (5 ILCS 140/7(2)).

26.12. Precedence.

(a) Except as set forth in subparagraph (b), below, the following rules of precedence are controlling for this Agreement: In the event there is a conflict between this Agreement and any of the exhibits or attachments hereto, this Agreement shall control. In the event there is a conflict between PART ONE and PART TWO or PART THREE of this Agreement, PART ONE shall control. In the event there is a conflict between PART TWO and PART THREE of this Agreement, PART TWO shall control. In the event there is a conflict between this Agreement and relevant statute(s) or rule(s), the relevant statute(s) or rule(s) shall control.

(b) Notwithstanding the provisions in subparagraph (a), above, if a relevant federal or state

statute(s) or rule(s) requires an exception to this Agreement’s provisions, or an exception to a requirement in this Agreement is granted by GATU, such exceptions must be noted in PART TWO or PART THREE, and in such cases, those requirements control. 26.13. Illinois Grant Funds Recovery Act. In the event of a conflict between the Illinois Grant Funds

Recovery Act and the Grant Accountability and Transparency Act, the provisions of the Grant Accountability and Transparency Act shall control. 30 ILCS 708/80.

26.14. Headings. Article and other headings contained in this Agreement are for reference purposes

only and are not intended to define or limit the scope, extent or intent of this Agreement or any provision hereof. 26.15. Entire Agreement. Grantee and Grantor acknowledge that this Agreement constitutes the entire

State of Illinois


agreement between them and that no promises, terms, or conditions not recited, incorporated or referenced herein, including prior agreements or oral discussions, shall be binding upon either Grantee or Grantor.

26.16. Counterparts. This Agreement may be executed in one or more counterparts, each of which shall be considered to be one and the same agreement, binding on all Parties hereto, notwithstanding that all Parties are not signatories to the same counterpart. Duplicated signatures, signatures transmitted via facsimile, or signatures contained in a Portable Document Format (PDF) document shall be deemed original for all purposes.

26.17. Attorney Fees and Costs. Unless prohibited by law, if Grantor prevails in any proceeding to enforce the terms of this Agreement, including any administrative hearing pursuant to the Grant Funds Recovery Act or the Grant Accountability and Transparency Act, the Grantor has the right to recover reasonable attorneys’ fees, costs and expenses associated with such proceedings.

26.18. Continuing Responsibilities. The termination or expiration of this Agreement does not affect: (a) the right of the Grantor to disallow costs and recover funds based on a later audit or other review; (b) the obligation of the Grantee to return any funds due as a result of later refunds, corrections or other transactions, including, without limitation, final Indirect Cost Rate adjustments and those funds obligated pursuant to ARTICLE XVII; (c) the Consolidated Year‐End Financial Report; (d) audit requirements established in ARTICLE XV; (e) property management and disposition requirements established in 2 CFR 200.310 through 2 CFR 200.316 and ARTICLE XXII; or (f) records related requirements pursuant to ARTICLE XII. 44 Ill. Admin. Code 7000.450.

THE REMAINDER OF THIS PAGE IS INTENTIONALLY LEFT BLANK.

State of Illinois


EXHIBIT A

PROJECT DESCRIPTION

PROJECT DESCRIPTION

CSFA Number: 494-00-0958

NOSA/SAIN Number:

GATA Registration Number: 686452

PROJECT DESCRIPTION

(PROJECT is defined as the work proposed and financed by the terms of this Agreement)

Resurfacing, aggregate shoulders and intersection improvements at Anchor Road.

Grantee

City of Dixon

Day Labor

Grantee Administered

RR Force Account

Section Number

17‐00178‐00‐RS

Fund Type

TARP

ITEP, SRTS, or HSIP Number(s)

Construction Engineering Right‐of‐Way

Job Number Project Number Job Number Project Number Job Number Project Number

C‐92‐047‐18

Location

Local Name Anchor Road Route FAU 5508 Length 0.48 (mi)

Termini From IL 38 to US 52

Current Jurisdiction City of Dixon TIP Number N/A Existing Structure No N/A

State of Illinois


EXHIBIT B

DELIVERABLES OR MILESTONES

As applicable, contracts or side agreements referenced below are identified with the same project identifying

numbers as noted in Exhibit A.

Construction: Completion of construction activities as specified by the construction contract herein incorporated

by reference.

Preliminary and Construction Engineering: Completion of engineering work as specified by the Grantee’s

engineering agreement herein incorporated by reference.

Right‐of‐Way: Preparation of right‐of‐way documents and/or purchase of right‐of‐way.

Utilities: Completion of utility relocation or adjustment as specified by the Grantee’s agreement with the utility

herein incorporated by reference.

Materials: Purchase and delivery of the materials specified by the material proposal herein incorporated by

reference.

Railroads: Completion of railroad force account work, flagging, or other work specified by the Grantee’s

agreement with the railroad herein incorporated by reference.

State of Illinois


EXHIBIT C

PAYMENT

Division of Cost/Budget

State Funds Grantee Funds

Type of Work Fund Type Amount % Fund Type Amount % Totals

Particpating Construction TARP 66,100.00 * Local Match

130,500.00 BAL 196,600.00

0.00

0.00

0.00

0.00

0.00

0.00

0.00

Totals 66,100.00 130,500.00 196,600.00

*TARP Funds NTE $66,100

NOTE:

The costs shown in the Division of Cost table are approximate and subject to change. The final GRANTEE share is dependent on final State participation. The actual costs will be used in the final division of cost for reimbursment. Check all that apply:

The GRANTOR will reimburse the GRANTEE for eligible EDP construction and engineering cost

of the project subject to a maximum of $ . 80,000 lb Truck Access Road Program ‐There is available a lump sum amount of $66,100 to

applied solely to construction costs.

Any remaining balance shall be the responsibility of the GRANTEE in the event state funds are not sufficient to cover the project costs.

Payment Method (check one):

The GRANTOR will reimburse the GRANTEE for the GRANTOR share of project costs on the basis of

periodic billings, provided said billings contain sufficient cost information and show evidence of payment by the GRANTEE.

Upon execution of the construction contract and request of payment from the GRANTEE, the GRANTOR will pay the GRANTEE 95% of its share of the project costs. The remaining 5% will be paid to the GRANTEE upon receipt of the final invoice.

State of Illinois


EXHIBIT D

CONTACT INFORMATION

CONTACT FOR NOTIFICATION: Unless specified elsewhere, all notices required or desired to be sent by either Party shall be sent to the persons listed below.

GRANTOR CONTACT

Name: Anthony Baratta

Title: Local Roads Engineer

Address: 819 Depot Ave, Dixon, IL 61021

Phone: 815-584-5381

TTY#:

Fax#:

E-mail Address: [email protected]

GRANTEE CONTACT

Name: Danny Langloss, Jr.

Title: City Manager

Address: 815-288-1485

Phone:

TTY#:

Fax#: 815-288-5945

E-mail Address: [email protected]

Additional Information:

State of Illinois


EXHIBIT E

PERFORMANCE MEASURES

For All Projects: The GRANTEE will submit to the GRANTOR a complete and detailed final invoice with applicable supporting documentation of all incurred costs, less previous payments, no later than twelve (12) months from the date of completion of this phase of the improvement or from the date of the previous invoice, which ever occurs first. If a final invoice is not received within this time frame, the most recent invoice may be considered the final invoice and the obligation of the funds closed.

The GRANTEE shall provide the final report to the appropriate GRANTOR district within twelve (12) months of the physical completion date of the project so that the report may be audited and approved for payment. If the deadline cannot be met, a written explanation must be provided to the district prior to the end of the twelve months documenting the reason and the new anticipated date of completion. If the extended deadline is not met, this process must be repeated until the project is closed. Failure to follow this process may result in the immediate close‐out of the project and loss of further funding.

For Construction Projects: For Construction projects the period of performance (end date) is five (5) years for projects under $1,000,000 or seven (7) years for projects over $1,000,000 from the execution date of the agreement. For Preliminary Engineering: For preliminary Engineering projects, the period of performance (end date) is ten (10) years from the execution date of the agreement.

For Right‐of‐Way Acquisition: For Right‐of‐Way projects the period of performance (end date) is fifteen (15) years from the execution date of the agreement.

For EDP Funds Only: The GRANTEE has entered into an economic development agreement with herein referred to as the “COMPANY”. As required by Public Act 93‐552, the COMPANY agrees to annually submit to the GRANTOR for a period of five complete calendar years from the execution of this Agreement, a progress report of employment. All annual progress reports will be completed on‐line through the Department of Commerce and Economic Opportunity. The initial Employee Reporting Form and the agreement between the GRANTEE and the COMPANY delineating the reporting requirements shall be attached in Part Three. It is mutually agreed that in the event of a default by the COMPANY on their commitment to create and/or retain jobs, the GRANTOR will seek reimbursement of the Economic Development funds provided for this project from the GRANTEE. This determination to seek reimbursement will be based on an evaluation of the information reported in the annual progress report of employment required above. Failure to submit the required employment report will be considered default on the COMPANY’s commitment

State of Illinois


EXHIBIT F

PERFORMANCE STANDARDS

Performance standards are contained herein and incorporated by reference: The current Standard Specifications for Road and Bridge Construction The current Supplemental Specifications and Recurring Special Provisions The IDOT Bureau of Local Roads and Streets Manual The IDOT Bureau of Construction Manual The IDOT Project Procedures Guide Other relevant IDOT policy manuals and guides that may govern the specific work contemplated by this Agreement

State of Illinois


EXHIBIT G

SPECIFIC CONDITIONS

Grantor may remove (or reduce) a Specific Condition included in this Exhibit G by providing written notice to the Grantee, in accordance with established procedures for removing a Specific Condition. Enter ICQ/PRA Risks Here (refer to GATA Sharepoint site for standard ICQ/PRA language by going to: GATA Documents / 7. Agreements / Exhibits/ FY19 / Exhibit G - ICG Language-PRA-Merit)

State of Illinois


PART TWO – THE GRANTOR‐SPECIFIC TERMS

In addition to the uniform requirements in PART ONE, the Grantor has the following additional requirements for its Grantee:

AUDIT Grantee shall permit, and shall require its contractors and auditors to permit, the Grantor, and any authorized agent of the Grantor, to inspect all work, materials, payrolls, audit working papers, and other data and records pertaining to the Project; and to audit the books, records, and accounts of the Grantee with regard to the Project. The Grantor may, at its sole discretion and at its own expense, perform a final audit of the Project. Such audit may be used for settlement of the grant and Project closeout. Grantee agrees to implement any audit findings contained in the Grantor's authorized inspection or review, final audit, the Grantee's independent audit, or as a result of any duly authorized inspection or review

ETHICS

Code of Conduct

1. Personal Conflict of Interest – The Grantee shall maintain a written code or standard of conduct which

shall govern the performance of its employees, officers, board members, or agents engaged in the award

and administration of contracts supported by state or federal funds. Such code shall provide that no

employee, officer, board member or agent of the Grantee may participate in the selection, award, or

administration of a contract supported by state or federal funds if a conflict of interest, real or apparent

would be involved. Such a conflict would arise when any of the parties set forth below has a financial or

other interest in the firm selected for award:

a. the employee, officer, board member, or agent;

b. any member of his or her immediate family;

c. his or her partner; or

d. an organization which employs, or is about to employ, any of the above.

The conflict of interest restriction for former employees, officers, board members and agents shall apply

for one year.

The code shall also provide that Grantee's employees, officers, board members, or agents shall neither

solicit nor accept gratuities, favors or anything of monetary value from contractors, potential contractors,

or parties to subcontracts. The Grantor may waive the prohibition contained in this subsection, provided

that any such present employee, officer, board member, or agent shall not participate in any action by the

Grantee or the locality relating to such contract, subcontract, or arrangement. The code shall also

prohibit the officers, employees, board members, or agents of the Grantee from using their positions for a

purpose that constitutes or presents the appearance of personal or organizational conflict of interest or

personal gain.

2. Organizational Conflict of Interest – The Grantee will also prevent any real or apparent organizational conflict of interest. An organizational conflict of interest exists when the nature of the work to be

State of Illinois


performed under a proposed third party contract or subcontract may, without some restriction on future activities, result in an unfair competitive advantage to the third party contractor or Grantee or impair the objectivity in performing the contract work.

DISPUTE RESOLUTION

In the event of a dispute in the interpretation of the provisions of this Agreement, such dispute shall be settled

through negotiations between the Grantor and the Grantee. In the event that agreement is not consummated

at this negotiation level, the dispute will then be referred through proper administrative channels for a

decision and ultimately, if necessary, to the Secretary of the Illinois Department of Transportation. The

Grantor shall decide all claims, questions and disputes which are referred to it regarding the interpretation,

prosecution and fulfillment of this Agreement. The Grantor's decision upon all claims, questions and disputes

shall be final and conclusive.

PROCUREMENT PROCEDURES

Procurements shall follow procedures outlined in the Bureau of Local Roads and Streets Manual.

REPORTING.

Grantee agrees to submit periodic financial and performance reporting on the approved IDOT BoBS 2832

form. Grantee shall file quarterly BoBS 2832 reports with Grantor describing the expenditure(s) of the funds

and performance measures related thereto.

The first BoBS 2832 report shall cover the first reporting period after the effective date of the Agreement.

Quarterly reports must be submitted no later than 30 calendar days following the period covered by the

report.

For the purpose of reconciliation, the Grantee must submit a BoBS 2832 report for the period ending with the

Grantee’s most recent fiscal year.

A BoBS 2832 report marked as “Final Report” must be submitted to the Grantor 60 days after the end date of

the Agreement. Failure to submit the required BoBS 2832 reports may cause a delay or suspension of

funding.

THE GRANTEE AGREES:

1. It is mutually agreed that the project will be processed, let and constructed in accordance with Motor Fuel

Tax standards, policies and procedures.

2. The GRANTEE agrees to retain jurisdiction and to maintain or cause to be maintained the completed

project in a manner satisfactory to the GRANTOR unless otherwise specified by addendum.

3. To provide for all utility adjustments, and to regulate the use of the right‐of‐way of this improvement by

utilities, public and private, in accordance with the current Utility Accommodation Policy for Local Agency

Highway and Street Systems.

State of Illinois


4. To provide for surveys and the preparation of plans for the proposed improvement and engineering

supervision during construction of the proposed improvement.

5. To retain jurisdiction of the completed improvement unless specified otherwise by addendum (addendum

should be accompanied by a location map). If the improvement location is currently under road district

jurisdiction, an addendum is required.

6. To provide if required, for the improvement of any railroad‐highway grade crossing and rail crossing

protection within the limits of the proposed improvement.

7. The GRANTEE will certify to the GRANTOR that all necessary right‐of‐way, temporary and permanent

easements, and temporary use permits have been obtained or are not required, prior to the GRANTEE

advertising for bids for the project.

8. To regulate parking and traffic in accordance with the approved project report.

9. To regulate encroachments on public right‐of‐way in accordance with current Illinois Compiled Statutes.

10. To regulate the discharge of sanitary sewage into any storm water drainage system constructed with this improvement in accordance with current Illinois Compiled Statutes.

11. If the GRANTEE signature is by an appointed official, a resolution authorizing said appointed official to execute this agreement is required.

12. Upon approval of the final plans and specifications by the GRANTOR and the GRANTEE, the GRANTEE

agrees to accept bids and award the contract to the lowest responsible bidder after receipt of a

satisfactory bid and concurrence in the award has been received from the GRANTOR.

13. The GRANTEE agrees to provide, or cause to be provided, all of the initial funding necessary to complete

the project subject to reimbursement by the GRANTOR.

14. The GRANTEE will submit supporting documentation with each request for reimbursement from the

GRANTOR. Supporting documentation is defined as verification of payment, certified time sheets or

summaries, vendor invoices, vendor receipts, cost plus fix fee invoice, progress report, and personnel and

direct cost summaries.and other documentation supporting the requested reimbursement amount (Form

BLRS 05621 should be used for consultant invoicing purposes). GRANTEE invoice requests to the

GRANTOR will be submitted with sequential invoice numbers by project.

THE GRANTOR AGREES:

1. (GRANTEE Administered Projects) For agreements with GRANTOR funds in engineering, right‐of‐way,

utility work and/or construction work:

(a) To reimburse the GRANTEE for the GRANTOR share on the basis of periodic billings within

timeframes specifed in Exibit E, provided said billings contain sufficient cost information and show

evidence of payment by the GRANTEE;

State of Illinois


(b) To provide independent assurance sampling, to furnish off‐site material inspection and testing at

sources normally visited by GRANTOR inspectors of steel, cement, aggregate, structural steel and

other materials customarily tested by the GRANTOR.

IT IS MUTALLY AGREED:

1. Construction of the project will utilize domestic steel as required by Section 106.01 of the current edition

of the Standard Specifications for Road and Bridge Construction.

State of Illinois


PART THREE – THE PROJECT‐SPECIFIC TERMS

In addition to the uniform requirements in PART ONE and the Grantor‐Specific Terms in PART TWO, the Grantor has the following additional requirements for this Project: Attachments:

Location Map Employment Reporting Form (when EDP funds are used) Local Public Agency/Company Agreement (when EDP funds are used) 80,000 lb. Truck Access Resolution (when TARP funds are used)

COUNCIL ACTION FORM

Date:

Subject:

Presented By:

Description:

FINANCIAL


Line Item #: Title:

Amount Budgeted:

Actual Cost:

Under/Over:

Funding Sources:

Departments:


Agenda Item:

12/20/2021

Matt Heckman

IGA for Airport Taxiway Lighting Project 17f

Intergovernmental agreement between the City and IDOT Division of Aeronautics for the taxiwaylighting project.

With approval of this agreement the City will be responsible for submitting the local share paymentof $17,629.73.

Budget Overview:Federal: $588,382.64 (95%)State: $17,629.93 (2.5%)Local: $17,629.93 (2.5%)Total: $623,642.50 (100%)

✔

21-420-5850 Taxiway Lighting

$49,500

$17,629.93

$31,870.07 Under

Airport Fund

Airport

✔ ARPT-21-01

COUNCIL ACTION FORM


Recommendation:

Required Action

ORDINANCE SOLUTION



TO

YES

NO

ABSENT

ABSTAIN

Mayor Arellano


CouncilVenier

CITY COUNCIL VOTES

VOTES

None.

Approve the IGA.

✔

approve the intergovernmental agreement between IDOT and the City for the

taxiway lighting project.

December 14, 2021

Liandro Arellano Jr, Mayor City of Dixon 121 W. 2nd Street Dixon, IL 61021 [email protected] Re: Agreement for Execution

Project Description: Install Taxiway Lighting to Replace Reflective Markers

Letting Date: July 30, 2021 Illinois Project: C73-4876 Illinois Block Grant(s): 3-17-SBGP-139 N, 3-17-SBGP-144 N, 3- 17-SBGP-144 A, 3-17-SBGP-171 N Contract No. #DI032

Dear Mayor: Please find the Intergovernmental Agreement (Agreement) and associated federal sponsor certifications attached regarding the above-mentioned project for completion and execution by the City of Dixon. Please also forward attached Periodic Reporting Form BOBS 2832 to your assigned GATA contact for completion and return to this office. Bids were received for this project on July 30, 2021. For the Division to award this contract, please return the signed agreement to our office as soon as possible. After execution by the State, a fully executed copy of the Agreement will be returned for your files. We are also requesting payment of the local share. As shown on the Project Status Report, the City of Dixon share of the above-mentioned project is: $17,629.93. Please note that the local share must be received prior to making the project active.

DocuSign Envelope ID: 4CB4D6D7-759E-468B-8B85-BBAA3E7B0C70

December 14, 2021 Page 2 All checks should be made payable to the Treasurer, State of Illinois, and should have the following notation typed or printed on it.

“To be deposited in the Airport Fund Account,

C73-4876, 3-17-SBGP-139 N, 3-17-SBGP-144 N, 3-17-SBGP-144 A, 3-17-SBGP-171 N, DI032.”

If there are any questions, feel free to contact our office. Sincerely,

Alan D. Mlacnik, P.E. Bureau Chief of Airport Engineering Copy BOBS 2832: Brenda Clark Attachments ADM/SR


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Agreement No._________________

State of Illinois INTERGOVERNMENTAL GRANT AGREEMENT FISCAL YEAR 2022 / 3/4/21Page 3 of 44

1.6. Signatures. In witness whereof, the Parties hereto have caused this Agreement to be executed by their duly authorized representatives.


ILLINOIS DEPARTMENT OF TRANSPORTATION

DIVISION OF AERONAUTICS

By: ____________________________________ Signature of Omer Osman, P.E. Secretary By: ____________________________________ Signature of Designee Date: ___________________________ Printed Name: ___ ____________ Printed Title: ____ ____________

Designee

By: ____________________________________ Signature of First Other Approver, if Applicable

Date: __________________________________

By: _________________________________ Signature of Authorized Representative Date: ______________________________ Printed Name: Printed Title: E-mail:

By: _________________________________ Signature of Authorized Representative

Date: ______________________________

Printed Name: __Yangsu Kim___ Printed Name: ___ __________

Printed Title: Chief Counsel_______ Printed Title: __ ____________

E-mail: ____ _______________ By: ____________________________________ Signature of Second Other Approver, if Applicable

Date: __________________________________

Printed Name: ____Joanne Woodworth_

Printed Title: _____Acting CFO________

By: ____________________________________ Signature of Matt Magalis, Acting Director IPI

Date: __________________________________

Printed Name: ____ _________________

Printed Title: _____ _________________


CITY OF DIXON

22-0327-30796

Agreement No._22‐0327/2800‐30796____

State of Illinois


INTER‐GOVERNMENTAL GRANT AGREEMENT

BETWEEN THE STATE OF ILLINOIS, DEPARTMENT OF TRANSPORTATION

AND CITY OF DIXON

The Illinois Department of Transportation (Grantor), with its principal office at 2300 South Dirksen Parkway, Springfield IL. 62764_______________________, and ____City of Dixon_____________________________ (Grantee), with its principal office at _______121 W. Second Street, Dixon, IL 61021_______ and payment address (if different than principal office) at _____same_________, hereby enter into this Inter‐governmental Grant Agreement (Agreement), pursuant to the Intergovernmental Cooperation Act, 5 ILCS 220/1 et seq. Grantor and Grantee are collectively referred to herein as “Parties” or individually as a “Party.”

PART ONE – THE UNIFORM TERMS RECITALS

WHEREAS, it is the intent of the Parties to perform consistent with all Exhibits and attachments hereto

and pursuant to the duties and responsibilities imposed by Grantor under the laws of the state of Illinois and in accordance with the terms, conditions and provisions hereof.

NOW, THEREFORE, in consideration of the foregoing and the mutual agreements contained herein, and for other good and valuable consideration, the value, receipt and sufficiency of which are acknowledged, the Parties hereto agree as follows:

ARTICLE I AWARD AND GRANTEE‐SPECIFIC INFORMATION AND CERTIFICATION

1.1. DUNS Number; SAM Registration; Nature of Entity. Under penalties of perjury, Grantee certifies

that 082046194 is Grantee’s correct DUNS Number, that N/A is Grantee’s correct UEI, if applicable, that 366005850 is Grantee’s correct FEIN or Social Security Number, and that Grantee has an active State registration and SAM registration. Grantee is doing business as a (check one):

Individual Pharmacy‐Non Corporate

Sole Proprietorship Pharmacy/Funeral Home/Cemetery Corp.

Partnership Tax Exempt

Corporation (includes Not For Profit) Limited Liability Company (select

Medical Corporation applicable tax classification)

Governmental Unit P = partnership

Estate or Trust C = corporation

If Grantee has not received a payment from the state of Illinois in the last two years, Grantee must submit a W‐9 tax form with this Agreement.


Agreement No._22‐0327/2800‐30796____

State of Illinois


1.2. Amount of Agreement. Grant Funds (check one) shall not exceed or are estimated to be $805,242.50, of which $769,982.64 are federal funds. Grantee agrees to accept Grantor’s payment as specified in the Exhibits and attachments incorporated herein as part of this Agreement.

1.3. Identification Numbers. If applicable, the Federal Award Identification Number (FAIN) is 3‐17‐SBGP‐139 N, 3‐17‐SBGP‐144 N, 3‐17‐SBGP‐144 A, 3‐17‐SBGP‐171 N, the federal awarding agency is Federal Aviation Administration, and the Federal Award date is 7/14/17,8/2/18,7/20/21. If applicable, the Assistance Listing Program Title is Airport Improvement Program and Aeronautics State Match Program and Assistance Listing Number is 20.106. The Catalog of State Financial Assistance (CSFA) Number is 494‐60‐0327 / 494‐60‐2800 . The State Award Identification Number is 0327‐30796.

1.4. Term. This Agreement shall be effective on the execution date of the attached Retainer Agreement as of 11/18/19 and shall expire 5 years after execution of this agreement on _______________, unless terminated pursuant to this Agreement. In accordance with 2 CFR 200 and FAA guidance, pre‐award professional service costs incurred by the GRANTEE pursuant to this Agreement may be considered allowable for payment after review, determination of eligibility, and acceptance by the GRANTOR.

1.5. Certification. Grantee certifies under oath that (1) all representations made in this Agreement are true and correct and (2) all Grant Funds awarded pursuant to this Agreement shall be used only for the purpose(s) described herein. Grantee acknowledges that the Award is made solely upon this certification and that any false statements, misrepresentations, or material omissions shall be the basis for immediate termination of this Agreement and repayment of all Grant Funds.

THE REMAINDER OF THIS PAGE IS LEFT INTENTIONAL BLANK


Agreement No._22‐0327/2800‐30796____

State of Illinois


1.6. Signatures. In witness whereof, the Parties hereto have caused this Agreement to be executed

by their duly authorized representatives.


ILLINOIS DEPARTMENT OF TRANSPORTATION (Grantee Name)

DIVISION OF AERONAUTICS

By: ____________________________________ By: _________________________________

Signature of Omer Osman, P.E. Secretary Signature of Authorized Representative

By: ____________________________________ Date: ______________________________

Signature of Designee Printed Name:

Date: ___________________________ Printed Title:

Printed Name: ___ ____________ E‐mail:

Printed Title: ____ ____________

Designee

By: ____________________________________ By: _________________________________

Signature of First Other Approver, if Applicable Signature of Authorized Representative

Date: __________________________________ Date: ______________________________

Printed Name: __Yangsu Kim___ Printed Name: ___ __________

Printed Title: Chief Counsel_______ Printed Title: __ ____________

E‐mail: ____ _______________

By: ____________________________________

Signature of Second Other Approver, if Applicable

Date: __________________________________

Printed Name: ____Joanne Woodworth_

Printed Title: _____Acting CFO________

By: ____________________________________

Signature of Matt Magalis, Acting Director IPI

Date: __________________________________

Printed Name: ____ _________________

Printed Title: _____ _________________


Agreement No._22‐0327/2800‐30796____

State of Illinois


ARTICLE II REQUIRED REPRESENTATIONS

2.1. Standing and Authority. Grantee warrants that:

(a) Grantee is validly existing and in good standing, if applicable, under the laws of the state

in which it was incorporated, organized or created. (b) Grantee has the requisite power and authority to execute and deliver this Agreement

and all documents to be executed by it in connection with this Agreement, to perform its obligations hereunder and to consummate the transactions contemplated hereby.

(c) If Grantee is an agency under the laws of a jurisdiction other than Illinois, Grantee warrants that it is also duly qualified to do business in Illinois and is in good standing with the Illinois Secretary of State.

(d) The execution and delivery of this Agreement, and the other documents to be executed by Grantee in connection with this Agreement, and the performance by Grantee of its obligations hereunder have been duly authorized by all necessary entity action.

(e) This Agreement and all other documents related to this Agreement, including the Uniform Grant Application, the Exhibits and attachments to which Grantee is a party constitute the legal, valid and binding obligations of Grantee enforceable against Grantee in accordance with their respective terms.

2.2. Compliance with Internal Revenue Code. Grantee certifies that it does and will comply with all provisions of the federal Internal Revenue Code (26 USC 1), the Illinois Income Tax Act (35 ILCS 5), and all rules promulgated thereunder, including withholding provisions and timely deposits of employee taxes and unemployment insurance taxes.

2.3. Compliance with Federal Funding Accountability and Transparency Act of 2006. Grantee certifies

that it does and will comply with the reporting requirements of the Federal Funding Accountability and Transparency Act of 2006 (P.L. 109‐282) (FFATA) with respect to Federal Awards greater than or equal to $30,000. A FFATA sub‐award report must be filed by the end of the month following the month in which the award was made.

2.4. Compliance with Uniform Grant Rules (2 CFR Part 200). Grantee certifies that it shall adhere to

the applicable Uniform Administrative Requirements, Cost Principles, and Audit Requirements, which are published in Title 2, Part 200 of the Code of Federal Regulations, and are incorporated herein by reference. See 44 Ill. Admin. Code 7000.40(c)(1)(A).

2.5. Compliance with Registration Requirements. Grantee certifies that it: (i) is registered with the

federal SAM; (ii) is in good standing with the Illinois Secretary of State, if applicable; (iii) have a valid DUNS Number; (iv) have a valid UEI, if applicable; and (v) have successfully completed the annual registration and prequalification through the Grantee Portal. It is Grantee’s responsibility to remain current with these registrations and requirements. If Grantee’s status with regard to any of these requirements change, or the certifications made in and information provided in the Uniform Grant Application changes, Grantee must notify the Grantor in accordance with ARTICLE XVIII.


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State of Illinois


ARTICLE III DEFINITIONS

3.1. Definitions. Capitalized words and phrases used in this Agreement have the following meanings: “2 CFR Part 200” means the Uniform Administrative Requirements, Cost Principles, and Audit

Requirements for Federal Awards published in Title 2, Part 200 of the Code of Federal Regulations. “Agreement” or “Grant Agreement” has the same meaning as in 44 Ill. Admin. Code 7000.30. “Allocable Costs” means costs allocable to a particular cost objective if the goods or services involved are

chargeable or assignable to such cost objective in accordance with relative benefits received or other equitable relationship. Costs allocable to a specific Program may not be shifted to other Programs in order to meet deficiencies caused by overruns or other fund considerations, to avoid restrictions imposed by law or by the terms of this Agreement, or for other reasons of convenience.

“Allowable Costs” has the same meaning as in 44 Ill. Admin. Code 7000.30. “Assistance Listings” has the same meaning as in 2 CFR 200.1. “Assistance Listing Number” has the same meaning as in 2 CFR 200.1 “Assistance Listing Program Title” has the same meaning as in 2 CFR 200.1. “Award” has the same meaning as in 44 Ill. Admin. Code 7000.30. “Budget” has the same meaning as in 44 Ill. Admin. Code 7000.30. “Budget Period” has the same meaning as in 2 CFR 200.1. “Catalog of State Financial Assistance” or “CSFA” has the same meaning as in 44 Ill. Admin. Code 7000.30. “Close‐out Report” means a report from the Grantee allowing the Grantor to determine whether all

applicable administrative actions and required work have been completed, and therefore closeout actions can commence.

“Conflict of Interest” has the same meaning as in 44 Ill. Admin. Code 7000.30. “Consolidated Year‐End Financial Report” or “CYEFR” means a financial information presentation in which

the assets, equity, liabilities, and operating accounts of an entity and its subsidiaries are combined (after eliminating all inter‐entity transactions) and shown as belonging to a single reporting entity.

“Cost Allocation Plan” has the same meaning as in 44 Ill. Admin. Code 7000.30. “Direct Costs” has the same meaning as in 44 Ill. Admin. Code 7000.30. “Disallowed Costs” has the same meaning as in 44 Ill. Admin. Code 7000.30.


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“DUNS Number” means a unique nine‐digit identification number provided by Dun & Bradstreet for each physical location of Grantee’s organization.

“FAIN” means the Federal Award Identification Number. “FFATA” or “Federal Funding Accountability and Transparency Act” has the same meaning as in 31 USC

6101; P.L. 110‐252. “Financial Assistance” has the same meaning as in 44 Ill. Admin. Code 7000.30. “Fixed‐Rate” has the same meaning as in 44 Ill. Admin. Code 7000.30. “Fixed‐Rate” is in contrast to fee‐for‐

service, 44 Ill. Admin. Code 7000.30. “GATU” means the Grant Accountability and Transparency Unit of GOMB. “Generally Accepted Accounting Principles” or “GAAP” has the same meaning as in 2 CFR 200.1. “GOMB” means the Illinois Governor’s Office of Management and Budget.

“Grant Funds” means the Financial Assistance made available to Grantee through this Agreement. “Grantee Portal” has the same meaning as in 44 Ill. Admin. Code 7000.30. “Improper Payment” has the same meaning as in 2 CFR 200.1.

“Indirect Costs” has the same meaning as in 44 Ill. Admin. Code 7000.30.

“Indirect Cost Rate” means a device for determining in a reasonable manner the proportion of indirect costs each Program should bear. It is a ratio (expressed as a percentage) of the Indirect Costs to a Direct Cost base. If reimbursement of Indirect Costs is allowable under an Award, Grantor will not reimburse those Indirect Costs unless Grantee has established an Indirect Cost Rate covering the applicable activities and period of time, unless Indirect Costs are reimbursed at a fixed rate. “Indirect Cost Rate Proposal” has the same meaning as in 44 Ill. Admin. Code 7000.30. “Net Revenue” means an entity’s total revenue less its operating expenses, interest paid, depreciation, and taxes. “Net Revenue” is synonymous with “Profit.” “Nonprofit Organization” has the same meaning as in 2 CFR 200.1. “Notice of Award” has the same meaning as in 44 Ill. Admin. Code 7000.30. “OMB” has the same meaning as in 44 Ill. Admin. Code 7000.30.

“Obligations” has the same meaning as in 44 Ill. Admin. Code 7000.30. “Period of Performance” has the same meaning as in 2 CFR 200.1. “Prior Approval” has the same meaning as in 44 Ill. Admin. Code 7000.30.


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“Profit” means an entity’s total revenue less its operating expenses, interest paid, depreciation, and taxes. “Profit” is synonymous with “Net Revenue.” “Program” means the services to be provided pursuant to this Agreement. “Program Costs” means all Allowable Costs incurred by Grantee and the value of the contributions made by third parties in accomplishing the objectives of the Award during the Term of this Agreement. “Related Parties” has the meaning set forth in Financial Accounting Standards Board (FASB) Accounting Standards Codification (ASC) 850‐10‐20. “SAM” means the federal System for Award Management (SAM); which is the federal repository into which an entity must provide information required for the conduct of business as a recipient. 2 CFR 25 Appendix A (1)(C)(1). “State” means the State of Illinois. “Term” has the meaning set forth in Paragraph 1.4. “Unallowable Costs” has the same meaning as in 44 Ill. Admin. Code 7000.30. “Unique Entity Identifier” or “UEI” means the unique identifier assigned to the Grantee or to subrecipients by SAM.

ARTICLE IV PAYMENT

4.1. Availability of Appropriation; Sufficiency of Funds. This Agreement is contingent upon and

subject to the availability of sufficient funds. Grantor may terminate or suspend this Agreement, in whole or in part, without penalty or further payment being required, if (i) sufficient funds for this Agreement have not been appropriated or otherwise made available to the Grantor by the State or the federal funding source, (ii) the Governor or Grantor reserves funds, or (iii) the Governor or Grantor determines that funds will not or may not be available for payment. Grantor shall provide notice, in writing, to Grantee of any such funding failure and its election to terminate or suspend this Agreement as soon as practicable. Any suspension or termination pursuant to this Section will be effective upon the date of the written notice unless otherwise indicated.

4.2. Pre‐Award Costs. Pre‐award costs are not permitted unless specifically authorized by the Grantor in Exhibit A, PART TWO or PART THREE of this Agreement. If they are authorized, pre‐award costs must be charged to the initial Budget Period of the Award, unless otherwise specified by the Grantor. 2 CFR 200.458.

4.3. Return of Grant Funds. Any Grant Funds remaining that are not expended or legally obligated by

Grantee, including those funds obligated pursuant to ARTICLE XVII, at the end of the Agreement period, or in the case of capital improvement Awards at the end of the time period Grant Funds are available for expenditure or obligation, shall be returned to Grantor within forty‐five (45) days. A Grantee who is required to reimburse Grant Funds and who enters into a deferred payment plan for the purpose of satisfying a past due debt, shall be required to pay interest on such debt as required by Section 10.2 of the Illinois State Collection Act of 1986. 30 ILCS 210; 44 Ill. Admin. Code 7000.450(c). In addition, as required by 44 Ill. Admin. Code 7000.440(b)(2), unless granted a written extension, Grantee must liquidate all obligations incurred under the Award at the end of the period of performance.


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State of Illinois


4.4. Cash Management Improvement Act of 1990. Unless notified otherwise in PART TWO or PART

THREE, federal funds received under this Agreement shall be managed in accordance with the Cash Management Improvement Act of 1990 (31 USC 6501 et seq.) and any other applicable federal laws or regulations. See 2 CFR 200.305; 44 Ill. Admin. Code 7000.120.

4.5. Payments to Third Parties. Grantee agrees that Grantor shall have no liability to Grantee when Grantor acts in good faith to redirect all or a portion of any Grantee payment to a third party. Grantor will be deemed to have acted in good faith when it is in possession of information that indicates Grantee authorized Grantor to intercept or redirect payments to a third party or when so ordered by a court of competent jurisdiction.

4.6. Modifications to Estimated Amount. If the Agreement amount is established on an estimated basis, then it may be increased by mutual agreement at any time during the Term. Grantor may decrease the estimated amount of this Agreement at any time during the Term if (i) Grantor believes Grantee will not use the funds during the Term, (ii) Grantor believes Grantee has used funds in a manner that was not authorized by this Agreement, (iii) sufficient funds for this Agreement have not been appropriated or otherwise made available to the Grantor by the State or the federal funding source, (iv) the Governor or Grantor reserves funds, or (v) the Governor or Grantor determines that funds will or may not be available for payment. Grantee will be notified, in writing, of any adjustment of the estimated amount of this Agreement. In the event of such reduction, services provided by Grantee under Exhibit A may be reduced accordingly. Grantee shall be paid for work satisfactorily performed prior to the date of the notice regarding adjustment. 2 CFR 200.308.

4.7. Interest. (a) All interest earned on Grant Funds held by a Grantee shall be treated in accordance

with 2 CFR 200.305(b)(9), unless otherwise provided in PART TWO or PART THREE. Any amount due shall be remitted annually in accordance with 2 CFR 200.305(b)(9) or to the Grantor, as applicable.

(b) Grant Funds shall be placed in an insured account, whenever possible, that bears

interest, unless exempted under 2 CFR 200.305(b)(8).

4.8. Timely Billing Required. Grantee must submit any payment request to Grantor within fifteen (15) days of the end of the quarter, unless another billing schedule is specified in PART TWO, PART THREE or Exhibit C. Failure to submit such payment request timely will render the amounts billed an unallowable cost which Grantor cannot reimburse. In the event that Grantee is unable, for good cause, to submit its payment request timely, Grantee shall timely notify Grantor and may request an extension of time to submit the payment request. Grantor’s approval of Grantee’s request for an extension shall not be unreasonably withheld.

4.9. Certification. Pursuant to 2 CFR 200.415, each invoice and report submitted by Grantee (or sub‐grantee) must contain the following certification by an official authorized to legally bind the Grantee (or sub‐grantee):

By signing this report [or payment request or both], I certify to the best of my knowledge and belief that the report [or payment request] is true, complete, and accurate; that the expenditures, disbursements and cash receipts are for the purposes and objectives set forth in the terms and conditions of the State or federal pass‐through award; and that supporting documentation has been submitted as required by the grant agreement. I acknowledge that approval for any other expenditure described herein shall be considered conditional subject


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to further review and verification in accordance with the monitoring and records retention provisions of the grant agreement. I am aware that any false, fictitious, or fraudulent information, or the omission of any material fact, may subject me to criminal, civil or administrative penalties for fraud, false statements, false claims or otherwise. (U.S. Code Title 18, Section 1001 and Title 31, Sections 3729‐3730 and 3801‐3812; 30 ILCS 708/120).

ARTICLE V SCOPE OF GRANT ACTIVITIES/PURPOSE OF GRANT

5.1. Scope of Grant Activities/Purpose of Grant. Grantee will conduct the Grant Activities or provide

the services as described in the Exhibits and attachments, including Exhibit A (Project Description) and Exhibit B (Deliverables), incorporated herein and in accordance with all terms and conditions set forth herein and all applicable administrative rules. In addition, the State’s Notice of Award is incorporated herein by reference. All Grantor‐specific provisions and programmatic reporting required under this Agreement are described in PART TWO (The Grantor‐Specific Terms). All Project‐specific provisions and reporting required under this Agreement are described in PART THREE.

5.2. Scope Revisions. Grantee shall obtain Prior Approval from Grantor whenever a Scope revision is

necessary for one or more of the reasons enumerated in 2 CFR 200.308. All requests for Scope revisions that require Grantor approval shall be signed by Grantee’s authorized representative and submitted to Grantor for approval. Expenditure of funds under a requested revision is prohibited and will not be reimbursed if expended before Grantor gives written approval. See 2 CFR 200.308.

5.3. Specific Conditions. If applicable, specific conditions required after a risk assessment will be

included in Exhibit G. Grantee shall adhere to the specific conditions listed therein.

ARTICLE VI BUDGET

6.1. Budget. The Budget is a schedule of anticipated grant expenditures that is approved by Grantor

for carrying out the purposes of the Award. When Grantee or third parties support a portion of expenses associated with the Award, the Budget includes the non‐federal as well as the federal share (and State share if applicable) of grant expenses. The Budget submitted by Grantee at application, or a revised Budget subsequently submitted and approved by Grantor, is considered final and is incorporated herein by reference.

6.2. Budget Revisions. Grantee shall obtain Prior Approval from Grantor whenever a Budget revision is necessary for one or more of the reasons enumerated in 2 CFR 200.308 or 44 Ill. Admin. Code 7000.370(b). All requests for Budget revisions that require Grantor approval shall be signed by Grantee’s authorized representative and submitted to Grantor for approval. Expenditure of funds under a requested revision is prohibited and will not be reimbursed if expended before Grantor gives written approval.

6.3. Discretionary and Non‐discretionary Line Item Transfers. Discretionary and non‐discretionary line

item transfers may only be made in accordance with 2 CFR 200.308 and 44 Ill. Admin. Code 7000.370. Neither discretionary nor non‐discretionary line item transfers may result in an increase to the total amount of Grant Funds in the Budget unless Prior Approval is obtained from Grantor.


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State of Illinois


6.4. Notification. Within thirty (30) calendar days from the date of receipt of the request for Budget revisions, Grantor will review the request and notify Grantee whether the Budget revision has been approved, denied, or the date upon which a decision will be reached.

ARTICLE VII ALLOWABLE COSTS

7.1. Allowability of Costs; Cost Allocation Methods. The allowability of costs and cost allocation

methods for work performed under this Agreement shall be determined in accordance with 2 CFR 200 Subpart E and Appendices III, IV, and V.

7.2. Indirect Cost Rate Submission.

(a) All Grantees must make an Indirect Cost Rate election in the Grantee Portal, even grantees that do not charge or expect to charge Indirect Costs. 44 Ill. Admin. Code 7000.420(d).

(i) Waived and de minimis Indirect Cost Rate elections will remain in effect until

the Grantee elects a different option.

(b) A Grantee must submit an Indirect Cost Rate Proposal in accordance with federal regulations, in a format prescribed by Grantor. For Grantees who have never negotiated an Indirect Cost Rate before, the Indirect Cost Rate Proposal must be submitted for approval no later than three months after the effective date of the Award. For Grantees who have previously negotiated an Indirect Cost Rate, the Indirect Cost Rate Proposal must be submitted for approval within 180 days of the Grantee’s fiscal year end, as dictated in the applicable appendices, such as:

(i) Appendix V and VII to 2 CFR Part 200 governs Indirect Cost Rate Proposals for state and local governments,

(ii) Appendix III to 2 CFR Part 200 governs Indirect Cost Rate Proposals for public and private institutions of higher education,

(iii) Appendix IV to 2 CFR Part 200 governs Indirect (F&A) Costs Identification and Assignment, and Rate Determination for Nonprofit Organizations, and

(iv) Appendix V to 2 CFR Part 200 governs state/Local Governmentwide Central Service Cost Allocation Plans.

(c) A Grantee who has a current, applicable rate negotiated by a cognizant federal agency

shall provide to Grantor a copy of its Indirect Cost Rate acceptance letter from the federal government and a copy of all documentation regarding the allocation methodology for costs used to negotiate that rate, e.g., without limitation, the cost policy statement or disclosure narrative statement. Grantor will accept that Indirect Cost Rate, up to any statutory, rule‐based or programmatic limit.

(d) A Grantee who does not have a current negotiated rate, may elect to charge a de

minimis rate of 10% of modified total direct costs which may be used indefinitely. No documentation is required to justify the 10% de minimis Indirect Cost Rate. 2 CFR 200.414(f).

7.3. Transfer of Costs. Cost transfers between Grants, whether as a means to compensate for cost

overruns or for other reasons, are unallowable. See 2 CFR 200.451. 7.4. Higher Education Cost Principles. The federal cost principles that apply to public and private

institutions of higher education are set forth in 2 CFR Part 200 Subpart E and Appendix III.


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State of Illinois


7.5. Government Cost Principles. The federal cost principles that apply to state, local and federally‐

recognized Indian tribal governments are set forth in 2 CFR Part 200 Subpart E, Appendix V, and Appendix VII. 7.6. Financial Management Standards. The financial management systems of Grantee must meet the

following standards:

(a) Accounting System. Grantee organizations must have an accounting system that provides accurate, current, and complete disclosure of all financial transactions related to each state‐ and federally‐funded Program. Accounting records must contain information pertaining to state and federal pass‐through awards, authorizations, obligations, unobligated balances, assets, outlays, and income. These records must be maintained on a current basis and balanced at least quarterly. Cash contributions to the Program from third parties must be accounted for in the general ledger with other Grant Funds. Third party in‐kind (non‐cash) contributions are not required to be recorded in the general ledger, but must be under accounting control, possibly through the use of a memorandum ledger. To comply with 2 CFR 200.305(b)(7)(i) and 30 ILCS 708/520, Grantee shall use reasonable efforts to ensure that funding streams are delineated within Grantee’s accounting system. See 2 CFR 200.302.

(b) Source Documentation. Accounting records must be supported by such source documentation as canceled checks, bank statements, invoices, paid bills, donor letters, time and attendance records, activity reports, travel reports, contractual and consultant agreements, and subaward documentation. All supporting documentation should be clearly identified with the Award and general ledger accounts which are to be charged or credited.

(i) The documentation standards for salary charges to grants are prescribed by 2 CFR 200.430, and in the cost principles applicable to the entity’s organization (Paragraphs 7.4 through 7.5).

(ii) If records do not meet the standards in 2 CFR 200.430, then Grantor may notify Grantee in PART TWO, PART THREE or Exhibit G of the requirement to submit Personnel activity reports. See 2 CFR 200.430(i)(8). Personnel activity reports shall account on an after‐the‐fact basis for one hundred percent (100%) of the employee's actual time, separately indicating the time spent on the grant, other grants or projects, vacation or sick leave, and administrative time, if applicable. The reports must be signed by the employee, approved by the appropriate official, and coincide with a pay period. These time records should be used to record the distribution of salary costs to the appropriate accounts no less frequently than quarterly.

(iii) Formal agreements with independent contractors, such as consultants, must include a description of the services to be performed, the period of performance, the fee and method of payment, an itemization of travel and other costs which are chargeable to the agreement, and the signatures of both the contractor and an appropriate official of Grantee.

(iv) If third party in‐kind (non‐cash) contributions are used for Grant purposes, the valuation of these contributions must be supported with adequate documentation.

(c) Internal Control. Effective control and accountability must be maintained for all cash, real and personal property, and other assets. Grantee must adequately safeguard all such property and must provide assurance that it is used solely for authorized purposes. Grantee must also have systems in place that provide reasonable assurance that the information is accurate, allowable, and compliant with the terms and conditions of this Agreement. 2 CFR 200.303.


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(d) Budget Control. Records of expenditures must be maintained for each Award by the cost categories of the approved Budget (including indirect costs that are charged to the Award), and actual expenditures are to be compared with Budgeted amounts at least quarterly.

(e) Cash Management. Requests for advance payment shall be limited to Grantee's immediate cash needs. Grantee must have written procedures to minimize the time elapsing between the receipt and the disbursement of Grant Funds to avoid having excess funds on hand. 2 CFR 200.305.

7.7. Federal Requirements. All Awards, whether funded in whole or in part with either federal or

State funds, are subject to federal requirements and regulations, including but not limited to 2 CFR Part 200, 44 Ill. Admin. Code 7000.30(b) and the Financial Management Standards in Paragraph 7.6.

7.8. Profits. It is not permitted for any person or entity to earn a Profit from an Award. See, e.g., 2 CFR 200.400(g); see also 30 ILCS 708/60(a)(7).

7.9. Management of Program Income. Grantee is encouraged to earn income to defray program

costs where appropriate, subject to 2 CFR 200.307.

ARTICLE VIII REQUIRED CERTIFICATIONS

8.1. Certifications. Grantee shall be responsible for compliance with the enumerated certifications to

the extent that the certifications apply to Grantee.

(a) Bribery. Grantee certifies that it has not been convicted of bribery or attempting to bribe an officer or employee of the state of Illinois, nor made an admission of guilt of such conduct which is a matter of record (30 ILCS 500/50‐5).

(b) Bid Rigging. Grantee certifies that it has not been barred from contracting with a unit of state or local government as a result of a violation of Paragraph 33E‐3 or 33E‐4 of the Criminal Code of 1961 (720 ILCS 5/33E‐3 or 720 ILCS 5/33E‐4, respectively).

(c) Debt to State. Grantee certifies that neither it, nor its affiliate(s), is/are barred from receiving an Award because Grantee, or its affiliate(s), is/are delinquent in the payment of any debt to the State, unless Grantee, or its affiliate(s), has/have entered into a deferred payment plan to pay off the debt, and Grantee acknowledges Grantor may declare the Agreement void if the certification is false (30 ILCS 500/50‐11). (d) Educational Loan. Grantee certifies that it is not barred from receiving State agreements as a result of default on an educational loan (5 ILCS 385/1 et seq.). (e) International Boycott. Grantee certifies that neither it nor any substantially owned affiliated company is participating or shall participate in an international boycott in violation of the provision of the U.S. Export Administration Act of 1979 (50 USC Appendix 2401 et seq.) or the regulations of the U.S. Department of Commerce promulgated under that Act (15 CFR Parts 730 through 774).

(f) Dues and Fees. Grantee certifies that it is not prohibited from receiving an Award because it pays dues or fees on behalf of its employees or agents, or subsidizes or otherwise reimburses them for payment of their dues or fees to any club which unlawfully discriminates (775 ILCS 25/1 et seq.).


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(g) Pro‐Children Act. Grantee certifies that it is in compliance with the Pro‐Children Act of 2001 in that it prohibits smoking in any portion of its facility used for the provision of health, day care, early childhood development services, education or library services to children under the age of eighteen (18), which services are supported by federal or state government assistance (except such portions of the facilities which are used for inpatient substance abuse treatment) (20 USC 7181‐7184).

(h) Drug‐Free Work Place. If Grantee is not an individual, Grantee certifies it will provide a

drug free workplace pursuant to the Drug Free Workplace Act. 30 ILCS 580/3. If Grantee is an individual and this Agreement is valued at more than $5,000, Grantee certifies it shall not engage in the unlawful manufacture, distribution, dispensation, possession, or use of a controlled substance during the performance of the Agreement. 30 ILCS 580/4. Grantee further certifies that it is in compliance with the government‐wide requirements for a drug‐free workplace as set forth in 41 USC 8102.

(i) Motor Voter Law. Grantee certifies that it is in full compliance with the terms and provisions of the National Voter Registration Act of 1993 (52 USC 20501 et seq.).

(j) Clean Air Act and Clean Water Act. Grantee certifies that it is in compliance with all applicable standards, order or regulations issued pursuant to the Clean Air Act (42 USC §7401 et seq.) and the Federal Water Pollution Control Act, as amended (33 USC 1251 et seq.).

(k) Debarment. Grantee certifies that it is not debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this Agreement by any federal department or agency 2 CFR 200.205(a), or by the State (See 30 ILCS 708/25(6)(G)).

(l) Non‐procurement Debarment and Suspension. Grantee certifies that it is in compliance with Subpart C of 2 CFR Part 180 as supplemented by 2 CFR Part 376, Subpart C.

(m) Grant for the Construction of Fixed Works. Grantee certifies that all Programs for the

construction of fixed works which are financed in whole or in part with funds provided by this Agreement shall be subject to the Prevailing Wage Act (820 ILCS 130/0.01 et seq.) unless the provisions of that Act exempt its application. In the construction of the Program, Grantee shall comply with the requirements of the Prevailing Wage Act including, but not limited to, inserting into all contracts for such construction a stipulation to the effect that not less than the prevailing rate of wages as applicable to the Program shall be paid to all laborers, workers, and mechanics performing work under the Award and requiring all bonds of contractors to include a provision as will guarantee the faithful performance of such prevailing wage clause as provided by contract.

(n) Health Insurance Portability and Accountability Act. Grantee certifies that it is in

compliance with the Health Insurance Portability and Accountability Act of 1996 (HIPAA), Public Law No. 104‐191, 45 CFR Parts 160, 162 and 164, and the Social Security Act, 42 USC 1320d‐2 through 1320d‐7, in that it may not use or disclose protected health information other than as permitted or required by law and agrees to use appropriate safeguards to prevent use or disclosure of the protected health information. Grantee shall maintain, for a minimum of six (6) years, all protected health information.

(o) Criminal Convictions. Grantee certifies that neither it nor any managerial agent of

Grantee has been convicted of a felony under the Sarbanes‐Oxley Act of 2002, nor a Class 3 or Class 2 felony under Illinois Securities Law of 1953, or that at least five (5) years have passed since the date of the conviction. Grantee further certifies that it is not barred from receiving an Award under 30 ILCS 500/50‐10.5, and acknowledges that Grantor shall declare the Agreement void if this certification is false (30 ILCS


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500/50‐10.5).

(p) Forced Labor Act. Grantee certifies that it complies with the State Prohibition of Goods from Forced Labor Act, and certifies that no foreign‐made equipment, materials, or supplies furnished to the State under this Agreement have been or will be produced in whole or in part by forced labor, convict labor, or indentured labor under penal sanction (30 ILCS 583).

(q) Illinois Use Tax. Grantee certifies in accordance with 30 ILCS 500/50‐12 that it is not

barred from receiving an Award under this Paragraph. Grantee acknowledges that this Agreement may be declared void if this certification is false.

(r) Environmental Protection Act Violations. Grantee certifies in accordance with 30 ILCS

500/50‐14 that it is not barred from receiving an Award under this Paragraph. Grantee acknowledges that this Agreement may be declared void if this certification is false.

(s) Goods from Child Labor Act. Grantee certifies that no foreign‐made equipment,

materials, or supplies furnished to the State under this Agreement have been produced in whole or in part by the labor of any child under the age of twelve (12) (30 ILCS 584).

(t) Federal Funding Accountability and Transparency Act of 2006. Grantee certifies that it

is in compliance with the terms and requirements of 31 USC 6101. (u) Illinois Works Review Panel. For Awards made for public works projects, as defined in

the Illinois Works Jobs Program Act, Grantee certifies that it and any contractor(s) or sub‐contractor(s) that performs work using funds from this Award, shall, upon reasonable notice, appear before and respond to requests for information from the Illinois Works Review Panel. 30 ILCS 559/20‐25(d).

ARTICLE IX CRIMINAL DISCLOSURE

9.1. Mandatory Criminal Disclosures. Grantee shall continue to disclose to Grantor all violations of

criminal law involving fraud, bribery or gratuity violations potentially affecting this Award. See 30 ILCS 708/40. Additionally, if Grantee receives over $10 million in total Financial Assistance, funded by either State or federal funds, during the period of this Award, Grantee must maintain the currency of information reported to SAM regarding civil, criminal or administrative proceedings as required by 2 CFR 200.113 and Appendix XII of 2 CFR Part 200, and 30 ILCS 708/40.

ARTICLE X UNLAWFUL DISCRIMINATION

10.1. Compliance with Nondiscrimination Laws. Both Parties, their employees and subcontractors

under subcontract made pursuant to this Agreement, remain compliant with all applicable provisions of state and federal laws and regulations pertaining to nondiscrimination, sexual harassment and equal employment opportunity including, but not limited to, the following laws and regulations and all subsequent amendments thereto:

(a) The Illinois Human Rights Act (775 ILCS 5/1‐101 et seq.), including, without limitation, 44


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Ill. Admin. Code Part 750, which is incorporated herein;

(b) The Public Works Employment Discrimination Act (775 ILCS 10/1 et seq.);

(c) The United States Civil Rights Act of 1964 (as amended) (42 USC 2000a‐ and 2000h‐6). (See also guidelines to Federal Financial Assistance Recipients Regarding Title VI Prohibition Against National Origin Discrimination Affecting Limited English Proficient Persons [Federal Register: February 18, 2002 (Volume 67, Number 13, Pages 2671‐2685)]);

(d) Section 504 of the Rehabilitation Act of 1973 (29 USC 794);

(e) The Americans with Disabilities Act of 1990 (as amended) (42 USC 12101 et seq.); and (f) The Age Discrimination Act (42 USC 6101 et seq.).

ARTICLE XI LOBBYING

11.1. Improper Influence. Grantee certifies that no Grant Funds have been paid or will be paid by or on

behalf of Grantee to any person for influencing or attempting to influence an officer or employee of any government agency, a member of Congress or Illinois General Assembly, an officer or employee of Congress or Illinois General Assembly, or an employee of a member of Congress or Illinois General Assembly in connection with the awarding of any agreement, the making of any grant, the making of any loan, the entering into of any cooperative agreement, or the extension, continuation, renewal, amendment or modification of any agreement, grant, loan or cooperative agreement. 31 USC 1352. Additionally, Grantee certifies that it has filed the required certification under the Byrd Anti‐Lobbying Amendment (31 USC 1352), if applicable.

11.2. Federal Form LLL. If any funds, other than federally‐appropriated funds, were paid or will be paid to any person for influencing or attempting to influence any of the above persons in connection with this Agreement, the undersigned must also complete and submit Federal Form LLL, Disclosure of Lobbying Activities Form, in accordance with its instructions.

11.3. Lobbying Costs. Grantee certifies that it is in compliance with the restrictions on lobbying set forth in 2 CFR 200.450. For any Indirect Costs associated with this Agreement, total lobbying costs shall be separately identified in the Program Budget, and thereafter treated as other Unallowable Costs.

11.4. Procurement Lobbying. Grantee warrants and certifies that it and, to the best of its knowledge,

its sub‐grantees have complied and will comply with Executive Order No. 1 (2007) (EO 1‐2007). EO 1‐2007 generally prohibits Grantees and subcontractors from hiring the then‐serving Governor’s family members to lobby procurement activities of the State, or any other unit of government in Illinois including local governments, if that procurement may result in a contract valued at over $25,000. This prohibition also applies to hiring for that same purpose any former State employee who had procurement authority at any time during the one‐year period preceding the procurement lobbying activity.

11.5. Subawards. Grantee must include the language of this ARTICLE XI in the award documents for any subawards made pursuant to this Award at all tiers. All sub‐awardees are also subject to certification and disclosure. Pursuant to Appendix II(I) to 2 CFR Part 200, Grantee shall forward all disclosures by contractors regarding this certification to Grantor.


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11.6. Certification. This certification is a material representation of fact upon which reliance was placed to enter into this transaction and is a prerequisite for this transaction, pursuant to 31 USC 1352. Any person who fails to file the required certifications shall be subject to a civil penalty of not less than $10,000, and not more than $100,000, for each such failure.

ARTICLE XII MAINTENANCE AND ACCESSIBILITY OF RECORDS; MONITORING

12.1. Records Retention. Grantee shall maintain for three (3) years from the date of submission of the

final expenditure report, adequate books, all financial records and, supporting documents, statistical records, and all other records pertinent to this Award, adequate to comply with 2 CFR 200.334, unless a different retention period is specified in 2 CFR 200.334 or 44 Ill. Admin. Code 7000.430(a) and (b). If any litigation, claim or audit is started before the expiration of the retention period, the records must be retained until all litigation, claims or audit exceptions involving the records have been resolved and final action taken.

12.2. Accessibility of Records. Grantee, in compliance with 2 CFR 200.337 and 44 Ill. Admin. Code 7000.430(e), shall make books, records, related papers, supporting documentation and personnel relevant to this Agreement available to authorized Grantor representatives, the Illinois Auditor General, Illinois Attorney General, any Executive Inspector General, the Grantor’s Inspector General, federal authorities, any person identified in 2 CFR 200.337, and any other person as may be authorized by Grantor (including auditors), by the state of Illinois or by federal statute. Grantee shall cooperate fully in any such audit or inquiry.

12.3. Failure to Maintain Books and Records. Failure to maintain books, records and supporting documentation, as described in this ARTICLE XII, shall establish a presumption in favor of the State for the recovery of any funds paid by the State under this Agreement for which adequate books, records and supporting documentation are not available to support disbursement.

12.4. Monitoring and Access to Information. Grantee must monitor its activities to assure compliance

with applicable state and federal requirements and to assure its performance expectations are being achieved. Grantor shall monitor the activities of Grantee to assure compliance with all requirements and performance expectations of the award. Grantee shall timely submit all financial and performance reports, and shall supply, upon Grantor’s request, documents and information relevant to the Award. Grantor may make site visits as warranted by program needs. See 2 CFR 200.329 and 200.332. Additional monitoring requirements may be in PART TWO or PART THREE.

ARTICLE XIII FINANCIAL REPORTING REQUIREMENTS

13.1. Required Periodic Financial Reports. Grantee agrees to submit financial reports as requested and

in the format required by Grantor. Grantee shall file quarterly reports with Grantor describing the expenditure(s) of the funds related thereto, unless more frequent reporting is required by the Grantee pursuant to specific award conditions. 2 CFR 200.208. Unless so specified, the first of such reports shall cover the first three months after the Award begins, and reports must be submitted no later than the due date(s) specified in PART TWO or PART THREE, unless additional information regarding required financial reports is set forth in Exhibit G. Failure to submit the required financial reports may cause a delay or suspension of funding. 30 ILCS 705/1 et seq.; 2 CFR 208(b)(3) and 200.328. Any report required by 30 ILCS 708/125 may be detailed in PART TWO or PART THREE.

13.2. Close‐out Reports.


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(a) Grantee shall submit a Close‐out Report no later than the due date specified in PART

TWO or PART THREE following the end of the period of performance for this Agreement or Agreement termination. The format of this Close‐out Report shall follow a format prescribed by Grantor. 2 CFR 200.344; 44 Ill. Admin. Code 7000.440(b).

(b) If an audit or review of Grantee occurs and results in adjustments after Grantee submits a Close‐out Report, Grantee will submit a new Close‐out Report based on audit adjustments, and immediately submit a refund to Grantor, if applicable. 2 CFR 200.345.

13.3. Effect of Failure to Comply. Failure to comply with reporting requirements shall result in the

withholding of funds, the return of Improper Payments or Unallowable Costs, will be considered a material breach of this Agreement and may be the basis to recover Grant Funds. Grantee's failure to comply with this ARTICLE XIII, ARTICLE XIV, or ARTICLE XV shall be considered prima facie evidence of a breach and may be admitted as such, without further proof, into evidence in an administrative proceeding before Grantor, or in any other legal proceeding. Grantee should refer to the State of Illinois Grantee Compliance Enforcement System for policy and consequences for failure to comply. 44 Ill. Admin. Code 7000.80.

ARTICLE XIV PERFORMANCE REPORTING REQUIREMENTS

14.1. Required Periodic Performance Reports. Grantee agrees to submit Performance Reports as

requested and in the format required by Grantor. Performance Measures listed in Exhibit E must be reported quarterly, unless otherwise specified in PART TWO, PART THREE or Exhibit G. Unless so specified, the first of such reports shall cover the first three months after the Award begins. If Grantee is not required to report performance quarterly, then Grantee must submit a Performance Report at least annually. Pursuant to 2 CFR 200.208, specific conditions may be imposed requiring Grantee to report more frequently based on the risk assessment or the merit‐based review of the application. In such cases, Grantor shall notify Grantee of same in Exhibit G. Pursuant to 2 CFR 200.329 and 44 Ill. Admin. Code 7000.410(b)(2), periodic Performance Reports shall be submitted no later than the due date(s) specified in PART TWO or PART THREE. For certain construction‐related Awards, such reports may be exempted as identified in PART TWO or PART THREE. 2 CFR 200.329. Failure to submit such required Performance Reports may cause a delay or suspension of funding. 30 ILCS 705/1 et seq.

14.2. Close‐out Performance Reports. Grantee agrees to submit a Close‐out Performance Report, in the format required by Grantor, no later than the due date specified in PART TWO or PART THREE following the end of the period of performance or Agreement termination. See 2 CFR 200.344; 44 Ill. Admin. Code 7000.440(b)(1).

14.3. Content of Performance Reports. Pursuant to 2 CFR 200.329(b) and (c), all Performance Reports must relate the financial data and accomplishments to the performance goals and objectives of this Award and also include the following: a comparison of actual accomplishments to the objectives of the award established for the period; where the accomplishments can be quantified, a computation of the cost and demonstration of cost effective practices (e.g., through unit cost data); performance trend data and analysis if required; and reasons why established goals were not met, if appropriate. Appendices may be used to include additional supportive documentation. Additional content and format guidelines for the Performance Reports will be determined by Grantor contingent on the Award’s statutory, regulatory and administrative requirements, and are included in PART TWO or PART THREE of this Agreement.


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14.4. Performance Standards. Grantee shall perform in accordance with the Performance Standards set forth in Exhibit F. See 2 CFR 200.301 and 200.210.

ARTICLE XV AUDIT REQUIREMENTS

15.1. Audits. Grantee shall be subject to the audit requirements contained in the Single Audit Act

Amendments of 1996 (31 USC 7501‐7507) and Subpart F of 2 CFR Part 200, and the audit rules and policies set forth by the Governor’s Office of Management and Budget. See 30 ILCS 708/65(c); 44 Ill. Admin. Code 7000.90.

15.2. Consolidated Year‐End Financial Reports (CYEFR). All grantees are required to complete and

submit a CYEFR through the Grantee Portal. The CYEFR is a required schedule in the Grantee’s audit report if the Grantee is required to complete and submit an audit report as set forth herein.

(a) This Paragraph 15.2 applies to all Grantees, unless exempted pursuant to a federal or state statute or regulation, which is identified in PART TWO or PART THREE.

(b) The CYEFR must cover the same period as the Audited Financial Statements, if required,

and must be submitted in accordance with the audit schedule at 44 Ill. Admin. Code 7000.90. If Audited Financial Statements are not required, however, then the CYEFR must cover the Grantee’s fiscal year and must be submitted within 6 months of the Grantee’s fiscal year‐end.

(c) CYEFRs must include an in relation to opinion from the auditor of the financial

statements included in the CYEFR.

(d) CYEFRs shall follow a format prescribed by Grantor. 15.3. Audit Requirements.

(a) Single and Program‐Specific Audits. If, during its fiscal year, Grantee expends $750,000

or more in Federal Awards (direct federal and federal pass‐through awards combined), Grantee must have a single audit or program‐specific audit conducted for that year as required by 2 CFR 200.501 and other applicable sections of Subpart F of 2 CFR Part 200. The audit report packet must be completed as described in 2 CFR 200.512 (single audit) or 2 CFR 200.507 (program‐specific audit), 44 Ill. Admin. Code 7000.90(h)(1) and the current GATA audit manual and submitted to the Federal Audit Clearinghouse, as required by 2 CFR 200.512. The results of peer and external quality control reviews, management letters, AU‐C 265 communications and the Consolidated Year‐End Financial Report(s) must be submitted to the Grantee Portal. The due date of all required submissions set forth in this Paragraph is the earlier of (i) 30 calendar days after receipt of the auditor’s report(s) or (ii) nine (9) months after the end of the Grantee’s audit period.

(b) Financial Statement Audit. If, during its fiscal year, Grantee expends less than $750,000

in Federal Awards, Grantee is subject to the following audit requirements:

(i) If, during its fiscal year, Grantee expends $500,000 or more in Federal and state Awards, singularly or in any combination, from all sources, Grantee must have a financial statement audit conducted in accordance with the Generally Accepted Government Auditing Standards (GAGAS). Grantee may be subject to additional requirements in PART TWO, PART THREE or Exhibit G based on the Grantee’s risk profile.


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(ii) If, during its fiscal year, Grantee expends less than $500,000 in Federal and state Awards, singularly or in any combination, from all sources, but expends $300,000 or more in Federal and state Awards, singularly or in any combination, from all sources, Grantee must have a financial statement audit conducted in accordance with the Generally Accepted Auditing Standards (GAAS).

(iii) If Grantee is a Local Education Agency (as defined in 34 CFR 77.1), Grantee shall have a financial statement audit conducted in accordance with GAGAS, as required by 23 Ill. Admin. Code 100.110, regardless of the dollar amount of expenditures of Federal and state Awards.

(iv) If Grantee does not meet the requirements in subsections 15.3(a) and 15.3(b)(i‐iii) but is required to have a financial statement audit conducted based on other regulatory requirements, Grantee must submit those audits for review.

(v) Grantee must submit its financial statement audit report packet, as set forth in 44 Ill. Admin. Code 7000.90(h)(2) and the current GATA audit manual, to the Grantee Portal within the earlier of (i) 30 calendar days after receipt of the auditor’s report(s) or (ii) 6 months after the end of the Grantee’s audit period.

15.4. Performance of Audits. For those organizations required to submit an independent audit report,

the audit is to be conducted by the Illinois Auditor General, or a Certified Public Accountant or Certified Public Accounting Firm licensed in the state of Illinois or in accordance with Section 5.2 of the Illinois Public Accounting Act (225 ILCS 450/5.2). For all audits required to be performed subject to Generally Accepted Government Auditing standards or Generally Accepted Auditing standards, Grantee shall request and maintain on file a copy of the auditor’s most recent peer review report and acceptance letter. Grantee shall follow procedures prescribed by Grantor for the preparation and submission of audit reports and any related documents.

15.5. Delinquent Reports. Notwithstanding anything herein to the contrary, when such reports or statements required under this section are prepared by the Illinois Auditor General, if they are not available by the above‐specified due date, they will be provided to Grantor within thirty (30) days of becoming available. Otherwise, Grantee should refer to the State of Illinois Grantee Compliance Enforcement System for the policy and consequences for late reporting. 44 Ill. Admin. Code 7000.80.

ARTICLE XVI TERMINATION; SUSPENSION; NON‐COMPLIANCE

16.1. Termination.

(a) This Agreement may be terminated, in whole or in part, by either Party for any or no

reason upon thirty (30) calendar days’ prior written notice to the other Party. If terminated by the Grantee, Grantee must include the reasons for such termination, the effective date, and, in the case of a partial termination, the portion to be terminated. If Grantor determines in the case of a partial termination that the reduced or modified portion of the Award will not accomplish the purposes for which the Award was made, Grantor may terminate the Agreement in its entirety. 2 CFR 200.340(a)(4).

(b) This Agreement may be terminated, in whole or in part, by Grantor without advance

notice:

(i) Pursuant to a funding failure under Paragraph 4.1;

(ii) If Grantee fails to comply with the terms and conditions of this or any Award,


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application or proposal, including any applicable rules or regulations, or has made a false representation in connection with the receipt of this or any Grant;

(iii) If the Award no longer effectuates the program goals or agency priorities as set

forth in Exhibit A, PART TWO or PART THREE; or

(iv) If Grantee breaches this Agreement and either (1) fails to cure such breach within 15 calendar days’ written notice thereof, or (2) if such cure would require longer than 15 calendar days and the Grantee has failed to commence such cure within 15 calendar days’ written notice thereof. In the event that Grantor terminates this Agreement as a result of the breach of the Agreement by Grantee, Grantee shall be paid for work satisfactorily performed prior to the date of termination.

16.2. Suspension. Grantor may suspend this Agreement, in whole or in part, pursuant to a funding

failure under Paragraph 4.1 or if the Grantee fails to comply with terms and conditions of this or any Award. If suspension is due to Grantee’s failure to comply, Grantor may withhold further payment and prohibit Grantee from incurring additional obligations pending corrective action by Grantee or a decision to terminate this Agreement by Grantor. Grantor may determine to allow necessary and proper costs that Grantee could not reasonably avoid during the period of suspension.

16.3. Non‐compliance. If Grantee fails to comply with the U.S. Constitution, applicable statutes,

regulations or the terms and conditions of this or any Award, Grantor may impose additional conditions on Grantee, as described in 2 CFR 200.208. If Grantor determines that non‐compliance cannot be remedied by imposing additional conditions, Grantor may take one or more of the actions described in 2 CFR 200.339. The Parties shall follow all Grantor policies and procedures regarding non‐compliance, including, but not limited to, the procedures set forth in the State of Illinois Grantee Compliance Enforcement System. 44 Ill. Admin. Code 7000.80 and 7000.260.

16.4. Objection. If Grantor suspends or terminates this Agreement, in whole or in part, for cause, or

takes any other action in response to Grantee’s non‐compliance, Grantee may avail itself of any opportunities to object and challenge such suspension, termination or other action by Grantor in accordance with any applicable processes and procedures, including, but not limited to, the procedures set forth in the State of Illinois Grantee Compliance Enforcement System. 2 CFR 200.342; 44 Ill. Admin. Code 7000.80 and 7000.260.

16.5. Effects of Suspension and Termination.

(a) Grantor may credit Grantee for expenditures incurred in the performance of authorized services under this Agreement prior to the effective date of a suspension or termination.

(b) Grantee shall not incur any costs or obligations that require the use of these Grant Funds

after the effective date of a suspension or termination, and shall cancel as many outstanding obligations as possible.

(c) Costs to Grantee resulting from obligations incurred by Grantee during a suspension or after termination of the Agreement are not allowable unless:

(i) Grantor expressly authorizes them in the notice of suspension or termination; and

(ii) The costs result from obligations properly incurred before the effective date of


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suspension or termination, are not in anticipation of the suspension or termination, and the costs would be allowable if the Agreement was not suspended or terminated. 2 CFR 200.343.

16.6. Close‐out of Terminated Agreements. If this Agreement is terminated, in whole or in part, the

Parties shall comply with all close‐out and post‐termination requirements of this Agreement. 2 CFR 200.340(d).

ARTICLE XVII SUBCONTRACTS/SUB‐GRANTS

17.1. Sub‐recipients/Delegation. Grantee may not subcontract nor sub‐grant any portion of this

Agreement nor delegate any duties hereunder without Prior Approval of Grantor. The requirement for Prior Approval is satisfied if the subcontractor or sub‐grantee has been identified in the Uniform Grant Application, such as, without limitation, a Project Description, and Grantor has approved. Grantee must notify any potential sub‐recipient that the sub‐recipient shall obtain and provide to the Grantee a Unique Entity Identifier prior to receiving a subaward. 2 CFR 25.300.

17.2. Application of Terms. Grantee shall advise any sub‐grantee of funds awarded through this

Agreement of the requirements imposed on them by federal and state laws and regulations, and the provisions of this Agreement. The terms of this Agreement shall apply to all subawards authorized in accordance with Paragraph 17.1. 2 CFR 200.101(b)(2).

17.3. Liability as Guaranty. Grantee shall be liable as guarantor for any Grant Funds it obligates to a

sub‐grantee or sub‐contractor pursuant to Paragraph 17.1 in the event the Grantor determines the funds were either misspent or are being improperly held and the sub‐grantee or sub‐contractor is insolvent or otherwise fails to return the funds. 2 CFR 200.345; 30 ILCS 705/6; 44 Ill. Admin. Code 7000.450(a).

ARTICLE XVIII NOTICE OF CHANGE

18.1. Notice of Change. Grantee shall notify the Grantor if there is a change in Grantee’s legal status,

federal employer identification number (FEIN), DUNS Number, UEI, SAM registration status, Related Parties, or address. See 30 ILCS 708/60(a). If the change is anticipated, Grantee shall give thirty (30) days’ prior written notice to Grantor. If the change is unanticipated, Grantee shall give notice as soon as practicable thereafter. Grantor reserves the right to take any and all appropriate action as a result of such change(s).

18.2. Failure to Provide Notification. To the extent permitted by Illinois law, Grantee shall hold harmless Grantor for any acts or omissions of Grantor resulting from Grantee’s failure to notify Grantor of these changes.

18.3. Notice of Impact. Grantee shall immediately notify Grantor of any event that may have a material

impact on Grantee’s ability to perform this Agreement.

18.4. Circumstances Affecting Performance; Notice. In the event Grantee becomes a party to any litigation, investigation or transaction that may reasonably be considered to have a material impact on Grantee’s ability to perform under this Agreement, Grantee shall notify Grantor, in writing, within five (5) calendar days of determining such litigation or transaction may reasonably be considered to have a material impact on the Grantee’s ability to perform under this Agreement.


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18.5. Effect of Failure to Provide Notice. Failure to provide the notice described in Paragraph 18.4 shall be grounds for immediate termination of this Agreement and any costs incurred after notice should have been given shall be disallowed.

ARTICLE XIX STRUCTURAL REORGANIZATION

19.1. Effect of Reorganization. Grantee acknowledges that this Agreement is made by and between

Grantor and Grantee, as Grantee is currently organized and constituted. No promise or undertaking made hereunder is an assurance that Grantor agrees to continue this Agreement, or any license related thereto, should Grantee significantly reorganize or otherwise substantially change the character of its corporate structure, business structure or governance structure. Grantee agrees that it will give Grantor prior notice of any such action or changes significantly affecting its overall structure, and will provide any and all reasonable documentation necessary for Grantor to review the proposed transaction including financial records and corporate and shareholder minutes of any corporation which may be involved. This ARTICLE XIX does not require Grantee to report on minor changes in the makeup of its governance structure. Nevertheless, PART TWO or PART THREE may impose further restrictions. Failure to comply with this ARTICLE XIX shall constitute a material breach of this Agreement.

ARTICLE XX AGREEMENTS WITH OTHER STATE AGENCIES

20.1. Copies upon Request. Grantee shall, upon request by Grantor, provide Grantor with copies of

contracts or other agreements to which Grantee is a party with any other State agency.

ARTICLE XXI CONFLICT OF INTEREST

21.1. Required Disclosures. Grantee must immediately disclose in writing any potential or actual

Conflict of Interest to the Grantor. 2 CFR 200.113 and 30 ILCS 708/35. 21.2. Prohibited Payments. Grantee agrees that payments made by Grantor under this Agreement will

not be used to compensate, directly or indirectly, any person currently holding an elective office in this State including, but not limited to, a seat in the General Assembly. In addition, where the Grantee is not an instrumentality of the State of Illinois, as described in this Paragraph, Grantee agrees that payments made by Grantor under this Agreement will not be used to compensate, directly or indirectly, any person employed by an office or agency of the state of Illinois whose annual compensation is in excess of sixty percent (60%) of the Governor’s annual salary, or $106,447.20 (30 ILCS 500/50‐13). An instrumentality of the State of Illinois includes, without limitation, State departments, agencies, boards, and State universities. An instrumentality of the State of Illinois does not include, without limitation, municipalities and units of local government and related entities. 2 CFR 200.64.

21.3. Request for Exemption. Grantee may request written approval from Grantor for an exemption

from Paragraph 21.2. Grantee acknowledges that Grantor is under no obligation to provide such exemption and that Grantor may, if an exemption is granted, grant such exemption subject to such additional terms and conditions as Grantor may require.


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ARTICLE XXII

EQUIPMENT OR PROPERTY

22.1. Transfer of Equipment. Grantor shall have the right to require that Grantee transfer to Grantor any equipment, including title thereto, purchased in whole or in part with Grantor funds, if Grantor determines that Grantee has not met the conditions of 2 CFR 200.439. Grantor shall notify Grantee in writing should Grantor require the transfer of such equipment. Upon such notification by Grantor, and upon receipt or delivery of such equipment by Grantor, Grantee will be deemed to have transferred the equipment to Grantor as if Grantee had executed a bill of sale therefor.

22.2. Prohibition against Disposition/Encumbrance. The Grantee is prohibited from, and may not sell,

transfer, encumber (other than original financing) or otherwise dispose of said equipment, material, or real property during the Grant Term without Prior Approval of Grantor. Any real property acquired using Grant Funds must comply with the requirements of 2 CFR 200.311.

22.3. Equipment and Procurement. Grantee must comply with the uniform standards set forth in 2 CFR 200.310–200.316 governing the management and disposition of property which cost was supported by Grant Funds. Any waiver from such compliance must be granted by either the President’s Office of Management and Budget, the Governor’s Office of Management and Budget, or both, depending on the source of the Grant Funds used. Additionally, Grantee must comply with the standards set forth in 2 CFR 200.317‐200.326 for use in establishing procedures for the procurement of supplies and other expendable property, equipment, real property and other services with Grant Funds. These standards are furnished to ensure that such materials and services are obtained in an effective manner and in compliance with the provisions of applicable federal and state statutes and executive orders.

22.4. Equipment Instructions. Grantee must obtain disposition instructions from Grantor when

equipment, purchased in whole or in part with Grant Funds, are no longer needed for their original purpose. Notwithstanding anything to the contrary contained within this Agreement, Grantor may require transfer of any equipment to Grantor or a third party for any reason, including, without limitation, if Grantor terminates the Award or Grantee no longer conducts Award activities. The Grantee shall properly maintain, track, use, store and insure the equipment according to applicable best practices, manufacturer’s guidelines, federal and state laws or rules, and Grantor requirements stated herein.

22.5. Domestic Preferences for Procurements. In accordance with 2 CFR 200.322, as appropriate and

to the extent consistent with law, the Grantee should, to the greatest extent practicable under this Award, provide a preference for the purchase, acquisition, or use of goods, products, or materials produced in the United States (including but not limited to iron, aluminum, steel, cement, and other manufactured products). The requirements of this paragraph must be included in all subawards and in all contracts and purchase orders for work or products under this Award.

ARTICLE XXIII PROMOTIONAL MATERIALS; PRIOR NOTIFICATION

23.1. Publications, Announcements, etc. Use of Grant Funds for promotions is subject to the

prohibitions for advertising or public relations costs in 2 CFR 200.421(e). In the event that Grantor funds are used in whole or in part to produce any written publications, announcements, reports, flyers, brochures or other written materials, Grantee shall obtain Prior Approval for the use of those funds (2 CFR 200.467) and agrees to


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include in these publications, announcements, reports, flyers, brochures and all other such material, the phrase “Funding provided in whole or in part by the [Grantor].” Exceptions to this requirement must be requested, in writing, from Grantor and will be considered authorized only upon written notice thereof to Grantee.

23.2. Prior Notification/Release of Information. Grantee agrees to notify Grantor ten (10) days prior to issuing public announcements or press releases concerning work performed pursuant to this Agreement, or funded in whole or in part by this Agreement, and to cooperate with Grantor in joint or coordinated releases of information.

ARTICLE XXIV INSURANCE

24.1. Maintenance of Insurance. Grantee shall maintain in full force and effect during the Term of this

Agreement casualty and bodily injury insurance, as well as insurance sufficient to cover the replacement cost of any and all real or personal property, or both, purchased or, otherwise acquired, or improved in whole or in part, with funds disbursed pursuant to this Agreement. 2 CFR 200.310. Additional insurance requirements may be detailed in PART TWO or PART THREE.

24.2. Claims. If a claim is submitted for real or personal property, or both, purchased in whole with

funds from this Agreement and such claim results in the recovery of money, such money recovered shall be surrendered to Grantor.

ARTICLE XXV LAWSUITS

25.1. Independent Contractor. Neither Grantee nor any employee or agent of Grantee acquires any

employment rights with Grantor by virtue of this Agreement. Grantee will provide the agreed services and achieve the specified results free from the direction or control of Grantor as to the means and methods of performance. Grantee will be required to provide its own equipment and supplies necessary to conduct its business; provided, however, that in the event, for its convenience or otherwise, Grantor makes any such equipment or supplies available to Grantee, Grantee’s use of such equipment or supplies provided by Grantor pursuant to this Agreement shall be strictly limited to official Grantor or state of Illinois business and not for any other purpose, including any personal benefit or gain.

25.2. Liability. Neither Party shall be liable for actions chargeable to the other Party under this

Agreement including, but not limited to, the negligent acts and omissions of Party’s agents, employees or subcontractors in the performance of their duties as described under this Agreement, unless such liability is imposed by law. This Agreement shall not be construed as seeking to enlarge or diminish any obligation or duty owed by one Party against the other or against a third party.

ARTICLE XXVI MISCELLANEOUS

26.1. Gift Ban. Grantee is prohibited from giving gifts to State employees pursuant to the State

Officials and Employees Ethics Act (5 ILCS 430/10‐10) and Executive Order 15‐09. 26.2. Access to Internet. Grantee must have Internet access. Internet access may be either dial‐up or


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high‐speed. Grantee must maintain, at a minimum, one business e‐mail address that will be the primary receiving point for all e‐mail correspondence from Grantor. Grantee may list additional e‐mail addresses at any time during the Term of this Agreement. The additional addresses may be for a specific department or division of Grantee or for specific employees of Grantee. Grantee must notify Grantor of any e‐mail address changes within five (5) business days from the effective date of the change.

26.3. Exhibits and Attachments. Exhibits A through G, PART TWO, PART THREE, if applicable, and all

other exhibits and attachments hereto are incorporated herein in their entirety. 26.4. Assignment Prohibited. Grantee acknowledges that this Agreement may not be sold, assigned, or

transferred in any manner by Grantee, to include an assignment of Grantee’s rights to receive payment hereunder, and that any actual or attempted sale, assignment, or transfer by Grantee without the Prior Approval of Grantor in writing shall render this Agreement null, void and of no further effect.

26.5. Amendments. This Agreement may be modified or amended at any time during its Term by mutual consent of the Parties, expressed in writing and signed by the Parties.

26.6. Severability. If any provision of this Agreement is declared invalid, its other provisions shall not be affected thereby.

26.7. No Waiver. No failure of either Party to assert any right or remedy hereunder will act as a waiver

of either Party’s right to assert such right or remedy at a later time or constitute a course of business upon which either Party may rely for the purpose of denial of such a right or remedy.

26.8. Applicable Law; Claims. This Agreement and all subsequent amendments thereto, if any, shall be governed and construed in accordance with the laws of the state of Illinois. Any claim against Grantor arising out of this Agreement must be filed exclusively with the Illinois Court of Claims. 705 ILCS 505/1 et seq. Grantor does not waive sovereign immunity by entering into this Agreement.

26.9. Compliance with Law. This Agreement and Grantee’s obligations and services hereunder are hereby made and must be performed in compliance with all applicable federal and State laws, including, without limitation, federal regulations, State administrative rules, including 44 Ill. Admin. Code 7000, and any and all license requirements or professional certification provisions.

26.10. Compliance with Confidentiality Laws. If applicable, Grantee shall comply with applicable state and federal statutes, federal regulations and Grantor administrative rules regarding confidential records or other information obtained by Grantee concerning persons served under this Agreement. The records and information shall be protected by Grantee from unauthorized disclosure.

26.11. Compliance with Freedom of Information Act. Upon request, Grantee shall make available to

Grantor all documents in its possession that Grantor deems necessary to comply with requests made under the Freedom of Information Act. (5 ILCS 140/7(2)).

26.12. Precedence.

(a) Except as set forth in subparagraph (b), below, the following rules of precedence are controlling for this Agreement: In the event there is a conflict between this Agreement and any of the exhibits or attachments hereto, this Agreement shall control. In the event there is a conflict between PART ONE and PART TWO or PART THREE of this Agreement, PART ONE shall control. In the event there is a conflict between PART TWO and PART THREE of this Agreement, PART TWO shall control. In the


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event there is a conflict between this Agreement and relevant statute(s) or rule(s), the relevant statute(s) or rule(s) shall control.

(b) Notwithstanding the provisions in subparagraph (a), above, if a relevant federal or state

statute(s) or rule(s) requires an exception to this Agreement’s provisions, or an exception to a requirement in this Agreement is granted by GATU, such exceptions must be noted in PART TWO or PART THREE, and in such cases, those requirements control. 26.13. Illinois Grant Funds Recovery Act. In the event of a conflict between the Illinois Grant Funds

Recovery Act and the Grant Accountability and Transparency Act, the provisions of the Grant Accountability and Transparency Act shall control. 30 ILCS 708/80.

26.14. Headings. Article and other headings contained in this Agreement are for reference purposes

only and are not intended to define or limit the scope, extent or intent of this Agreement or any provision hereof. 26.15. Entire Agreement. Grantee and Grantor acknowledge that this Agreement constitutes the entire

agreement between them and that no promises, terms, or conditions not recited, incorporated or referenced herein, including prior agreements or oral discussions, shall be binding upon either Grantee or Grantor.

26.16. Counterparts. This Agreement may be executed in one or more counterparts, each of which shall be considered to be one and the same agreement, binding on all Parties hereto, notwithstanding that all Parties are not signatories to the same counterpart. Duplicated signatures, signatures transmitted via facsimile, or signatures contained in a Portable Document Format (PDF) document shall be deemed original for all purposes.

26.17. Attorney Fees and Costs. Unless prohibited by law, if Grantor prevails in any proceeding to enforce the terms of this Agreement, including any administrative hearing pursuant to the Grant Funds Recovery Act or the Grant Accountability and Transparency Act, the Grantor has the right to recover reasonable attorneys’ fees, costs and expenses associated with such proceedings.

26.18. Continuing Responsibilities. The termination or expiration of this Agreement does not affect: (a) the right of the Grantor to disallow costs and recover funds based on a later audit or other review; (b) the obligation of the Grantee to return any funds due as a result of later refunds, corrections or other transactions, including, without limitation, final Indirect Cost Rate adjustments and those funds obligated pursuant to ARTICLE XVII; (c) the Consolidated Year‐End Financial Report; (d) audit requirements established in ARTICLE XV; (e) property management and disposition requirements established in 2 CFR 200.310 through 2 CFR 200.316 and ARTICLE XXII; or (f) records related requirements pursuant to ARTICLE XII. 44 Ill. Admin. Code 7000.450.

THE REMAINDER OF THIS PAGE IS INTENTIONALLY LEFT BLANK.


Agreement No._22‐0327/2800‐30796____

State of Illinois


EXHIBIT A

PROJECT DESCRIPTION

CSFA Number: 494‐60‐0327 NOSA/SAIN Number: 0327/2800‐30796

GATA Registration Number: 686452

The GRANTOR and the GRANTEE desire to sponsor an Airport Improvement Program (AIP) project for the further development of a public airport, known or to be designated as the DIXON MUNICIPAL AIRPORT under Title 49, U.S.C., Subtitle VII, as amended (hereinafter referred to as “Act”), rules, regulations, and procedures promulgated pursuant to; the Illinois Aeronautics Act (620 ILCS 5); and the Intergovernmental Cooperation Act (5 ILCS 220). Project is more fully described below and in Exhibit C.

The GRANTEE has applied for state assistance in procuring state or federal funds and hereby

designates the GRANTOR as required by the above legal authority to accomplish the Project described below; and

As applicable, the GRANTOR has filed a preapplication for federal funds, with the FAA on behalf

of the GRANTEE and has appropriated certain monies for the Project; and The GRANTEE hereby designates the GRANTOR, as its Agent, and the GRANTOR hereby accepts

the designation to act as Agent for the GRANTEE.

Install Taxiway Lighting to Replace Reflective Markers

C73‐4876

3‐17‐SBGP‐139 N, 3‐17‐SBGP‐144 N, 3‐17‐SBGP‐144 A, 3‐17‐SBGP‐171 N


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State of Illinois


EXHIBIT B

DELIVERABLES OR MILESTONES

Construction: Completion of construction activities as specified by the construction contract associated with the Project.

Preliminary and Construction Engineering: Completion of engineering work as specified by the GRANTEE’s engineering agreement.

Right‐of‐Way: Demonstrate adequate right‐of‐way documentation and/or purchase of right‐of‐way.

Utilities: Completion of utility relocation or adjustment as specified by the GRANTEE’s agreement with the utility.

Materials: Purchase and delivery of the materials specified by the material proposal.


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State of Illinois


EXHIBIT C

PAYMENT

Grantee shall receive $180,600.00 under this Agreement.

The GRANTOR shall accept and disburse all federal, State, and municipal funds, as applicable under this grant, used or to be used in payment of the costs of said Project Status Report, as attached, or in reimbursement to either of the parties hereto for costs previously incurred and shall expire ten years after the execution date of this Agreement. The IDOT Program Letter attached to this Agreement is the formal notification to the Grantor of the Project’s inclusion in the state’s multi‐modal program. In accordance with 2 CFR 200 and FAA guidance, pre‐award professional service costs incurred by the GRANTEE as of the Retainer Agreement execution date (herewith attached), or single project Engineering Agreement execution date, pursuant to the startup of the projects listed in the Request for Qualifications (RFQ), may be considered for participation and/or reimbursement under this Agreement after review, determination of eligibility, and acceptance by the GRANTOR and the FAA.

Funds from the United States or the State of Illinois have been or will be tendered in connection with this Project. It is estimated that the total Project costs will be approximately $180,600.00 of which will be obligated by the State and paid directly to the GRANTEE in the following funding breakdown:

100.00% Federal $180,600.00 % State $ % Local (Grantee) $

The amount of $623,642.50 will be obligated and paid by the State of Illinois to the lowest bid contractor

per the IDOT Letting process in the following funding breakdown:

95.00% Federal $588,382.64 2.50% State $17,629.93 2.50% Local (Grantee) $17,629.93

For documentation purposes only, the amount of approximately $1,000.00, based on timesheets, will be

collected as an administrative fee by the GRANTOR from the Federal Grant. Contingency in the total amount of $ has been added to this project in the following funding

breakdown:

% Federal $ % State $ % Local (Grantee) $

All Parties specifically agree that they shall pay the above defined percentages of all project costs. In

addition, the GRANTEE shall pay such additional project costs which exceed the sum of the GRANTOR’s funds and the Federal funds, as are herein committed for this Project.

In accordance with 49 USC § 47111, the GRANTOR will not make payments totaling more than 90% of the project cost until all conditions necessary for financial closeout of the project are satisfied.

The GRANTOR hereby agrees to participate as stated above to the extent allowed under Sections 34 and 34a of the Illinois Aeronautics Act (620 ILCS 5/34 & 34a).


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Payments to the Contractor or Consulting Engineer shall be made either by the GRANTOR or GRANTEE in

accordance with the provisions and requirements of the contract entered into by the Contractor or Consulting Engineer for this project. Whenever such payments are made directly to the GRANTEE, the GRANTEE must pay the consultant within five (5) business days upon receipt of said payment. If the GRANTEE fails to pay the consultant as directed herein, such payment must be returned to the GRANTOR, unless an extension or other arrangement is approved, in writing, by the GRANTOR.

Following the Project Completion Date and the GRANTOR's financial closure of the project, the GRANTOR shall credit or reimburse to the GRANTEE any excess funds provided by the GRANTEE. The Project Status Report is the schedule of anticipated Project costs per the Budget requirement of Article VI.


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EXHIBIT D

CONTACT INFORMATION

CONTACT FOR NOTIFICATION: Unless specified elsewhere, all notices required or desired to be sent by either Party shall be sent to the persons listed below.

GRANTOR CONTACT

Name: Ms. Linda Schumm

Title: Bureau Chief of Administrative Services

Address: #1 Langhorne Bond Dr., Springfield, IL 62707

Phone: (217) 785‐4215

TTY#:

Fax#: (217) 785‐4533

E‐mail Address: [email protected]

GRANTEE CONTACT

Name: Matt Heckman

Title: City Administrator

Address: 121 W 2nd St, Dixon, IL 61021

Phone: 815‐288‐7474

TTY#:

Fax#:

E‐mail Address: [email protected]

Additional Information: None Identified


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State of Illinois


EXHIBIT E

PERFORMANCE MEASURES

Key Performance Measures under the AIP: AIP provides funding to airports for infrastructure improvements such as safety, security and capacity projects.

• Eliminate airport conditions that cause aircraft accidents and security breaches. • Reduce the number of people exposed to high levels of noise. • Maintain airfield pavement in fair or better condition. • Updated measures as issued by the FAA. The GRANTEE will submit to the GRANTOR a complete and detailed final invoice with applicable

supporting documentation of all incurred costs, less previous payments, no later than twelve (12) months from the date of completion of this phase of the improvement or from the date of the previous invoice, which ever occurs first. If a final invoice is not received within this time frame, the most recent invoice may be considered the final invoice and the obligation of the funds closed.

The GRANTEE shall provide the final report to the appropriate GRANTOR within twelve (12) months of the

physical completion date of the project so that the report may be audited and approved for payment. If the deadline cannot be met, a written explanation must be provided to the district prior to the end of the twelve months documenting the reason and the new anticipated date of completion. If the extended deadline is not met, this process must be repeated until the project is closed. Failure to follow this process may result in the immediate close‐out of the project and loss of further funding.

For Federally Funded Projects: The GRANTOR is to comply with FAA Order 5100.38D or most current

publication of the Airport Improvement Handbook as well as all current Airport Sponsor Grant Assurances. In accordance with AIP Sponsor Guide – 1500 , drawdowns of federal funds are to be done in a reasonable timeframe; prolonged inactivity (i.e., 12 months) may establish sufficient cause for the FAA to recover the unused funds by unilaterally closing the grant. As stated in the guidelines, inacitivy of open grants may also jeopordize future federal projects.

For State‐Let Projects: The GRANTEE is to remit payments to the GRANTOR in a timely manner as required under

Payment Methods A, B, or C in Exhibit C. Failure to remit the payment(s), shall allow the GRANTOR to internally

offset, reduce, or deduct the arrearage from any payment or reimbursement due or about to become due and

payable from the GRANTOR to GRANTEE on this or any other contract. The STATE, at its sole option, upon notice

to the GRANTEE, may place the debt into the Illinois Comptroller’s Offset System (15 ILCS 405/10.05) or take such

other and further action as my be required to recover the debt.


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EXHIBIT F

PERFORMANCE STANDARDS

The current versions of the AIP Handbook and AIP Sponsor Guide, as approved by FAA at the time this Agreement is executed, are incorporated by reference.

Performance standards are contained in the resulting GRANTOR or GRANTEE Contract(s) or Engineering Agreement, whichever is applicable for the project. These performance standards include labor, materials, and other specifications and special provisions applicable to the individual Project(s) subject to the granted funds described herein.


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EXHIBIT G

SPECIFIC CONDITIONS

Grantor may remove (or reduce) a Specific Condition included in this Exhibit G by providing written notice to the Grantee, in accordance with established procedures for removing a Specific Condition. FISCAL AND ADMINISTRATIVE RISKS: I. Financial and Regulatory Reporting (2 CFR 200.327) Conditions: Log indicating report submittal due dates and actual report submittal dates with explanation if late. Undertake all steps to adhere to GAAP, supply the Grantor contact with a plan for said steps, and restate all financial statements as necessary for the given fiscal year. Corrective Action: Grantee shall provide all required reports on‐time and without error. In addition, the Grantee shall implement performance measures that tie to financial data if not currently in place. Condition may be removed upon request after one year. II. Cost Principles (2 CFR 200.400) Conditions: Grantee shall request prior approval from Grantor contact for any costs that deviate from approved budget before any expense is incurred. Corrective Action: Implementation of additional controls for reviewing and approval of expenditures. Condition may be removed upon request after one year from the implementation of additional controls. III. Procurement Standards (2 CFR 200.317‐326) Conditions: Grantee shall request prior approval from Grantor contact for any costs that deviate from approved budget before any expense is incurred. Corrective Action: Implementation of corrective action including new or enhanced controls over procurements of activities. Conditions may be removed upon request after one year from the implementation of corrective action. IV. Fraud, Waste and Abuse Conditions: Grantee shall develop/update their Fraud awareness program and submit the written program to Grantor contact for approval. Upon approval from Grantor contact, the Grantee shall begin implementation of the program within 30 days. Corrective Action: Implementation of a fraud awareness program including information on how to report fraud, waste and abuse without fear of retaliation. Condition may be removed upon request after one year from the implementation of corrective action.


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PROGRAMMATIC RISKS: I. Quality of Management System and Ability to Meet the Management Standards Conditions: Requires technical assistance in the form of required training. Corrective Action: Grantee must provide evidence that inadequate management system has been remedied. Request reconsideration in writing and provide evidence of corrective actions taken. Condition may be removed after Agency re‐examination in 6 months.


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PART TWO – THE GRANTOR‐SPECIFIC TERMS

In addition to the uniform requirements in PART ONE, the Grantor has the following additional requirements for its Grantee:

AUDIT Grantee shall permit, and shall require its contractors and auditors to permit, the Grantor, and any authorized agent of the Grantor, to inspect all work, materials, payrolls, audit working papers, and other data and records pertaining to the Project; and to audit the books, records, and accounts of the Grantee with regard to the Project. The Grantor may, at its sole discretion and at its own expense, perform a final audit of the Project. Such audit may be used for settlement of the grant and Project closeout. Grantee agrees to implement any audit findings contained in the Grantor's authorized inspection or review, final audit, the Grantee's independent audit, or as a result of any duly authorized inspection or review

ETHICS

A. Code of Conduct

1. Personal Conflict of Interest – The Grantee shall maintain a written code or standard of conduct which shall

govern the performance of its employees, officers, board members, or agents engaged in the award and

administration of contracts supported by state or federal funds. Such code shall provide that no employee,

officer, board member or agent of the Grantee may participate in the selection, award, or administration of a

contract supported by state or federal funds if a conflict of interest, real or apparent would be involved. Such

a conflict would arise when any of the parties set forth below has a financial or other interest in the firm

selected for award:

a. the employee, officer, board member, or agent;

b. any member of his or her immediate family;

c. his or her partner; or

d. an organization which employs, or is about to employ, any of the above.

The conflict of interest restriction for former employees, officers, board members and agents shall apply for

one year.

The code shall also provide that Grantee's employees, officers, board members, or agents shall neither solicit

nor accept gratuities, favors or anything of monetary value from contractors, potential contractors, or parties

to subcontracts. The Grantor may waive the prohibition contained in this subsection, provided that any such

present employee, officer, board member, or agent shall not participate in any action by the Grantee or the

locality relating to such contract, subcontract, or arrangement. The code shall also prohibit the officers,

employees, board members, or agents of the Grantee from using their positions for a purpose that constitutes

or presents the appearance of personal or organizational conflict of interest or personal gain.


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2. Organizational Conflict of Interest – The Grantee will also prevent any real or apparent organizational conflict of interest. An organizational conflict of interest exists when the nature of the work to be performed under a proposed third party contract or subcontract may, without some restriction on future activities, result in an unfair competitive advantage to the third party contractor or Grantee or impair the objectivity in performing the contract work.

DISPUTE RESOLUTION

In the event of a dispute in the interpretation of the provisions of this Agreement, such dispute shall be

settled through negotiations between the Grantor and the Grantee. In the event that agreement is not

consummated at this negotiation level, the dispute will then be referred through proper administrative

channels for a decision and ultimately, if necessary, to the Secretary of the Illinois Department of

Transportation. The Grantor shall decide all claims, questions and disputes which are referred to it regarding

the interpretation, prosecution and fulfillment of this Agreement. The Grantor's decision upon all claims,

questions and disputes shall be final and conclusive.

Procurement Procedures/Employment of Grantor Personnel

1. Procurement of Goods or Services ‐ Federal Funds ‐ For purchases of products or services with any

Federal funds that costs more than $10,000.00 but less than the simplified acquisition threshold fixed at

41 USC 134 (currently set at $250,000) the Grantee shall obtain price or rate quotations from an adequate

number (no less than three (3)) of qualified sources. Procurement of products or services with any Federal

funds for $250,000 or more will require the Grantee to use the Invitation for Bid process or the Request

for Proposal process. In the absence of formal codified procedures of the Grantee, the procedures of the

Grantor will be used. The Grantee may only procure products or services from one source with any

Federal funds if: (1) the products or services are available only from a single source; or (2) the Grantor

authorizes such a procedure; or (3) the Grantor determines competition is inadequate after solicitation

from a number of sources.

For Micro‐Purchase (2 C.F.R. 200.67) Procurement of Goods or Services with Federal Funds: where the aggregate amount does not exceed the micro‐purchase threshold currently set at $10,000 (or $2,000 if the procurement is construction and subject to Davis‐Bacon), to the extent practicable, the Grantee must distribute micro‐purchases equitably among qualified suppliers. Micro‐purchases may be awarded without soliciting competitive quotations if the Grantee considers the price to be reasonable. The micro‐purchase threshold is set by the Federal Acquisition Regulation at 48 C.F.R. Subpart 2.1

2. Procurement of Goods or Services – State Funds ‐‐ For purchases of products or services with any State of

Illinois funds that cost more than $20,000.00, ($10,000.00 for professional and artistic services) but less

than the small purchase amount set by the Illinois Procurement Code Rules, (currently set at $100,000.00

and $100,000.00 for professional and artistic services) the Grantee shall obtain price or rate quotations

from an adequate number (no less than three (3)) of qualified sources. Procurement of products or

services with any State of Illinois funds for $50,000.00 or more for goods and services and $20,000.00 or

more for professional and artistic services) will require the Grantee to use the Invitation for Bid process or


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the Request for Proposal process. In the absence of formal codified procedures of the Grantee, the

procedures of the Grantor will be used. The Grantee may only procure products or services from one

source with any State of Illinois funds if: (1) the products or services are available only from a single

source; or (2) the Grantor authorizes such a procedure; or, (3) the Grantor determines competition is

inadequate after solicitation from a number of sources.

The Grantee shall include a requirement in all contracts with third parties that the contractor or

consultant will comply with the requirements of this Agreement in performing such contract, and that the

contract is subject to the terms and conditions of this Agreement.

For Procurement of Goods or Services that cost less than $20,000.00, the Grantee shall comply with the

following procurement standards:

($1‐ $1999, no Grantor Involvement)

1. Estimate the total cost of the procurement. 2. The Grantee may choose any vendor desired.

3. Grantee may choose to award without soliciting competitive quotations if Grantee

considers the price to be reasonable.

($2,000‐ $4,999, requires Grantor approval)

1. Identify a need for goods or services.

2. Estimate the total cost of the procurement.

3. Develop specifications to solicit quotes.

4. Obtain quotes from three (3) vendors. Grantee is encouraged to use the registered small

business vendor directory (ipg.vendorreg.com).

5. Grantee’s purchasing officer shall obtain authorization from Grantor point of contact provided

on Exhibit D

6. Award to the responsive bidder with the lowest price.

($5,000‐ $9,999, requires Grantor approval)




4. Obtain quotes from three (3) vendors. Grantee is encouraged to use the registered small

business vendor directory (ipg.vendorreg.com).

5. Grantee’s purchasing officer shall obtain authorization from Grantor point of contact provided

on Exhibit D.

6. Award to the responsive bidder with the lowest price.


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($10,000‐$19,999, requires Grantor approval)



3. Identify registered small businesses in the applicable category.


4. Email ALL identified small business vendors a request for quote (ipg.vendorreg.com)

5. Prepare or submit information to Grantor’s point of contact in Exhibit D.

6. Obtain authorization from Grantor’s point of contact provided on Exhibit D.

7. All applicable forms must be approved prior to awarding the contract.

3. Employment of Grantor Personnel ‐‐ The Grantee will not employ any person or persons currently

employed by the Grantor for any work required by the terms of this Agreement.

Reporting. Grantee agrees to submit periodic financial and performance reporting on the approved IDOT

BoBS 2832 form. Grantee shall file Quarterly BoBS 2832 reports with Grantor describing the expenditure(s) of

the funds and performance measures related thereto.

The first BoBS 2832 report shall cover the first reporting period after the 11/18/19 effective date of the

Agreement. Quarterly reports must be submitted no later than 30 calendar days following the period covered

by the report.

For the purpose of reconciliation, the Grantee must submit a BoBS 2832 report for the period ending 04/30

(Grantee’s Fiscal Year End date).

A BoBS 2832 report marked as “Final Report” must be submitted to the Grantor 60 days after the end date of

the Agreement. Failure to submit the required BoBS 2832 reports may cause a delay or suspension of

funding.

Additional Reporting Requirements:

Grantee shall submit to Grantor a BoBS 2832 report for the period ending June 30 within 30 calendar days

of the end of the State Fiscal Year.

Grantee shall submit to Grantor a BoBS 2832 report for the period ending September 30 within 30

calendar days of the end of the Federal Fiscal Year.

In addition to the aforementioned reporting requirements, Grantee shall submit within 30 days a BOBS

2832 for all expenditures and project activities from the effective date of the grant up to and including the

date of execution of the grant agreement.


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State of Illinois


Renewal: This Agreement may not be renewed.

Rights and Obligations of the GRANTEE:

1. Prior to the Project Completion Date, the GRANTEE shall:

a. Execute on its own behalf, when applicable, the Application for Federal Assistance made or to be

made to the FAA, the acceptance of such Grant Offer as shall be tendered by the United States

through the FAA, and any and all amendments to such grant agreement. The GRANTOR after

approval thereof shall submit this Agreement to the FAA when applicable.

b. Employ a Consulting Engineer who is qualified to provide:

Qualified resident or project engineer(s), registered in the State of Illinois and approved

by the GRANTOR;

Materials testing technician(s) approved by the GRANTOR;

Any project reports required by the GRANTOR or the FAA; and

Compliance with the Disadvantaged Business Enterprise requirements for the Project.

c. Obtain for the benefit of the GRANTOR all federal, State, and local permits as may be necessary to

complete the Project.

Further, for each phase of Project work which is covered by separate contract, the Consulting Engineer

shall render to the GRANTOR, through the Project Coordinator, both a semifinal and final inspection

report. The final inspection report(s) shall certify to the GRANTOR and to the GRANTEE that the work

involved has been fully completed in accordance with the plans, specifications and contract(s), including

modifications or supplements by the GRANTOR the FAA through an approved change order,

supplementary contract, or otherwise. The final inspection report(s) shall also certify that the work is

acceptable to the Consulting Engineer.

Further, during the construction of the Project and prior to the Project Completion Date, the Consulting

Engineer shall report directly to the Project Coordinator and may receive from the Project Coordinator

such delegations of authority as the Project Coordinator believes to be reasonably appropriate to act and

approve routine items on behalf of the Project Coordinator and the GRANTOR.

2. The GRANTEE shall agree that it will strictly comply with all State or Federal laws, rules, regulations,

Program Guidance Letters, Grant Assurances and Covenants which are relevant to this Project, including,

but not limited to, those stated in or incorporated by reference in the federal Grant Agreement during

construction of the Project.

3. After the Project Completion Date, the GRANTEE agrees that:


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a. The airport which is the subject of this Agreement will be owned or effectively controlled,

operated, repaired and maintained adequately during its full useful life, or a period of 20 years,

whichever is longer, for the rightful, fair, equal, and uniform use and benefit of the public; and

b. It will comply with all applicable State and Federal laws, rules, regulations, procedures, covenants

and assurances required by the State of Illinois, GRANTOR, or the FAA in connection with any

funds tendered under the Act in the operation of the airport; and

c. It will file with the GRANTOR and the FAA such reports as may be requested concerning the use,

maintenance, and operation of the Airport.

4. The GRANTEE agrees to keep complete and adequate books and records in accordance with standard

accounting procedures prescribed by the GRANTOR or the FAA relating to the Project described in this

Agreement. The GRANTEE shall maintain, for a minimum of 5 years after the completion of the contract,

adequate books, records, and supporting documents to verify the amounts, receipts, and uses of all

disbursements of funds passing in conjunction with the contract; the contract and all books, records, and

supporting documents related to the contract shall be available for review and audit by the FAA, Auditor

General or the Illinois Department of Transportation/ GRANTOR; and the GRANTEE agrees to cooperate

fully with any audit conducted by the Auditor General or the Illinois Department of Transportation/

GRANTOR and to provide full access to all relevant materials. Failure to maintain the books, records, and

supporting documents required by this section shall establish a presumption in favor of the State for

recovery of any funds paid by the State under the contract for which adequate books, records, and

supporting documentation is not available to support their purported disbursement.

a. GRANTEE shall keep project accounts and records which fully disclose the amounts and

disposition of the proceeds of the grant, received by the GRANTEE.

b. The GRANTOR reserves the right for its auditors to review and audit any and all records relating

to projects funded by the GRANTOR or the FAA at the GRANTEE's office or location. Such audits

can be used to expand on the audit work already performed by the independent auditor. These

audits can also be made based on special requests from GRANTOR officials.

5. No leases will be entered into by the GRANTEE which grants exclusive use rights to any grantee for any

facilities which are the subject of this Project.

6. The GRANTEE agrees not to dispose of airport land, purchased either wholly or partially by State funds, by

sale or lease without the consent of the GRANTOR. In the event such consent is obtained, the GRANTEE

further agrees to utilize for airport development the State's share of the acquisition cost or the fair market

value of the land at the time of the sale, whichever is greater, based upon the percent of participation by

the State in the original purchase. The proceeds from the sale of airport land which has had State

participation shall be reserved and expended on items of work which would be normally eligible for State

participation. Toward this end, the GRANTEE shall include a provision in each instrument recorded for


Agreement No._22‐0327/2800‐30796____

State of Illinois


every interest in land acquired or for which reimbursement is made under this Agreement which reads as

follows:

The property interest of the GRANTEE in this real estate cannot be transferred without the written

approval of the Illinois Department of Transportation, Division of Aeronautics. Further, in the event any

such interest is no longer used for an approved airport purpose without the written approval of the

Department that interest shall revert to a public airport entity appointed by the Department.

7. The GRANTEE covenants to zone (within its powers to do so) the Airport and its environs for compatible

land use. The GRANTEE shall adopt airport hazard zoning regulations or shall request the GRANTOR to

adopt airport hazard zoning under Section 17 of the Airport Zoning Act, (620 ILCS 25/17).

8. Land acquired or for which reimbursement is made under this Agreement which is farmed shall conform

to the GRANTOR's guidelines for the development of a farming plan and shall comply with the erosion

sediment control program and standards as developed by the Illinois Department of Agriculture or

pertinent standards promulgated by a soil and water conservation district pursuant to Sections 36 and 38

of the Illinois Soil and Water Conservation District Act (70 ILCS 405/36 & 38).

9. The GRANTEE hereby certifies to the GRANTOR that it has acquired, in its name prior to construction, clear

title in fee simple to all real estate upon which construction work is to be performed and a sufficient

interest (by easement or otherwise) in any other real estate which may be affected by the construction

process.

10. All commitments by the GRANTEE hereunder are subject to constitutional and statutory limitations and

restrictions binding upon it.

The GRANTEE shall comply with all of the attached assurances, federal regulations, and laws, as shall

apply to the Project, which are hereby incorporated into this Agreement by reference.

Additional requirements as permitted under PART ONE:

1. The applicable FAA cash management system is completed by drawing down federal grant funds by using

the Delphi eInvoicing system. See Sec. 4.3.

2. This agreement is exempt from the Grants Funds Recovery Act, 30 ILCS 705/3. If applicable, interest on

grant funds shall be handled as stated under Sec. 4.6.

3. Billing schedule is based on progress payment schedule set forth in the contract. GRANTOR will receive

invoices as work is completed from the GRANTEE. See Sec. 4.7.

4. Scope of activities/Purpose of Grant is included in Exhibit A (Project Description) and Exhibit B

(Deliverables) and through the GRANTOR/GRANTEE’s Project contract. See Sec. 5.1.

5. Monitoring and Access to Information are subject to Federal requirements including, but not limited to,

FAA and USDOT. See Sec. 12.4.


Agreement No._22‐0327/2800‐30796____

State of Illinois


6. Annual Financial Reports are exempt under this agreement. See 13.3(a).

7. Required Periodic Performance Reports are listed in Exhibit E as specified. See Sec. 14.1.

8. Content of Performance Reports will be in accordance with State and Federal requirements as stated in

Exhibit E and the Project contract. See Sec. 14.3.

9. GRANTEE may be self‐insured so long as sufficient funds exist to cover replacement costs set forth in Sec.

24.1. Insurance coverage by the vendor or contractor may be required by the Project contract.

10. USDOT and/or FAA required provisions are incorporated by applicable reference in Exhibit G.

11. In addition to Article III, the following definitions are applicable:

“Agreement” means this Inter‐Governmental Agreement.

“AIP” means the FAA Grants‐in‐Aid for Airports; Airport Improvement Program.

“AIP Handbook” means FAA Order 5300‐38D (or most current publication of the Airport Improvement

Program Handbook). The AIP Handbook provides guidance and sets forth the policies and procedures of

the Airport Improvement Program (AIP).

“AIP Sponsor Guide” means the FAA supplemental guidance for Central Region airport owners and their

consultants with obtaining and administering an AIP grant available at

http://www.faa.gov/airports/central/aip/sponsor_guide/.

"Airport" and "facility" as used herein mean the air navigation, take‐off areas, landing areas, taxiways,

and all similar areas of the Municipality's property used for the purpose of air transportation, including

but not limited to all areas of the Municipality's property where improvements have been previously

made and funded in whole or in part with funds provided by the Department or the FAA.

"Consulting Engineer" as used herein mean a person, firm, corporation or entity employed by the

Municipality, by a contract approved by the Department or the FAA in connection with this Project, who

is prequalified in accordance with the Department's procedures and whose resident or project

engineer(s) assigned to the Project are registered in the State of Illinois.

"Contractor" as used herein shall mean a person, firm, corporation, or entity employed by the

Municipality, by a contract approved by the Department or the FAA, to complete this Project.

“FAA” means the Federal Aviation Administration.

“Notice‐to‐Proceed date” for the project considered under this Agreement is the date of the IDOT

Program Letter (herewith attached) in which the Sponsor is notified of the project’s inclusion in the

state’s multi‐modal program thereby allowing all costs incurred after that date considered eligible for

participation subject to review and approval by the Department.

"Project" as used herein means this project which shall be identified as Illinois Project Number C73‐4876,

State Block Grant Number(s) 3‐17‐SBGP‐139 N, 3‐17‐SBGP‐144 N, 3‐17‐SBGP‐144 A, 3‐17‐SBGP‐171 N,

and described in Exhibit A and PART THREE.

“USDOT” means the United States Department of Transportation.

Disadvantaged Business Enterprise (DBE) ‐ To the extent required by federal law, regulation, or directive, the

GRANTOR encourages all of its grantees to make a good‐faith effort to contract with DBEs. GRANTEES agree to

facilitate participation of Disadvantaged Business Enterprises (DBE) as follows:


Agreement No._22‐0327/2800‐30796____

State of Illinois


1. The GRANTEE agrees to comply with Section 1101(b) of the FAST‐ACT, and USDOT regulations,

“Participation by Disadvantaged Business Enterprises in Department of Transportation Financial Assistance

Programs,” 49 CFR Part 26, including any amendments thereto.

2. The GRANTEE shall not discriminate on the basis of race, color, national origin, or sex in the award and

performance of any USDOT‐assisted contract or in the administration of its DBE program or the

requirements 49 CFR Part 26. The GRANTEE shall take all necessary and reasonable steps under 49 CFR

Part 26 to ensure nondiscrimination in the award and administration of USDOT‐assisted contracts. The

recipient's DBE program, as required by 49 CFR Part 26 and as approved by USDOT, is incorporated by

reference in this agreement. Implementation of this program is a legal obligation and failure to carry out

its terms shall be treated as a violation of this agreement. Upon notification to the GRANTEE of its failure

to carry out its approved program, the USDOT may impose sanctions as provided for under 49 CFR Part 26

and may, in appropriate cases, refer the matter for enforcement under 18 U.S.C. 1001 and/or the Program

Fraud Civil Remedies Act of 1986 (31 U.S.C. 3801 et seq.).

3. Each contract signed with a contractor (and each subcontract the prime contractor subcontractor) must

include the following assurance:

a. The contractor, sub recipient or subcontractor shall not discriminate on the basis of race, color,

national origin, or sex in the performance of this contract. The contractor shall carry out

applicable requirements of 49 CFR Part 26 in the award and administration of USDOT‐assisted

contracts. Failure by the contractor to carry out these requirements is a material breach of this

contract, which may result in the termination of this contract or such other remedy as the

recipient, deems appropriate, which may include, but is not limited to:

(1) Withholding monthly progress payments;

(2) Assessing sanctions;

(3) Liquidated damages; and/or

(4) Disqualifying the contractor from future bidding as non‐responsible.

b. For contracts let by the GRANTEE: The prime contractor agrees to pay each subcontractor under

this prime contract for satisfactory performance of its contract no later than 30 days from the

receipt of each payment the prime contractor receives. The prime contractor agrees further to

return retainage payments to each subcontractor within 30 days after the subcontractor’s work is

satisfactorily completed. Any delay or postponement of payment from the above referenced

time frame may occur only for good cause following written approval of the awarding agency.

(Note: If the project is let by IDOT, this section does not apply.)


Agreement No._22‐0327/2800‐30796____

State of Illinois


PART THREE – THE PROJECT‐SPECIFIC TERMS

In addition to the uniform requirements in PART ONE and the Grantor‐Specific Terms in PART TWO, the Grantor has the following additional requirements for this Project: The Project Description is included in Exhibit A.

In accordance with, 2 CFR Part 200, Subpart F, Audit Requirements, such non‐federal entities that expend $750,000.00 or more in Federal awards in a year are required to have a single audit performed. The Grantor is required by federal law to obtain and review the single audit of all entities that had any federally participating funds pass through it, irrespective of the amount provided by the Grantor. It is the responsibility of the Grantor expending federal funds to comply with the requirements of 2 CFR Part 200 and determine whether they are required to have a single audit performed.


As of 29 Nov 2021 07:24C73-4876-0000 Project Status ReportState Num: 2021Program Year: Exhibit 1

DIXON MUNICIPAL AIRPORT

Lighting/NAVAIDS - Install Taxiway Lighting to Replace Reflective Markers

Airport:

Description:

PendingFed Status: PendingState Status:

3-17-SBGP-139 N, 3-17-SBGP-144 N, 3-17-SBGP-144 A, 3-17-SBGP-171 NFederal Num:

Line Item Status

Num Total Federal LocalState Pd to Date BalanceDescription

Construction - J F Edwards ConstructionAs-bid (07/30/2021 letting)

588,382.64623,642.50 17,629.9317,629.93 623,642.500.001

Administrative - Treas, St of IL 1,000.001,000.00 0.000.00 1,000.000.005

Eng. Design - Costs Incurred - City of Dixon*CMT CPFF Design

69,000.0069,000.00 0.000.00 69,000.000.002

Eng. Construction - Costs Incurred - City of Dixon*CMT CPFF Inspection

107,800.00107,800.00 0.000.00 107,800.000.003

Special Services-Costs Incurred - City of Dixon*CMT CPFF Environmental

3,800.003,800.00 0.000.00 3,800.000.004

769,982.64805,242.50 17,629.9317,629.93 805,242.500.00T O T A L E L I G I B L E C O S T S

Reserves (+) / shortfalls (-)

T O T A L A P P R O V E D F U N D I N G

0.000.00 0.000.00 0.00

769,982.64805,242.50 17,629.9317,629.93 805,242.500.00

0.00

Funding Summary

Amend Num Description Total Federal LocalState

As-Bid 769,982.64805,242.50 17,629.9317,629.93

T O T A L A P P R O V E D F U N D I N G 769,982.64805,242.50 17,629.9317,629.93

Program budget (for information only) 1,256,988.001,286,652.00 14,832.0014,832.00


As of 29 Nov 2021 07:24C73-4876-0000 Project Status ReportState Num: 2021Program Year: Exhibit 1


Lighting/NAVAIDS - Install Taxiway Lighting to Replace Reflective Markers

Airport:

Description:

PendingFed Status: PendingState Status:

3-17-SBGP-139 N, 3-17-SBGP-144 N, 3-17-SBGP-144 A, 3-17-SBGP-171 NFederal Num:

Project Receipts And Expenditures

Total Federal State Local Letter of Credit

Cash rec'd or credited net of refunds and derel. 0.00 0.00 0.00 0.00

Net cash paid or credited 0.00 0.00 0.00 0.00

Balance of cash or credit 0.00 0.00 0.00 0.00

769,982.64

0.00

769,982.64

Accrual Status

Total Federal State Local

769,982.64805,242.50 17,629.9317,629.93Total eligible costs

Cash rec'd or credited net of refunds and derel.

Accrual position payables (+) / receivables (-) -769,982.64-805,242.50 -17,629.93-17,629.93

0.00 0.00 0.00 0.00


State of Illinois

UNIFORM CAPITAL BUDGET TEMPLATE

State Agency: Transportation - Aeronautics Organization Name: City of Dixon Notice of Funding Data U niversal Num-be�r�S_ y_s -te-m -(D_U_ N_S _) N -um-be_ r _ ( _e -nt_e _r _n -um-be_ r_s _o_n _

ly _ ) _: _ 0_ 8_2 _04_6_1_9 _4

______ Opportunity (NOFO ) Number: ________ ___ _

I CSFA Short Description:IAirport Improvement Program Catalog of State Financial Assistance (CSFA ) Number:I494-60-0327/2800 Section A: State of Illinois Funds Fiscal Year : 07/01/2021 I REVENUES Total Revenue

State of Illinois Grant Requested $ 786,612.57

Budget ExRenditure Categories 0MB Uniform Guidance

Total Expenditures Federal Awards Reference 2 CFR 200

1. Design/Engineering $ 72,800.00 2. Building/Land Purchase $

3. Equipment/Materials/Labor $

4. Equipment $

5. Wiring/Electrical $

6. Mechanical System $

7. Paving/Concrete/Masonry $

8. Plumbing $

9. Construction Management/Oversight $ 107,800.00 10. Construction $ 606,012.57 11. Other Construction Expenses $

12. Excavation/Site Prep/Demo $

13. Site Work $

14. Demolition and Removal $

15. Contingency $

16. Grant Exclusive Line ltem(s )17. Total Direct Costs (add lines 1-16 ) $ 786,612.57 18. Total Indirect Costs $

Rate%: I

Base: I Instructions 19. Total Costs State Grant Funds found at end of

(Lines 17 and 18 ) $ 786,612.57 document. MUST EQUAL REVENUE TOTALS ABOVE

Page 5 of 28


/2800


State of Illinois


FFATA Data Collection Form (if needed by agency)

Under FFATA, all sub-recipients who receive $30,000 or more must provide the following information for federal reporting. Please fill out the following form accurately and completely. 4-digit extension if applicable:

Sub-recipient DUNS: 082046194 Sub-recipient Parent Company DUNS: Sub-recipient Name: City of Dixon

Sub-recipient OBA Name:

Sub-recipient Street Address: 121 W 2nd St. City: Dixon State: IL I Zip-Code: 61021 I Congressional District: 16 Sub-recipient Principal Place of Performance: 121 W 2nd St. City: Dixon State: IL I Zip-Code: 61021 I ConQressional District: 16 Contract Number (if known): Award Amount: Project Period: To:

C73-4876 $ 786,612.57

Project Period:

From: Nov. 18, 2019 Jul 20,2025 State of Illinois Awarding Agency and Project Detail Description:

IL Department of Transportation - Aeronautics: Install Taxiway LiQhting to Replace Reflective Markers Under certain circumstances, sub-recipient must provide names and total compensation of its top 5 highly compensated officials. Please answer the following questions and follow the instructions.

Q1. In your business or organization's previous fiscal year, did your business or organization (including parent organization, all branches and affiliates worldwide) receive (1) 80% or more of your annual gross revenues in U.S. federal contracts, subcontracts, loans, grants, subgrants and/or cooperative agreements and (2) $25,000,000 or more in annual gross revenue from U.S. federal contracts, subcontracts, loans, grants, subgrants and/or cooperative agreements?

Yes □ If Yes, must answer Q2 below. No IZ! If No, you are not required to provide data. Q2. Does the public have access to information about the compensation of the senior executives in your business or organization (including parent organization, all branches and all affiliates worldwide) through periodic reports filed under section 13(a) or 15(d) of the Security Exchange Act of 1934 (5 U.S.C. 78m(a), 78o(d)) or section6104 of the Internal Revenue code of 1986 (i.e., on IRS Form 990)?

Yes IZI No 0 If No, you must provide the data. Please fill out the rest of this form. Please provide names and total compensation of the top five officials:

Name: Amount: Name: Amount: Name: Amount: Name: Amount: Name: Amount:

Page 9 of 28


For State Use Only

Grantee: City of Dixon

State of Illinois


Notice of Funding Opportunity (NOFO) Number: Data Universal Number System (DUNS) Number (enter numbers only): 08204 6194 ------------

0-Catalog of State Financial Assistance (CSFA) Number:�I4 _9 4_- 6_ _ 0_3 _2 _7 /2800_ �1 CSFA Short Description:IAirport ImprovementProgram Fiscal Year(s):

Initial Budget Request Amount:

Prior Written Approval for Expense Line Item:

Statutory Limits or Restrictions:

Checklist:

Final Budget Amount Approved: $ 786,612..57

Program Approval Name Program Approval Signature Date

Fiscal & Administrative Approval Name Fiscal & Administrative Approval Signature Date

Budget Revision Approved:

Program Approval Name Program Approval Signature Date

Fiscal & Administrative Approval Signature Fiscal & Administrative Approval Signature Date

§200.308 Revision of budget and program plans(e) The Federal/State awarding agency may, at its option, restrict the transfer of funds among direct cost categories or programs, functions and activities for Federal/State awards in which the Federal/State share of the project exceeds the Simplified Acquisition Threshold and the cumulative amount of such transfers exceeds or is expected to exceed 10 percent or $1,000 per detail line item, whichever is greater of the total budget as last approved by the Federal/State awarding agency. The Federal/State awarding agency cannot permit a transfer that would cause any Federal/State appropriation to be used for purposes other than those consistent with the appropriation.

Page 28 of28

12/8/21Richard A. Borus

$804,242.50

FY22


August 9, 2020 Mr. Matt Heckman Dixon City Hall 121 West 2nd Street Dixon, IL 61021 Mr. Heckman, The Illinois Department of Transportation’s Airport Improvement Program provides funding for projects at airports throughout the state to ensure the continuation of safe and efficient operations at these facilities and maximize opportunities for economic development in Illinois. The project detailed herein was selected for your airport based on project requests submitted to the Department during the Transportation Improvement Program (TIP) meetings. This IDOT FY- 2021 Airport Improvement Program is based on Federal Aviation Administration (FAA) funding levels established in federal legislation which provide for a minimum of $1 million in entitlement funds for primary airports and a maximum of $150,000 entitlement funds for non-primary airports. Federal legislation calls for a maximum 90% federal participation. As such, the state and local match will be 5% each for all projects which are eligible for state funding. All other federal projects which are not eligible for state funds will require a minimum 10% local match. Funding for the Illinois Airport Improvement Program is dependent upon receipt of Federal funds and legislative authorization of state appropriations. In addition, proposed development and land acquisition must be shown on an approved ALP, have cleared environmental processing, and the land already acquired or have a signed purchase agreement. For projects seeking Federal Discretionary Funds projects, these requirements must be completed, and evidence of completion provided to Aeronautics by October 1, 2020, before a project can be considered for funding. The Department and the Airport Sponsor hereby specifically agree that they shall pay the above defined percentages of all project costs. In addition, the GRANTEE shall pay such additional project costs which exceed the sum of the GRANTOR’s funds and the Federal funds, as are herein committed for this Project. In the event your project exceeds these budget totals, the Sponsor may elect to pay any additional project costs which exceed the total sum of state and federal funds as planned and programmed to complete the project. If additional funds are deemed necessary post award, an amendment to the Agency Agreement with the Department must be developed and approved by the Department and the FAA before any additional funding may be allocated.


Dixon Municipal Airport August 9, 2020 Page 2 In the event the Illinois General Assembly fails to appropriate funds, or sufficient funds are otherwise not made available for these projects, the Airport Sponsor will be required to pay the state and local costs as itemized below. This will include any amount which exceeds the totals listed. Projects were selected based on the FAA’s National Priority System as well as other state and local priorities. The Department has programmed the following project to be included in the IDOT FY 2021 Proposed Airport Improvement Program for your airport:

The project “Install Taxiway Lighting - Install taxiway lighting to replace reflective markers” will be funded as follows:

Federal Non-Primary Discretionary Funds $741,000 Federal Non-Primary Entitlement Funds $150,000 State Match $49,500 Local Match $49,500 Total Project Cost $990,000

* If this project is seeking AIP Federal Discretionary Funds from the Federal Aviation Administration (FAA) until such time the funds are received by the Department this project is not guaranteed.

The Office of Intermodal Project Implementation (Aeronautics) letting schedule for construction projects must be strictly followed to ensure projects are advertised and brought to letting in an organized manner. The letting schedule allows for 30 weeks to develop a project from the date of the pre-design meeting to the letting. To ensure eligibility of professional services for state and federal funding participation, you are required to satisfy the qualifications based selection process and enter into a retainer agreement, or professional services A/E agreement with the consultant of record selected for the project prior to any costs being incurred. This should take place prior to the project initiation/pre-design meeting. Aeronautics will facilitate this process, as well as the initial development and review of fees. The project contained in this letter is officially programmed for development provided all state and federal requirements have been met. It is now the Airport Sponsor's responsibility to initiate the professional services phase of the project. Please contact Aeronautics, either directly or through your consultant, to schedule a project initiation meeting. Please contact Mr. Alan Mlacnik, P.E. – Bureau Chief of Airport Engineering at 217.785.4884 to initiate this project. Please initiate this project within 12 months of the date of this letter or this project will no longer be considered programmed. Projects are initiated by scheduling a predesign meeting for design/construction projects or a project initiation meeting for planning and environmental projects.


Dixon Municipal Airport August 9, 2020 Page 3 Please contact me in the Office of Planning and Programming at 217.782.4118 or Richard Borus in Aeronautics at 217.785.0056 if you have questions regarding this program letter.

BJ Murray Section Chief, Aviation Program Planning

Office of Planning and Programming

Sincerely,


Certification for Contracts, Grants, Loans, and Cooperative Agreements

(2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, ''Disclosure of Lobbying Activities,'' in accordance with its instructions.

(3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify 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 transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.

If any funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this commitment providing for the United States to insure or guarantee a loan, the undersigned shall complete and submit Standard Form-LLL, ''Disclosure of Lobbying Activities,'' in accordance with its instructions. Submission of this statement is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required statement shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.

* APPLICANT'S ORGANIZATION

* SIGNATURE: * DATE:

* PRINTED NAME AND TITLE OF AUTHORIZED REPRESENTATIVE

Suffix:

Middle Name:

* Title:

* First Name:

* Last Name:

Prefix:

CERTIFICATION REGARDING LOBBYING

(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of an agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement.

The undersigned certifies, to the best of his or her knowledge and belief, that:

Statement for Loan Guarantees and Loan Insurance

The undersigned states, to the best of his or her knowledge and belief, that:


FAA Form 5100-129

U.S. Department of Transportation Federal Aviation Administration

FAA Form 5100-129, Construction Project Final Acceptance – Airport Improvement Program Sponsor Certification

Paperwork Reduction Act Burden Statement A federal agency may not conduct or sponsor, and a person is not required to respond to, nor shall a person be subject to a penalty for failure to comply with a collection of information subject to the requirements of the Paperwork Reduction Act unless that collection of information displays a currently valid OMB Control Number. The OMB Control Number for this information collection is 2120-0569. Public reporting for this collection of information is estimated to be approximately 8 hours per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, completing and reviewing the collection of information. All responses to this collection of information are required under 49 U.S.C. Section 47105 to retain a benefit and to meet the reporting requirements of 2 CFR 200. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden to the Federal Aviation Administration at: 800 Independence Ave. SW, Washington, DC 20591, Attn: Information Collection Clearance Officer, ASP-110.


FAA Form 5100-129 (1/17) SUPERSEDES PREVIOUS EDITION page 1 of 3


OMB CONTROL NUMBER: 2120-0569 EXPIRATION DATE: 8/31/2019

Construction Project Final Acceptance Airport Improvement Program Sponsor Certification

Sponsor:

Airport:

Project Number:

Description of Work:

Application 49 USC § 47105(d), authorizes the Secretary to require me certification from the sponsor that it will comply with the statutory and administrative requirements in carrying out a project under the Airport Improvement Program. General standards for final acceptance and close out of federally funded construction projects are in 2 CFR § 200.343 – Closeout and supplemented by FAA Order 5100.38. The sponsor must determine that project costs are accurate and proper in accordance with specific requirements of the grant agreement and contract documents.

Certification Statements Except for certification statements below marked not applicable (N/A), this list includes major requirements of the construction project. Selecting “Yes” represents sponsor acknowledgment and confirmation of the certification statement. The term “will” means Sponsor action taken at appropriate time based on the certification statement focus area, but no later than the end of the project period of performance. This list is not comprehensive and does not relieve the sponsor from fully complying with all applicable statutory and administrative standards. The source of the requirement is referenced within parenthesis.

1. The personnel engaged in project administration, engineering supervision, project inspection, andacceptance testing were or will be determined to be qualified and competent to perform the work(Grant Assurance).

Yes No N/A 2. Construction records, including daily logs, were or will be kept by the resident

engineer/construction inspector that fully document contractor’s performance in complying with:

a. Technical standards (Advisory Circular (AC) 150/5370-12);b. Contract requirements (2 CFR part 200 and FAA Order 5100.38); andc. Construction safety and phasing plan measures (AC 150/5370-2).

Yes No N/A3. All acceptance tests specified in the project specifications were or will be performed and

documented. (AC 150/5370-12).

Yes No N/A



C73-4876


CITY OF DIXON


4. Sponsor has taken or will take appropriate corrective action for any test result outside ofallowable tolerances (AC 150/5370-12).

Yes No N/A 5. Pay reduction factors required by the specifications were applied or will be applied in computing

final payments with a summary made available to the FAA (AC 150/5370-10).

Yes No N/A 6. Sponsor has notified, or will promptly notify the Federal Aviation Administration (FAA) of the

following occurrences:

a. Violations of any federal requirements set forth or included by reference in the contractdocuments (2 CFR part 200);

b. Disputes or complaints concerning federal labor standards (29 CFR part 5); andc. Violations of or complaints addressing conformance with Equal Employment Opportunity or

Disadvantaged Business Enterprise requirements (41 CFR Chapter 60 and 49 CFR part 26).

Yes No N/A7. Weekly payroll records and statements of compliance were or will be submitted by the prime

contractor and reviewed by the sponsor for conformance with federal labor and civil rightsrequirements as required by FAA and U.S. Department of Labor (29 CFR Part 5).

Yes No N/A 8. Payments to the contractor were or will be made in conformance with federal requirements and

contract provisions using sponsor internal controls that include:

a. Retaining source documentation of payments and verifying contractor billing statementsagainst actual performance (2 CFR § 200.302 and FAA Order 5100.38);

b. Prompt payment of subcontractors for satisfactory performance of work (49 CFR § 26.29);c. Release of applicable retainage upon satisfactory performance of work (49 CFR § 26.29);

andd. Verification that payments to DBEs represent work the DBE performed by carrying out a

commercially useful function (49 CFR §26.55).Yes No N/A

9. A final project inspection was or will be conducted with representatives of the sponsor and thecontractor present that ensure:

a. Physical completion of project work in conformance with approved plans and specifications(Order 5100.38);

b. Necessary actions to correct punch list items identified during final inspection are complete(Order 5100.38); and

c. Preparation of a record of final inspection and distribution to parties to the contract(Order 5100.38);Yes No N/A

10. The project was or will be accomplished without material deviations, changes, or modificationsfrom approved plans and specifications, except as approved by the FAA (Order 5100.38).

Yes No N/A



Yes No N/A 12. For development projects, sponsor has taken or will take the following close-out actions:

a. Submit to the FAA a final test and quality assurance report summarizing acceptance testresults, as applicable (Grant Condition);

b. Complete all environmental requirements as established within the project environmentaldetermination (Oder 5100.38); and

c. Prepare and retain as-built plans (Order 5100.38).

Yes No N/A13. Sponsor has revised or will revise their airport layout plan (ALP) that reflects improvements made

and has submitted or will submit an updated ALP to the FAA no later than 90 days from theperiod of performance end date. (49 USC § 47107 and Order 5100.38).

Yes No N/A Attach documentation clarifying any above item marked with “No” response.

Sponsor’s Certification

I certify, for the project identified herein, responses to the forgoing items are accurate as marked and additional documentation for any item marked “no” is correct and complete.

Executed on this day of , .

Name of Sponsor:

Name of Sponsor’s Authorized Official:

Title of Sponsor’s Authorized Official:

Signature of Sponsor’s Authorized Official:

I declare under penalty of perjury that the foregoing is true and correct. I understand that knowingly and willfully providing false information to the federal government is a violation of 18 USC § 1001 (False Statements) and could subject me to fines, imprisonment, or both.

11. The construction of all buildings have complied or will comply with the seismic constructionrequirements of 49 CFR § 41.120.


FAA Form 5100-130


FAA Form 5100-130, Drug-Free Workplace – Airport Improvement Program Sponsor Certification

Paperwork Reduction Act Burden Statement

A federal agency may not conduct or sponsor, and a person is not required to respond to, nor shall a person be subject to a penalty for failure to comply with a collection of information subject to the requirements of the Paperwork Reduction Act unless that collection of information displays a currently valid OMB Control Number. The OMB Control Number for this information collection is 2120-0569. Public reporting for this collection of information is estimated to be approximately 8 hours per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, completing and reviewing the collection of information. All responses to this collection of information are required under 49 U.S.C. Section 47105 to retain a benefit and to meet the reporting requirements of 2 CFR 200. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden to the Federal Aviation Administration at: 800 Independence Ave. SW, Washington, DC 20591, Attn: Information Collection Clearance Officer, ASP-110.


FAA Form 5100-130 (1/17) SUPERSEDES PREVIOUS EDITION Page 1 of 3



Drug-Free Workplace Airport Improvement Program Sponsor Certification

Sponsor:

Airport:

Project Number:


Application 49 USC § 47105(d) authorizes the Secretary to require certification from the sponsor that it will comply with the statutory and administrative requirements in carrying out a project under the Airport Improvement Program (AIP). General requirements on the drug-free workplace within federal grant programs are described in 2 CFR part 182. Sponsors are required to certify they will be, or will continue to provide, a drug-free workplace in accordance with the regulation. The AIP project grant agreement contains specific assurances on the Drug-Free Workplace Act of 1988.

Certification Statements Except for certification statements below marked as not applicable (N/A), this list includes major requirements of the construction project. Selecting “Yes” represents sponsor acknowledgement and confirmation of the certification statement. The term “will” means Sponsor action taken at appropriate time based on the certification statement focus area, but no later than the end of the project period of performance. This list is not comprehensive and does not relieve the sponsor from fully complying with all applicable statutory and administrative standards. The source of the requirement is referenced within parenthesis.

1. A statement has been or will be published prior to commencement of project notifying employeesthat the unlawful manufacture, distribution, dispensing, possession, or use of a controlledsubstance is prohibited in the sponsor's workplace, and specifying the actions to be taken againstemployees for violation of such prohibition (2 CFR § 182.205).

Yes No N/A

2. An ongoing drug-free awareness program (2 CFR § 182.215) has been or will be establishedprior to commencement of project to inform employees about:

a. The dangers of drug abuse in the workplace;

b. The sponsor's policy of maintaining a drug-free workplace;

c. Any available drug counseling, rehabilitation, and employee assistance programs; and

d. The penalties that may be imposed upon employees for drug abuse violations occurringin the workplace.

Yes No N/A




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3. Each employee to be engaged in the performance of the work has been or will be given a copy ofthe statement required within item 1 above prior to commencement of project (2 CFR § 182.210).

Yes No N/A

4. Employees have been or will be notified in the statement required by item 1 above that, as acondition employment under the grant (2 CFR § 182.205(c)), the employee will:

a. Abide by the terms of the statement; and

b. Notify the employer in writing of his or her conviction for a violation of a criminal drugstatute occurring in the workplace no later than five calendar days after such conviction.

Yes No N/A

5. The Federal Aviation Administration (FAA) will be notified in writing within 10 calendar days afterreceiving notice under item 4b above from an employee or otherwise receiving actual notice ofsuch conviction (2 CFR § 182.225). Employers of convicted employees must provide notice,including position title of the employee, to the FAA (2 CFR § 182.300).

Yes No N/A

6. One of the following actions (2 CFR § 182.225(b)) will be taken within 30 calendar days ofreceiving a notice under item 4b above with respect to any employee who is so convicted:

a. Take appropriate personnel action against such an employee, up to and includingtermination, consistent with the requirements of the Rehabilitation Act of 1973, asamended; and

b. Require such employee to participate satisfactorily in drug abuse assistance orrehabilitation programs approved for such purposes by a federal, state, or local health,law enforcement, or other appropriate agency.

Yes No N/A

7. A good faith effort will be made, on a continuous basis, to maintain a drug-free workplace throughimplementation of items 1 through 6 above (2 CFR § 182.200).

Yes No N/A

Site(s) of performance of work (2 CFR § 182.230):

Location 1 Name of Location: Address:

Location 2 (if applicable) Name of Location: Address:

Location 3 (if applicable) Name of Location: Address:



Attach documentation clarifying any above item marked with a “No” response.




Name of Sponsor:






FAA Form 5100-131


FAA Form 5100-131, Equipment and Construction Contracts – Airport Improvement Sponsor Certification

Paperwork Reduction Act Burden Statement

A federal agency may not conduct or sponsor, and a person is not required to respond to, nor shall a person be subject to a penalty for failure to comply with a collection of information subject to the requirements of the Paperwork Reduction Act unless that collection of information displays a currently valid OMB Control Number. The OMB Control Number for this information collection is 2120-0569. Public reporting for this collection of information is estimated to be approximately 8 hours per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, completing and reviewing the collection of information. All responses to this collection of information are required under 49 U.S.C. Section 47105 to retain a benefit and to meet the reporting requirements of 2 CFR 200. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden to the Federal Aviation Administration at: 800 Independence Ave. SW, Washington, DC 20591, Attn: Information Collection Clearance Officer, ASP-110.





Equipment and Construction Contracts Airport Improvement Sponsor Certification

Sponsor:

Airport:

Project Number:


Application 49 USC § 47105(d) authorizes the Secretary to require certification from the sponsor that it will comply with the statutory and administrative requirements in carrying out a project under the Airport Improvement Program (AIP). General procurement standards for equipment and construction contracts within Federal grant programs are described in 2 CFR §§ 200.317-200.326. Labor and Civil Rights Standards applicable to the AIP are established by the Department of Labor (www.dol.gov) AIP Grant Assurance C.1—General Federal Requirements identifies all applicable Federal Laws, regulations, executive orders, policies, guidelines and requirements for assistance under the AIP. Sponsors may use state and local procedures provided the procurement conforms to these federal standards.

This certification applies to all equipment and construction projects. Equipment projects may or may not employ laborers and mechanics that qualify the project as a “covered contract” under requirements established by the Department of Labor requirements. Sponsor shall provide appropriate responses to the certification statements that reflect the character of the project regardless of whether the contract is for a construction project or an equipment project.


1. A written code or standard of conduct is or will be in effect prior to commencement of the projectthat governs the performance of the sponsor’s officers, employees, or agents in soliciting,awarding and administering procurement contracts (2 CFR § 200.318).

Yes No N/A


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C73-4876


2. For all contracts, qualified and competent personnel are or will be engaged to perform contractadministration, engineering supervision, construction inspection, and testing(Grant Assurance C.17).

Yes No N/A

3. Sponsors that are required to have a Disadvantage Business Enterprise (DBE) program on filewith the FAA have included or will include clauses required by Title VI of the Civil Rights Act and49 CFR Part 26 for Disadvantaged Business Enterprises in all contracts and subcontracts.

Yes No N/A

4. Sponsors required to have a DBE program on file with the FAA have implemented or willimplement monitoring and enforcement measures that:

a. Ensure work committed to Disadvantaged Business Enterprises at contract award isactually performed by the named DBEs (49 CFR § 26.37(b));

b. Include written certification that the sponsor has reviewed contract records and hasmonitored work sites for performance by DBE firms (49 CFR § 26.37(b)); and

c. Provides for a running tally of payments made to DBE firms and a means for comparingactual attainments (i.e. payments) to original commitments (49 CFR § 26.37(c)).

Yes No N/A

5. Sponsor procurement actions using the competitive sealed bid method (2 CFR § 200.320(c)). wasor will be:

a. Publicly advertised, allowing a sufficient response time to solicit an adequate number ofinterested contractors or vendors;

b. Prepared to include a complete, adequate and realistic specification that defines theitems or services in sufficient detail to allow prospective bidders to respond;

c. Publicly opened at a time and place prescribed in the invitation for bids; and

d. Prepared in a manner that result in a firm fixed price contract award to the lowestresponsive and responsible bidder.

Yes No N/A

6. For projects the Sponsor proposes to use the competitive proposal procurement method (2 CFR §200.320(d)), Sponsor has requested or will request FAA approval prior to proceeding with acompetitive proposal procurement by submitting to the FAA the following:

a. Written justification that supports use of competitive proposal method in lieu of thepreferred sealed bid procurement method;

b. Plan for publicizing and soliciting an adequate number of qualified sources; and

c. Listing of evaluation factors along with relative importance of the factors.

Yes No N/A

7. For construction and equipment installation projects, the bid solicitation includes or will include thecurrent federal wage rate schedule(s) for the appropriate type of work classifications (2 CFR Part200, Appendix II).

Yes No N/A



8. Concurrence was or will be obtained from the Federal Aviation Administration (FAA) prior tocontract award under any of the following circumstances (Order 5100.38D):

a. Only one qualified person/firm submits a responsive bid;

b. Award is to be made to other than the lowest responsible bidder; and

c. Life cycle costing is a factor in selecting the lowest responsive bidder.

Yes No N/A

9. All construction and equipment installation contracts contain or will contain provisions for:

a. Access to Records (§ 200.336)

b. Buy American Preferences (Title 49 U.S.C. § 50101)

c. Civil Rights - General Provisions and Title VI Assurances( 41 CFR part 60)

d. Federal Fair Labor Standards (29 U.S.C. § 201, et seq)

e. Occupational Safety and Health Act requirements (20 CFR part 1920)

f. Seismic Safety – building construction (49 CFR part 41)

g. State Energy Conservation Requirements - as applicable(2 CFR part 200, Appendix II)

h. U.S. Trade Restriction (49 CFR part 30)

i. Veterans Preference (49 USC § 47112(c))

Yes No N/A

10. All construction and equipment installation contracts exceeding $2,000 contain or will contain theprovisions established by:

a. Davis-Bacon and Related Acts (29 CFR part 5)

b. Copeland “Anti-Kickback” Act (29 CFR parts 3 and 5)

Yes No N/A

11. All construction and equipment installation contracts exceeding $3,000 contain or will contain acontract provision that discourages distracted driving (E.O. 13513).

Yes No N/A

12. All contracts exceeding $10,000 contain or will contain the following provisions as applicable:

a. Construction and equipment installation projects - Applicable clauses from41 CFR Part 60 for compliance with Executive Orders 11246 and 11375 on EqualEmployment Opportunity;

b. Construction and equipment installation - Contract Clause prohibiting segregated facilitiesin accordance with 41 CFR part 60-1.8;

c. Requirement to maximize use of products containing recovered materials in accordancewith 2 CFR § 200.322 and 40 CFR part 247; and

d. Provisions that address termination for cause and termination for convenience(2 CFR Part 200, Appendix II).

Yes No N/A



13. All contracts and subcontracts exceeding $25,000: Measures are in place or will be in place (e.g.checking the System for Award Management) that ensure contracts and subcontracts are notawarded to individuals or firms suspended, debarred, or excluded from participating in federallyassisted projects (2 CFR parts 180 and 1200).

Yes No N/A

14. Contracts exceeding the simplified acquisition threshold (currently $150,000) include or will includeprovisions, as applicable, that address the following:

a. Construction and equipment installation contracts - a bid guarantee of 5%, a performancebond of 100%, and a payment bond of 100% (2 CFR § 200.325);

b. Construction and equipment installation contracts - requirements of the Contract WorkHours and Safety Standards Act (40 USC 3701-3708, Sections 103 and 107);

c. Restrictions on Lobbying and Influencing (2 CFR part 200, Appendix II);

d. Conditions specifying administrative, contractual and legal remedies for instances wherecontractor of vendor violate or breach the terms and conditions of the contract (2 CFR§200, Appendix II); and

e. All Contracts - Applicable standards and requirements issued under Section 306 of theClean Air Act (42 USC 7401-7671q), Section 508 of the Clean Water Act (33 USC 1251-1387, and Executive Order 11738.

Yes No N/A

Attach documentation clarifying any above item marked with “No” response.




Name of Sponsor:






FAA Form 5100-132


FAA Form 5100-132, Project Plans and Specifications – Airport Improvement Program Sponsor Certification

Paperwork Reduction Act Statement

A federal agency may not conduct or sponsor, and a person is not required to respond to, nor shall a person be subject to a penalty for failure to comply with a collection of information subject to the requirements of the Paperwork Reduction Act unless that collection of information displays a currently valid OMB Control Number. The OMB Control Number for this information collection is 2120-0569. Public reporting for this collection of information is estimated to be approximately 8 hours per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, completing and reviewing the collection of information. All responses to this collection of information are required under 49 U.S.C. Section 47105 to retain a benefit and to meet the reporting requirements of 2 CFR 200. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden to the Federal Aviation

CAdministration at: 800 Independence Ave. SW, Washington, DC 20591, Attn: Information Collection

learance Officer, ASP-110.





Project Plans and Specifications Airport Improvement Program Sponsor Certification

Sponsor:

Airport:

Project Number:


Application 49 USC § 47105(d) authorizes the Secretary to require certification from the sponsor that it will comply with the statutory and administrative requirements in carrying out a project under the Airport Improvement Program (AIP). Labor and civil rights standards applicable to AIP are established by the Department of Labor (www.dol.gov/). AIP Grant Assurance C.1—General Federal Requirements identifies applicable federal laws, regulations, executive orders, policies, guidelines and requirements for assistance under AIP. A list of current advisory circulars with specific standards for procurement, design or construction of airports, and installation of equipment and facilities is referenced in standard airport sponsor Grant Assurance 34 contained in the grant agreement.


1. The plans and specifications were or will be prepared in accordance with applicable federalstandards and requirements, so that no deviation or modification to standards set forth in theadvisory circulars, or FAA-accepted state standard, is necessary other than those explicitlyapproved by the Federal Aviation Administration (FAA) (14 USC § 47105).

Yes No N/A

2. Specifications incorporate or will incorporate a clear and accurate description of the technicalrequirement for the material or product that does not contain limiting or proprietary features thatunduly restrict competition (2 CFR §200.319).

Yes No N/A



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3. The development that is included or will be included in the plans is depicted on the current airportlayout plan as approved by the FAA (14 USC § 47107).

Yes No N/A

4. Development and features that are ineligible or unallowable for AIP funding have been or will beomitted from the plans and specifications (FAA Order 5100.38, par. 3-43).

Yes No N/A

5. The specification does not use or will not use “brand name” or equal to convey requirementsunless sponsor requests and receives approval from the FAA to use brand name (FAA Order5100.38, Table U-5).

Yes No N/A

6. The specification does not impose or will not impose geographical preference in theirprocurement requirements (2 CFR §200.319(b) and FAA Order 5100.38, Table U-5).

Yes No N/A

7. The use of prequalified lists of individuals, firms or products include or will include sufficientqualified sources that ensure open and free competition and that does not preclude potentialentities from qualifying during the solicitation period (2 CFR §319(d)).

Yes No N/A

8. Solicitations with bid alternates include or will include explicit information that establish a basis foraward of contract that is free of arbitrary decisions by the sponsor (2 CFR § 200.319(a)(7)).

Yes No N/A

9. Concurrence was or will be obtained from the FAA if Sponsor incorporates a value engineeringclause into the contract (FAA Order 5100.38, par. 3-57).

Yes No N/A

10. The plans and specifications incorporate or will incorporate applicable requirements andrecommendations set forth in the federally approved environmental finding (49 USC §47106(c)).

Yes No N/A

11. The design of all buildings comply or will comply with the seismic design requirements of 49 CFR§ 41.120. (FAA Order 5100.38d, par. 3-92)

Yes No N/A

12. The project specification include or will include process control and acceptance tests required forthe project by as per the applicable standard:

a. Construction and installation as contained in Advisory Circular (AC) 150/5370-10.

Yes No N/A



b. Snow Removal Equipment as contained in AC 150/5220-20.

Yes No N/A

c. Aircraft Rescue and Fire Fighting (ARFF) vehicles as contained in AC 150/5220-10.

Yes No N/A

13. For construction activities within or near aircraft operational areas(AOA):

a. The Sponsor has or will prepare a construction safety and phasing plan (CSPP) conformingto Advisory Circular 150/5370-2.

b. Compliance with CSPP safety provisions has been or will be incorporated into the plansand specifications as a contractor requirement.

c. Sponsor will not initiate work until receiving FAA’s concurrence with the CSPP (FAA Order5100.38, Par. 5-29).

Yes No N/A

14. The project was or will be physically completed without federal participation in costs due to errorsand omissions in the plans and specifications that were foreseeable at the time of project design(49 USC §47110(b)(1) and FAA Order 5100.38d, par. 3-100).

Yes No N/A



I certify, for the project identified herein, responses to the forgoing items are accurate as marked and

additional documentation for any item marked “no” is correct and complete.


Name of Sponsor:






FAA Form 5100-133


FAA Form 5100-133, Real Property Acquisition – Airport Improvement Program Sponsor Certification

Paperwork Reduction Act Burden Statement A federal agency may not conduct or sponsor, and a person is not required to respond to, nor shall a person be subject to a penalty for failure to comply with a collection of information subject to the requirements of the Paperwork Reduction Act unless that collection of information displays a currently valid OMB Control Number. The OMB Control Number for this information collection is 2120-0569. Public reporting for this collection of information is estimated to be approximately 8 hours per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, completing and reviewing the collection of information. All responses to this collection of information are required under 49 U.S.C. Section 47105 to retain a benefit and to meet the reporting requirements of 2 CFR 200. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden to the Federal Aviation Administration at: 800 Independence Ave. SW, Washington, DC 20591, Attn: Information Collection Clearance Officer, ASP-110.





Real Property Acquisition Airport Improvement Program Sponsor Certification

Sponsor:

Airport:

Project Number:


Application 49 USC § 47105(d) authorizes the Secretary to require certification from the sponsor that it will comply with the statutory and administrative requirements in carrying out a project under the Airport Improvement Program (AIP). General requirements on real property acquisition and relocation assistance are in 49 CFR Part 24. The AIP project grant agreement contains specific requirements and assurances on the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (Uniform Act), as amended.

Certification Statements Except for certification statements below marked not applicable (N/A), this list includes major requirements of the real property acquisition project. Selecting “Yes” represents sponsor acknowledgement and confirmation of the certification statement. The term “will” means Sponsor action taken at appropriate time based on the certification statement focus area, but no later than the end of the project period of performance. This list is not comprehensive and does not relieve the sponsor from fully complying with all applicable statutory and administrative standards.

1. The sponsor’s attorney or other official has or will have good and sufficient title as well as title evidence on property in the project.

Yes No N/A

2. If defects and/or encumbrances exist in the title that adversely impact the sponsor’s intended use of property in the project, they have been or will be extinguished, modified, or subordinated.

Yes No N/A

3. If property for airport development is or will be leased, the following conditions have been met:

a. The term is for 20 years or the useful life of the project;

b. The lessor is a public agency; and

c. The lease contains no provisions that prevent full compliance with the grant agreement.

Yes No N/A


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4. Property in the project is or will be in conformance with the current Exhibit A property map, which is based on deeds, title opinions, land surveys, the approved airport layout plan, and project documentation.

Yes No N/A

5. For any acquisition of property interest in noise sensitive approach zones and related areas, property interest was or will be obtained to ensure land is used for purposes compatible with noise levels associated with operation of the airport.

Yes No N/A

6. For any acquisition of property interest in runway protection zones and areas related to 14 CFR 77 surfaces or to clear other airport surfaces, property interest was or will be obtained for the following:

a. The right of flight;

b. The right of ingress and egress to remove obstructions; and

c. The right to restrict the establishment of future obstructions.

Yes No N/A

7. Appraisals prepared by qualified real estate appraisers hired by the sponsor include or will include the following:

a. Valuation data to estimate the current market value for the property interest acquired on each parcel; and

b. Verification that an opportunity has been provided to the property owner or representative to accompany appraisers during inspections.

Yes No N/A

8. Each appraisal has been or will be reviewed by a qualified review appraiser to recommend an amount for the offer of just compensation, and the written appraisals as well as review appraisal are available to Federal Aviation Administration (FAA) for review.

Yes No N/A

9. A written offer to acquire each parcel was or will be presented to the property owner for not less than the approved amount of just compensation.

Yes No N/A

10. Effort was or will be made to acquire each property through the following negotiation procedures:

a. No coercive action to induce agreement; and

b. Supporting documents for settlements included in the project files.

Yes No N/A



11. If a negotiated settlement is not reached, the following procedures were or will be used:

a. Condemnation initiated and a court deposit not less than the just compensation madeprior to possession of the property; and

b. Supporting documents for awards included in the project files.

Yes No N/A

12. If displacement of persons, businesses, farm operations, or non-profit organizations is involved, arelocation assistance program was or will be established, with displaced parties receiving generalinformation on the program in writing, including relocation eligibility, and a 90-day notice tovacate.

Yes No N/A

13. Relocation assistance services, comparable replacement housing, and payment of necessaryrelocation expenses were or will be provided within a reasonable time period for each displacedoccupant in accordance with the Uniform Act.

Yes No N/A





Name of Sponsor:



Signature of Sponsor’s Designated Official Representative:



FAA Form 5100-134


FAA Form 5100-134, Selection of Consultants – Airport Improvement Program Sponsor Certification

Paperwork Reduction Act Statement A federal agency may not conduct or sponsor, and a person is not required to respond to, nor shall a person be subject to a penalty for failure to comply with a collection of information subject to the requirements of the Paperwork Reduction Act unless that collection of information displays a currently valid OMB Control Number. The OMB Control Number for this information collection is 2120-0569. Public reporting for this collection of information is estimated to be approximately 8 hours per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, completing and reviewing the collection of information. All responses to this collection of information are required under 49 U.S.C. Section 47105 to retain a benefit and to meet the reporting requirements of 2 CFR 200. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden to the Federal Aviation Administration at: 800 Independence Ave. SW, Washington, DC 20591, Attn: Information Collection Clearance Officer, ASP-110.





Selection of Consultants Airport Improvement Program Sponsor Certification

Sponsor:

Airport:

Project Number:


Application 49 USC § 47105(d) authorizes the Secretary to require certification from the sponsor that it will comply with the statutory and administrative requirements in carrying out a project under the Airport Improvement Program (AIP). General requirements for selection of consultant services within federal grant programs are described in 2 CFR §§ 200.317-200.326. Sponsors may use other qualifications-based procedures provided they are equivalent to standards of Title 40 chapter 11 and FAA Advisory Circular 150/5100-14, Architectural, Engineering, and Planning Consultant Services for Airport Grant Projects.


1. Sponsor acknowledges their responsibility for the settlement of all contractual and administrativeissues arising out of their procurement actions (2 CFR § 200.318(k)).

Yes No N/A

2. Sponsor procurement actions ensure or will ensure full and open competition that does notunduly limit competition (2 CFR § 200.319).

Yes No N/A

3. Sponsor has excluded or will exclude any entity that develops or drafts specifications,requirements, or statements of work associated with the development of a request-for-qualifications (RFQ) from competing for the advertised services (2 CFR § 200.319).

Yes No N/A



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4. The advertisement describes or will describe specific project statements-of-work that provideclear detail of required services without unduly restricting competition (2 CFR § 200.319).

Yes No N/A

5. Sponsor has publicized or will publicize a RFQ that:

a. Solicits an adequate number of qualified sources (2 CFR § 200.320(d)); and

b. Identifies all evaluation criteria and relative importance (2 CFR § 200.320(d)).

Yes No N/A

6. Sponsor has based or will base selection on qualifications, experience, and disadvantagedbusiness enterprise participation with price not being a selection factor (2 CFR § 200.320(d)).

Yes No N/A

7. Sponsor has verified or will verify that agreements exceeding $25,000 are not awarded toindividuals or firms suspended, debarred or otherwise excluded from participating in federallyassisted projects (2 CFR §180.300).

Yes No N/A

8. A/E services covering multiple projects: Sponsor has agreed to or will agree to:

a. Refrain from initiating work covered by this procurement beyond five years from the dateof selection (AC 150/5100-14); and

b. Retain the right to conduct new procurement actions for projects identified or notidentified in the RFQ (AC 150/5100-14).

Yes No N/A

9. Sponsor has negotiated or will negotiate a fair and reasonable fee with the firm they select asmost qualified for the services identified in the RFQ (2 CFR § 200.323).

Yes No N/A

10. The Sponsor’s contract identifies or will identify costs associated with ineligible work separatelyfrom costs associated with eligible work (2 CFR § 200.302).

Yes No N/A

11. Sponsor has prepared or will prepare a record of negotiations detailing the history of theprocurement action, rationale for contract type and basis for contract fees (2 CFR §200.318(i)).

Yes No N/A

12. Sponsor has incorporated or will incorporate mandatory contact provisions in the consultantcontract for AIP-assisted work (49 U.S.C. Chapter 471 and 2 CFR part 200 Appendix II)

Yes No N/A



13. For contracts that apply a time-and-material payment provision (also known as hourly rates,specific rates of compensation, and labor rates), the Sponsor has established or will establish:

a. Justification that there is no other suitable contract method for the services (2 CFR§200.318(j));

b. A ceiling price that the consultant exceeds at their risk (2 CFR §200.318(j)); and

c. A high degree of oversight that assures consultant is performing work in an efficientmanner with effective cost controls in place 2 CFR §200.318(j)).

Yes No N/A

14. Sponsor is not using or will not use the prohibited cost-plus-percentage-of-cost (CPPC) contractmethod. (2 CFR § 200.323(d)).

Yes No N/A

Attach documentation clarifying any above item marked with “no” response.





Name of Sponsor:






FAA Form 5100-135


FAA Form 5100-135, Certification and Disclosure Regarding Potential Conflicts of Interest – Airport Improvement Program Sponsor Certification

Paperwork Reduction Act Statement A federal agency may not conduct or sponsor, and a person is not required to respond to, nor shall a person be subject to a penalty for failure to comply with a collection of information subject to the requirements of the Paperwork Reduction Act unless that collection of information displays a currently valid OMB Control Number. The OMB Control Number for this information collection is 2120-0569. Public reporting for this collection of information is estimated to be approximately 8 hours per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, completing and reviewing the collection of information. All responses to this collection of information are required under 49 U.S.C. Section 47105 to retain a benefit and to meet the reporting requirements of 2 CFR 200. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden to the Federal Aviation Administration at: 800 Independence Ave. SW, Washington, DC 20591, Attn: Information Collection Clearance Officer, ASP-110.





Certification and Disclosure Regarding Potential Conflicts of Interest Airport Improvement Program Sponsor Certification

Sponsor:

Airport:

Project Number:


Application Title 2 CFR § 200.112 and § 1201.112 address Federal Aviation Administration (FAA) requirements for conflict of interest. As a condition of eligibility under the Airport Improvement Program (AIP), sponsors must comply with FAA policy on conflict of interest. Such a conflict would arise when any of the following have a financial or other interest in the firm selected for award:

a) The employee, officer or agent,

b) Any member of his immediate family,

c) His or her partner, or

d) An organization which employs, or is about to employ, any of the above.

Selecting “Yes” represents sponsor or sub-recipient acknowledgement and confirmation of the certification statement. Selecting “No” represents sponsor or sub-recipient disclosure that it cannot fully comply with the certification statement. If “No” is selected, provide support information explaining the negative response as an attachment to this form. This includes whether the sponsor has established standards for financial interest that are not substantial or unsolicited gifts are of nominal value (2 CFR § 200.318(c)). The term “will” means Sponsor action taken at appropriate time based on the certification statement focus area, but no later than the end of the project period of performance.

Certification Statements

1. The sponsor or sub-recipient maintains a written standards of conduct governing conflict ofinterest and the performance of their employees engaged in the award and administration ofcontracts (2 CFR § 200.318(c)). To the extent permitted by state or local law or regulations, suchstandards of conduct provide for penalties, sanctions, or other disciplinary actions for violations ofsuch standards by the sponsor’s and sub-recipient’s officers, employees, or agents, or bycontractors or their agents.

Yes No



CITY OF DIXON


C73-4876


2. The sponsor’s or sub-recipient’s officers, employees or agents have not and will not solicit oraccept gratuities, favors or anything of monetary value from contractors, potential contractors, orparties to sub-agreements (2 CFR § 200.318(c)).

Yes No

3. The sponsor or sub-recipient certifies that is has disclosed and will disclose to the FAA anyknown potential conflict of interest (2 CFR § 1200.112).

Yes No

Attach documentation clarifying any above item marked with “no” response.


I certify, for the project identified herein, responses to the forgoing items are accurate as marked and have the explanation for any item marked “no” is correct and complete.


Name of Sponsor:






CITY OF DIXON, IL

Industrial Park Redevelopment Project Area Tax Increment Financing District

Eligibility Report and Redevelopment Plan and Project

FINAL REPORT | December 15, 2021

SB Friedman Development Advisors i

CITY OF DIXON, IL

INDUSTRIAL PARK

Redevelopment Project Area Tax Increment Financing District


December 15, 2021

S. B. FRIEDMAN & COMPANY

221 N. LaSalle St. Suite 820 Chicago, IL 60601

T: 312.424.4250 F: 312.424.4262 E: [email protected]

Contact: Geoff Dickinson

T: 312.384.2404 E: [email protected]

SB Friedman Development Advisors ii

CITY OF DIXON, IL

Industrial Park Redevelopment Project Area

Tax Increment Financing District


Table of Contents

SECTION PAGE

1. Introduction .................................................................................................................................................................................... 1

2. Eligibility Report ........................................................................................................................................................................... 9

3. Redevelopment Plan and Project ......................................................................................................................................... 19

Appendix 1: Limitations of the Eligibility Report and Consultant Responsibilities ...................................................... 30

Appendix 2: Glossary ..................................................................................................................................................................... 31

Appendix 3: Proposed Industrial Park RPA Boundary Legal Description ...................................................................... 34

Appendix 4: List of PINs in Proposed Industrial Park RPA ................................................................................................. 35

LIST OF MAPS PAGE

Map 1: Community Context .......................................................................................................................................................... 5

Map 2: Proposed RPA Boundary ................................................................................................................................................. 6

Map 3: Vacant and Improved Land ............................................................................................................................................ 7

Map 4: Existing Land Use ............................................................................................................................................................... 8

Map 5: Age of Structures ............................................................................................................................................................. 14

Maps 6A to 6D: Summary of Improved Eligibility Factors Present to a Major Extent ......................................... 15-18

Map 7: Proposed Future Land Use ........................................................................................................................................... 21




www.sbfriedman.com

SB Friedman Development Advisors 1

1. Introduction

The City of Dixon (the “City”) seeks to establish a Tax Increment Financing (“TIF”) district to serve as an economic

development tool and promote the development of land south of Interstate 88 and adjacent to the Lee County

Business Park, an existing industrial park in the City. The City engaged SB Friedman Development Advisors (“SB

Friedman”) in July 2020 to conduct a Redevelopment Project Area feasibility study and prepare a

Redevelopment Plan and Project (the “Redevelopment Plan”).

This document serves as the Eligibility Report and Redevelopment Plan (together, the “Report”) for the

proposed Industrial Park Redevelopment Project Area (“proposed Industrial Park RPA” or the “proposed RPA”).

Section 2 of the Report, the Eligibility Report, details the eligibility factors found within the proposed RPA in

support of its designation as a “blighted area” for vacant land and a “conservation area” for improved land,

within the definitions set forth in the Illinois Tax Increment Allocation Redevelopment Act, 65 ILCS 5/11-74.4‐1

et seq., as amended (the “Act”). Section 3 of this Report, the Redevelopment Plan, outlines the comprehensive

program to revitalize the proposed RPA, as required by the Act.

Redevelopment Project Area

The proposed Industrial Park RPA is located within the City of Dixon in Lee County (the “County”), as shown

on Map 1. The proposed Industrial Park RPA consists of four tax parcels (one improved parcel and three vacant

parcels) and one building. It comprises approximately 236 acres of land, of which approximately 155 acres are

vacant, 78 acres are improved, and approximately 3 acres are right-of-way. The parcels included in the

proposed RPA are located south of Interstate 88, between South Galena Avenue and US Highway 52, as

illustrated in Map 2. SB Friedman’s analysis was completed for both vacant parcels and improved parcels, as

shown in Map 3. Based upon SB Friedman’s research, the proposed RPA currently consists of a mix of

residential and vacant land uses, as shown in Map 4.

Determination of Eligibility

This Report concludes that the proposed Industrial Park RPA is eligible for designation as a “blighted area” for

vacant land and as a “conservation area” for improved land, per the Act.

VACANT PARCELS: BLIGHTED AREA FINDINGS

Per SB Friedman’s analysis, the vacant portion of the proposed RPA is eligible as a “blighted area” under the

one-factor test as outlined in the Act. This factor and others are defined under the Act at 65 ILCS 5/11‐74.4‐3

(a) and (b) and are more fully described in Appendix 2.

The City engaged Veenstra & Kimm, Inc. (“Veenstra & Kimm”) to evaluate chronic flooding within the proposed

RPA and/or runoff from the vacant parcels in the proposed RPA contributing to flooding within the watershed.

Veenstra & Kimm determined that runoff from 100% of the vacant land in the proposed RPA contributes to

flooding within the Three Mile watershed. Thus, the vacant land is eligible as a “blighted area” using the one-

factor test.

City of Dixon / Industrial Park RPA – Eligibility Report and Redevelopment Plan


IMPROVED PARCELS: CONSERVATION AREA FINDINGS

For the improved land within the proposed RPA, SB Friedman’s analysis indicated that 100% of primary

structures are aged 35 years or older. This satisfies the requirement that 50% or more of the structures in the

area have an age of 35 years or more. Further, the following four (4) eligibility factors have been found to be

present to a meaningful extent and reasonably distributed throughout the proposed RPA:

1. Deterioration;

2. Inadequate Utilities;

3. Presence of Structures below Minimum Code Standards; and

4. Lack of community planning

These factors are defined under the Act at 65 ILCS 5/11‐74.4‐3 (a) and (b) and are more fully described in

Appendix 2.

Based on the age of primary structures in the proposed RPA and the presence of four eligibility factors, the

improved parcels in the proposed RPA qualify under a conservation area finding (age of structures plus at least

four eligibility factors).

SUMMARY OF ELIGIBILITY FINDINGS

SB Friedman has found that the vacant portion of the proposed RPA qualifies to be designated as a vacant

“blighted area,” due to its contribution to flooding within the Three Mile watershed, and the improved portion

of the proposed RPA qualifies as a “conservation area,” with 100% of the primary structures within the proposed

RPA at least 35 years of age or older, and four (4) of the thirteen (13) eligibility factors found to be present to

a meaningful extent and reasonably distributed within the proposed RPA.

These conditions hinder the potential to redevelop the proposed RPA and capitalize on its unique attributes.

The proposed RPA will benefit from a strategy that addresses the challenges of parcels that contribute to

flooding, aged and non-compliant buildings, deterioration, and inadequate infrastructure to facilitate the

overall improvement of its physical condition.

Redevelopment Plan Goal, Objectives and Strategy

GOAL. The overall goal of the Redevelopment Plan is to reduce or eliminate conditions that qualify the

proposed RPA as a vacant blighted area and an improved conservation area, and to provide the direction and

mechanisms necessary to establish the proposed RPA as a thriving district. Redevelopment of the proposed

RPA is intended to revitalize the area, strengthen the economic base, and enhance the City’s overall quality of

life.

OBJECTIVES. The following seven (7) objectives support the overall goal of revitalization of the proposed RPA:

1. Encourage the construction of new commercial and/or industrial development, where

appropriate, and facilitate the physical improvement and/or rehabilitation of existing structures

and façades within the proposed RPA;



2. Foster the replacement, repair, construction and/or improvement of public infrastructure, where

needed, to create an environment conducive to private investment;

3. Facilitate the renovation or construction of stormwater management systems and flood control

within the proposed RPA;

4. Provide resources for streetscaping, landscaping and signage to improve the image, attractiveness

and accessibility of the proposed RPA, create a cohesive identity for the proposed RPA and

surrounding area, and provide, where appropriate, for buffering between different land uses and

screening of unattractive service facilities such as parking lots and loading areas;

5. Facilitate the assembly and preparation, including demolition and environmental clean-up, where

necessary, and marketing of available sites in the proposed RPA for redevelopment and new

development by providing resources as allowed by the Act; and

6. Support the goals and objectives of other overlapping plans, including the City of Dixon

Comprehensive Plan published in 2001 (the “2001 Comprehensive Plan”) and subsequent plans;

7. Coordinate available federal, state and local resources to further the goals of this Redevelopment

Plan;

STRATEGY. Development and redevelopment of the proposed RPA is to be achieved through an integrated

and comprehensive strategy that leverages public resources to stimulate private investment. The underlying

strategy is to use TIF, as well as other funding sources, to reinforce and encourage private investment.

Financial Plan

ELIGIBLE COSTS. The Act outlines several categories of expenditures that can be funded using incremental

property taxes. These expenditures, referred to as eligible redevelopment project costs, include all reasonable

or necessary costs incurred or estimated to be incurred, and any such costs incidental to this Redevelopment

Plan pursuant to the Act.

ESTIMATED REDEVELOPMENT PROJECT COSTS. The estimated eligible redevelopment project costs of this

Redevelopment Plan are $32.5 million. The total of eligible redevelopment project costs provides an upper

limit on expenditures that are to be funded using tax increment revenues, exclusive of capitalized interest,

issuance costs, interest and other financing costs.

EQUALIZED ASSESSED VALUE OF PROPERTIES IN THE PROPOSED RPA. The 2020 EAV (the most recent

year in which assessed values and the equalization factor were available) of all taxable parcels in the proposed

RPA is $241,155. By tax year 2045 (collection year 2046, the total taxable EAV for the proposed RPA is

anticipated to be approximately $18.3 million.

Required Tests and Findings

The required conditions for the adoption of this Redevelopment Plan are found to be present within the

proposed Industrial Park RPA:



1. The proposed RPA is 236 acres in size and thus satisfies the requirement that it be at least 1.5

acres;

2. No private investment has occurred in the proposed Industrial Park RPA over the last five years;

3. Without the support of public resources, the redevelopment objectives for the proposed RPA

would most likely not be realized. Accordingly, “but for” the designation of a TIF district, these

projects would be unlikely to occur on their own;

4. The proposed Industrial Park RPA includes only those contiguous parcels of real property that are

expected to benefit substantially from the proposed Redevelopment Plan;

5. The Redevelopment Plan conforms to and proposes land uses that are consistent with the 2001

Comprehensive Plan;

6. The City certifies that no displacement will occur as a result of activities pursuant to this

Redevelopment Plan. Therefore, a Housing Impact Study is not required under the Act; and

7. The Redevelopment Plan is estimated be completed, and all obligations issued to finance

redevelopment costs shall be retired no later than December 31, 2046 if the ordinances

establishing the proposed RPA are adopted during 2022.



Map 1: Context

Source: Esri, Lee County, SB Friedman



Map 2: Proposed RPA Boundary

Source: Esri, Lee County, Esri, SB Friedman



Map 3: Vacant and Improved Parcels in Proposed RPA




Map 4: Existing Land Use



2. Eligibility Report

This report concludes that the proposed Industrial Park RPA is eligible for designation as a “blighted area” for


Provisions of the Illinois Tax Increment Allocation Redevelopment Act

Under the Act, two (2) primary avenues exist to establish eligibility for an area to permit the use of TIF for

redevelopment: declaring an area as a “blighted area” and/or a “conservation area.” “Blighted areas” are those

improved or vacant areas with blighting influences that are impacting the public safety, health, morals, or

welfare of the community, and are substantially impairing the growth of the tax base in the area. “Conservation

areas” are those improved areas that are deteriorating and declining and soon may become blighted if the

deterioration is not abated. A description of the statutory provisions of the Act is provided below.

Factors for Vacant Land

According to the Act, there are two ways by which vacant land can be designated as “blighted.” The first is to

find that at least two (2) of six (6) factors from the “Two-Factor Test” are present to a meaningful extent and

reasonably distributed throughout the proposed RPA. The second way is to find at least one (1) of the six (6)

factors under the “One-Factor Test” is present to a meaningful extent and reasonably distributed throughout

the proposed RPA.

TWO-FACTOR TEST

Under the provisions of the “blighted area” section of the Act, if the land is vacant, an area qualifies as “blighted’

if a combination of two (2) or more of the following factors may be identified, which combine to impact the

sound growth of the proposed RPA.

• Obsolete Platting of Vacant Land

• Diversity of Ownership

• Tax and Special Assessment Delinquencies

• Deterioration of Structures or Site Improvements in Neighboring Areas adjacent to the Vacant Land

• Environmental Contamination

• Lack of Growth in EAV

ONE-FACTOR TEST

Under the provisions of the “blighted area” section of the Act, if the land is vacant, an area qualifies as “blighted”

if one (1) or more of the following factors is found.

• The area contains unused quarries, strip mines or strip mine ponds;

• The area contains unused rail yards, rail track, or railroad rights-of-way;

• The area, prior to its designation, is subject to or contributes to chronic flooding;

• The area contains unused or illegal dumping sites;



• The area was designated as a town center prior to January 1, 1982, is between 50 and 100 acres, and

is 75% vacant land; or

• The area qualified as blighted prior to becoming vacant.

Factors for Improved Areas

According to the Act, “blighted areas” for improved land must demonstrate at least five (5) of the following

eligibility factors, which threaten the health, safety, morals or welfare of the proposed district. “Conservation

areas” must have a minimum of 50% of the total structures within the area aged 35 years or older, plus a

combination of four (4) or more additional eligibility factors that are detrimental to the public safety, health,

morals or welfare, and that could result in such an area becoming a “blighted area.” The following are eligibility

factors for improved areas:

• Dilapidation

• Obsolescence

• Deterioration

• Presence of Structures below Minimum

Code Standards

• Illegal Use of Individual Structures

• Excessive Vacancies

• Lack of Ventilation, Light or Sanitary

Facilities

• Inadequate Utilities

• Excessive Land Coverage and

Overcrowding of Structures and

Community Facilities

• Deleterious Land Use or Layout

• Environmental Clean-Up

• Lack of Community Planning


A definition of each factor is provided in Appendix 2.

Methodology Overview

SB Friedman conducted the following analyses to determine whether the proposed Industrial Park RPA is

eligible for designation as a “blighted area” for vacant land and as a “conservation area” for improved land,

per the Act:

• Parcel-by-parcel field observations and photography documenting external property conditions;

• Analysis of historical EAV trends for the last six years (five year-to-year periods) for which data are

available and final (2015-2020) from the Lee County Assessor’s Office and Lee County Clerk’s Office;

• Review of building age data from the Lee County Assessor’s Office;

• Review of a memorandum provided by the City regarding locations, ages and conditions of water,

stormwater and sanitary sewer infrastructure;

• Review of a memorandum from Veenstra & Kimm, the City’s engineering consultant, regarding the

contribution of runoff from the vacant parcels in the proposed RPA to flooding in the watershed;

• Review of current and prior comprehensive plans provided by the City (from 1990, and the current

comprehensive plan from 2001).

SB Friedman examined all parcels for qualification factors consistent with requirements of the Act.

SB Friedman analyzed the presence or absence of each eligibility factor on a building-by-building, parcel-by-

parcel basis and/or aggregate basis as applicable. The building and parcel information was then plotted on a

map of the proposed RPA to determine which factors were present to a meaningful extent and reasonably

distributed throughout the proposed RPA.



Blighted Area Findings: Vacant Parcels

Per SB Friedman’s analysis, the vacant portion of the proposed RPA is eligible to be designated as a “blighted

area” per the one-factor finding.

ONE-FACTOR BLIGHTED FINDING

Veenstra & Kimm, a third-party engineer engaged by the City, has indicated that runoff from 100% of the

vacant portion of the proposed RPA contributes to flooding within the Three Mile watershed. Runoff from the

one improved parcel in the proposed RPA also contributes to flooding within the same watershed. Therefore,

this factor is found to be present to a meaningful extent and reasonably distributed throughout the proposed

RPA.

Conservation Area Findings: Improved Parcels

Based upon the conditions found within the proposed RPA at the completion of SB Friedman’s research, it has

been determined that the improved land within the proposed RPA meets the eligibility requirements of the

Act as a “conservation area.” The sole primary structure in the proposed RPA (100%) is 35 years of age or older,

as it was constructed before 1986. Map 5 shows the location of primary structures that are 35 years or older.

SB Friedman’s research indicates that the following four (4) factors are present to a meaningful extent and

reasonably distributed throughout the proposed RPA:

1. Deterioration

2. Inadequate Utilities

3. Presence of Structures below Minimum Code Standards

4. Lack of Community Planning

Each eligibility factor that is present to a meaningful extent and reasonably distributed throughout the

proposed RPA is summarized below. Maps 6A through 6D illustrate the distribution of those eligibility factors

found to be reasonably distributed on a building-by-building and/or parcel-by-parcel basis within the

proposed RPA by highlighting each parcel or building where the respective factors were found to be present

to a meaningful degree.

1. DETERIORATION

The Act defines deterioration as defects including, but not limited to, major defects in the secondary building

components such as doors, windows, porches, gutters and downspouts, and fascia. With respect to surface

improvements, that the condition of roadways, alleys, curbs, gutters, sidewalks, off-street parking, and surface

storage areas evidence deterioration including but not limited to, surface cracking, crumbling, potholes,

depressions, loose paving material, and weeds protruding through paved surfaces.

Physical deterioration was observed on the single improved parcel (100% of improved parcels). The

deterioration observed was on surface improvements, including streets and driveways. Catalogued surface

improvement deterioration included cracks in infrastructure and alligatoring of pavement. Deterioration of

surface improvements can make it appear as though the proposed RPA lacks investment and can make it more



difficult to attract new investment, businesses or consumers. This factor was found to be meaningfully present

and reasonably distributed throughout the improved portion of the proposed RPA.

2. INADEQUATE UTILITIES

The Act defines inadequate utilities as underground and overhead utilities, such as storm sewers and storm

drainage, sanitary sewers, water lines, and gas, telephone and electrical services, which are:

1. Of insufficient capacity to serve the uses in the redevelopment project area;

2. Deteriorated, antiquated, obsolete, or in disrepair; or

3. Lacking within the redevelopment project area.

Based on memorandum provided by the City’s Public Works Department, water and wastewater infrastructure

is lacking throughout the improved portion of the proposed RPA. Stormwater management infrastructure is

also lacking within the improved portion of the proposed RPA.

Collectively, inadequate utilities service the proposed RPA’s one improved parcels (100%). Based on these

conditions, the inadequate utilities factor was found to be present to a meaningful extent and reasonably

distributed throughout the improved portion of the proposed RPA.

3. PRESENCE OF STRUCTURES BELOW MINIMUM CODE STANDARDS

Per the Act, structures below minimum code standards are those that do not meet applicable standards of

zoning, subdivision, building, fire and other governmental codes. The principal purpose of such codes is to

protect the health and safety of the public, including building occupants, pedestrians and occupants of

neighboring structures.

According to a review of building age data, the one primary structure (100%) in the proposed RPA was

constructed in 1901, many years prior to the adoption of the City’s current Building Code. The City utilizes the

International Building Code - 2015 edition. Although the development of the property predates current codes

and standards of the City, this building may not be in direct violation of all ordinances, as it may have been

“grandfathered in.”

Since the City’s most recent adoption of the current Building Code, there have been no building permits issued

by the County for the improved parcel.

The presence of structures below minimum code standards, and the cost to upgrade “grandfathered”

structures to meet current codes may also reduce the overall competitiveness and economic viability of the

area. Based on information provided by the City and County, this factor is present to a meaningful extent and

is reasonably distributed throughout the improved portion of the proposed RPA.

4. LACK OF COMMUNITY PLANNING

Per the Act, when a proposed redevelopment project area was developed prior to or without the benefit or

guidance of a community plan, a finding of lack of community planning may be present. Incompatible land

use relationships, inadequate street layout, improper subdivision and parcels of inadequate shape and size to

meet contemporary development standards may all demonstrate the absence of effective community



planning.

The sole primary building structure in the proposed RPA dates back to 1901. At that time, the entirety of the

improved portion of the proposed RPA was outside the City limits. Lee County did not produce a

comprehensive plan until 2000. When the City’s first comprehensive plan was adopted in 1990, the one building

in the proposed RPA was nearly 90 years old. Because the building had already been constructed prior to the

adoption of the City comprehensive plan, residential development occurred without benefit of a

comprehensive plan. In addition, the existing street layout is inadequate for contemporary development. A

large portion of the improved parcel cannot be accessed via the existing road network.

This factor is evaluated area-wide and is found to be present to a meaningful extent throughout the improved

portion of the proposed RPA.

Summary of Findings

SB Friedman has found that the proposed RPA qualifies to be designated as a “blighted area” for vacant land

and as a “conservation area” for improved land. The vacant land is eligible under a one-factor test due to

flooding and contribution to flooding in the proposed RPA. The improved land is eligible as a “conservation

area”, with 100% of the structures within the proposed RPA at least 35 years of age or older, and four (4) of

the thirteen (13) eligibility factors present to a meaningful extent and reasonably distributed within the

proposed RPA.



Map 5: Improved Land Factor: Age of Structures

Source: Esri. Lee County, SB Friedman



Map 6A: Improved Land Factor: Deterioration




Map 6B: Improved Land Factor: Inadequate Utilities




Map 6C: Improved Land Factor: Presence of Structures below Minimum Code Standards




Map 6D: Improved Land Factor: Lack of Community Planning



3. Redevelopment Plan and Project

This document describes the comprehensive redevelopment program proposed to be undertaken by the City

to create an environment in which private investment can reasonably occur. The redevelopment program will

be implemented over the 23-year life of the proposed RPA. If a redevelopment project is successful, various

new projects will be undertaken that will assist in alleviating blighting conditions and promoting rehabilitation

and development in the proposed RPA.

Redevelopment Needs of the Proposed RPA

Currently, the proposed RPA is comprised of flood-prone vacant land and aging buildings characterized by

deterioration, inadequate utilities and a lack of community planning. These conditions reduce the value of the

properties in the area and makes the proposed RPA less competitive, overall, with property in other

communities, thus limiting local area employment and development opportunities, and contributing to the

lack of new investment in the proposed RPA.

The existing conditions for the proposed RPA suggest five (5) major redevelopment needs:

1. Capital improvements that further the objectives set forth in this Redevelopment Plan;

2. Site preparation, environmental remediation and stormwater management;

3. Development and redevelopment of vacant and underutilized parcels;

4. Streetscape and infrastructure improvements, including utilities;

5. Resources for industrial, commercial, public/private institutional, community facility, park/open

space, and utility development.

The goals, objectives and strategies discussed below have been developed to address these needs and

facilitate the sustainable redevelopment of the proposed RPA.

GOAL, OBJECTIVES AND STRATEGY



mechanisms necessary to establish the proposed RPA as an industrial and commercial district. Redevelopment

of the proposed RPA is intended to revitalize the area, strengthen the economic base, and enhance the City’s

overall quality of life.


1. Encourage the construction of new commercial and/or industrial development, where

appropriate, and facilitate the physical improvement and/or rehabilitation of existing structures

and façades within the proposed RPA;



City of Dixon] / Industrial Park RPA – Eligibility Report and Redevelopment Plan











6. Support the goals and objectives of other overlapping plans, including the City of Dixon

Comprehensive Plan published in 2001 (the “2001 Comprehensive Plan”) and subsequent plans;


Plan;

STRATEGY. Development and redevelopment of the proposed RPA is to be achieved through an integrated

and comprehensive strategy that leverages public resources to stimulate private investment. The underlying

strategy is to use TIF, as well as other funding sources, to reinforce and encourage private investment.

Proposed Future Land Use

The proposed future land use of the proposed RPA, as shown in Map 7, reflects the objectives of this

Redevelopment Plan. For the purposes of this plan, the industrial and commercial designation is meant to

allow for a variety of uses throughout the proposed RPA, in a manner that is in conformance with the land

uses approved in the 2001 Comprehensive Plan. The industrial designation allows for the following land uses

within the proposed RPA:

• Industrial

• Commercial

• Public/Private Institutional

• Park/Open Space

• Community Facilities

• Utilities

• Right-of-Way



Map 7: Proposed Future Land Use




Financial Plan

ELIGIBLE COSTS

The Act outlines several categories of expenditures that can be funded using tax increment revenues. These

expenditures, referred to as eligible redevelopment project costs, include all reasonable or necessary costs

incurred or estimated to be incurred, and any such costs incidental to this Redevelopment Plan pursuant to

the Act. The City may also reimburse private entities for certain costs incurred in the development and/or

redevelopment process. Such costs may include, without limitation, the following:

1. Costs of studies, surveys, development of plans and specifications, and implementation and

administration of the Redevelopment Plan including, but not limited to, staff and professional service

costs for architectural, engineering, legal, financial, planning or other services (excluding lobbying

expenses), provided that no charges for professional services are based on a percentage of the tax

increment collected, as more fully set forth in 65 ILCS 5/11-74.4-3(q)(1).

2. The costs of marketing sites within the RPA to prospective businesses, developers and investors.

3. Property assembly costs, including but not limited to, acquisition of land and other property, real or

personal, or rights or interests therein, demolition of buildings, site preparation, site improvements

that serve as an engineered barrier addressing ground-level or below-ground environmental

contamination, including, but not limited to parking lots and other concrete or asphalt barriers, and

the clearing and grading of land as more fully set forth in 65 ILCS 5/11-74.4-3(q)(2).

4. Costs of rehabilitation, reconstruction, or repair or remodeling of existing public or private buildings,

fixtures and leasehold improvements, as more fully set forth in 65 ILCS 5/11-74.4-3(q)(3); and the costs

of replacing an existing public building if pursuant to the implementation of a redevelopment project,

the existing public building is to be demolished to use the site for private investment or devoted to a

different use requiring private investment.

5. Costs of the construction of public works or improvements, subject to the limitations in Section 11-

74.4-3(q)(4) of the Act.

6. Costs of job training and retraining projects, including the costs of “welfare to work” programs

implemented by businesses located within the RPA, as more fully set forth in 65 ILCS 5/11-74.4-3(q)(5).

7. Financing costs, including but not limited to all necessary and incidental expenses related to the

issuance of obligations and which may include payment of interest on any obligations issued

hereunder including interest accruing during the estimated period of construction of any

redevelopment project for which such obligations are issued and for not exceeding 36 months

thereafter and including reasonable reserves related thereto.

8. To the extent the municipality by written agreement accepts and approves the same, all or a portion

of a taxing district’s capital costs resulting from the redevelopment project necessarily incurred or to

be incurred within a taxing district in furtherance of the objectives of this Redevelopment Plan.



9. An elementary, secondary or unit school district’s increased per pupil tuition costs attributable to net

new pupils added to the district living in assisted housing units will be reimbursed, as further defined

in the Act.

10. A library district’s increased per patron costs attributable to net new persons eligible to obtain a library

card living in assisted housing units, as further defined in the Act.

11. Relocation costs to the extent that the municipality determines that relocation costs shall be paid or is

required to make payment of relocation costs by federal or state law, or by Section 11-74.4-3(n)(7) of

the Act.

12. Payment in lieu of taxes, as defined in the Act.

13. Costs of job training, retraining, advanced vocational education or career education, including, but

not limited to, courses in occupational, semi-technical or technical fields leading directly to

employment, incurred by one or more taxing districts, as more fully set forth in 65 ILCS 5/11-74.4-

3(q)(10).

14. Interest costs incurred by a developer, as more fully set forth in 65 ILCS 5/11-74.4-3(q)(11), related to

the construction, renovation or rehabilitation of a redevelopment project provided that:

a. Such costs are to be paid directly from the special tax allocation fund established, pursuant

to the Act;

b. Such payments in any one year may not exceed thirty percent (30%) of the annual interest

costs incurred by the developer with regard to the development project during that year;

c. If there are not sufficient funds available in the special tax allocation fund to make the payment

pursuant to this provision, then the amounts so due shall accrue and be payable when

sufficient funds are available in the special tax allocation fund;

d. The total of such interest payments paid, pursuant to the Act, may not exceed thirty percent

(30%) of the total of: (i) cost paid or incurred by the developer for the redevelopment project;

and (ii) redevelopment project costs excluding any property assembly costs and any

relocation costs incurred by the municipality, pursuant to the Act;

e. For the financing of rehabilitated or new housing for low-income households and very low-

income households, as defined in Section 3 of the Illinois Affordable Housing Act, the

percentage of seventy-five percent (75%) shall be substituted for thirty percent (30%) in

subparagraphs 14b and 14d above; and

f. Instead of the interest costs described above in paragraphs 14b and 14d, a municipality may

pay from tax incremental revenues up to fifty percent (50%) of the cost of construction,

renovation and rehabilitation of new housing units (for ownership or rental) to be occupied

by low-income households and very low-income households, as defined in Section 3 of the

Illinois Affordable Housing Act, as more fully described in the Act. If the units are part of a

residential redevelopment project that includes units not affordable to low- and very low-



income households, only the low- and very low-income units shall be eligible for this benefit

under the Act.

Unless explicitly provided in the Act, the cost of construction of new privately-owned buildings shall not be an

eligible redevelopment project cost.

If a Special Service Area is established pursuant to the Special Service Area Tax Act, 35 ILCS 235/0.01 et seq.,

then any tax increment revenues derived from the tax imposed pursuant to the Special Service Area Tax Act

may be used within the RPA for the purposes permitted by the Special Service Area Tax Act as well as the

purposes permitted by the Act.

ESTIMATED REDEVELOPMENT PROJECT COSTS

The total eligible redevelopment project costs define an upper expenditure limit that may be funded using tax

increment revenues, exclusive of capitalized interest, issuance costs, interest, and other financing costs. The

totals of line items are not intended to place a limit on the described expenditures. Adjustments to the

estimated line item costs are expected and may be made by the City without amendment to this

Redevelopment Plan, either increasing or decreasing line item costs because of changed redevelopment costs

and needs. Each individual project cost will be re-evaluated in light of projected private development and

resulting incremental tax revenues as it is considered for public financing under the provisions of the Act. The

estimated eligible costs of this Redevelopment Plan are shown in Table 1.

Additional funding in the form of state and federal grants, private developer contributions, and other outside

sources may be pursued by the City as a means of financing improvements and facilities within the proposed

RPA.

Table 1: Estimated TIF-Eligible Redevelopment Project Costs

Eligible Expense [1] Estimated Project Costs

Administration and Professional Service Costs $2,000,000

Site Marketing Costs $400,000

Property Assembly and Site Preparation Costs $10,000,000

Costs of Building Rehabilitation $2,000,000

Costs of Construction of Public Works or Improvements $12,000,000

Financing Costs $500,000

Taxing District Capital Costs $300,000

Relocation Costs $400,000

Payments in Lieu of Taxes $500,000

Costs of Job Training $400,000

Interest Costs (Developer or Property Owner) $4,000,000

TOTAL REDEVELOPMENT PROJECT COSTS [2] [3] [4] $32,500,000

[1] Described in more detail in Eligible Costs Section.

[2] Total Redevelopment Project Costs exclude any additional financing costs, including any interest expense, capitalized interest,

costs of issuance, and costs associated with optional redemptions. These costs are subject to prevailing market conditions and are

in addition to Total Redevelopment Project Costs.

[3] The amount of the Total Redevelopment Project Costs that can be incurred in the proposed RPA may be reduced by the

amount of redevelopment project costs incurred in contiguous RPAs, or those separated from the proposed RPA only by a public

right-of-way, that are permitted under the Act to be paid, and are paid, from incremental property taxes generated in the proposed

RPA, but may not be reduced by the amount of redevelopment project costs incurred in the proposed RPA that are paid from



incremental property taxes generated in contiguous RPAs or those separated from the proposed RPA only by a public right-of-

way.

[4] All costs are in 2022 dollars and may be increased by 5% after adjusting for annual inflation reflected in the Consumer Price

Index (CPI), published by the U.S. Department of Labor. In addition to the above stated costs, each issue of obligations issued to

finance a phase of the Redevelopment Plan may include an amount of proceeds sufficient to pay customary and reasonable

charges associated with the issuance of such obligations, including interest costs.

PHASING, SCHEDULING OF THE REDEVELOPMENT, AND ESTIMATED DATES OF COMPLETION

Each private project within the proposed RPA receiving TIF benefits shall be governed by the terms of a written

redevelopment agreement entered into by a designated developer and the City. This Redevelopment Plan is

estimated to be completed, and all obligations issued to finance redevelopment costs are estimated to be

retired, no later than December 31 of the year in which the payment to the City Finance Director provided in

the Act is to be made with respect to ad valorem taxes levied in the twenty-third calendar year following the

year in which the ordinance approving this proposed RPA is adopted. This Redevelopment Plan is estimated

to be completed, and all obligations issued to finance redevelopment costs shall be retired no later than

December 31, 2046 if the ordinances establishing the proposed RPA are adopted during 2022.

SOURCES OF FUNDS TO PAY COSTS

Funds necessary to pay for redevelopment project costs and/or municipal obligations, which may be issued or

incurred to pay for such costs, are to be derived principally from tax increment revenues and/or proceeds from

municipal obligations, which have as a repayment source tax increment revenue. To secure the issuance of

these obligations and the developer’s performance of redevelopment agreement obligations, the City may

require the utilization of guarantees, deposits, reserves, and/or other forms of security made available by

private sector developers. The City may incur redevelopment project costs that are paid from the funds of the

City other than incremental taxes, and the City then may be reimbursed for such costs from incremental taxes.

The tax increment revenue, which will be used to fund tax increment obligations and eligible redevelopment

project costs, shall be the incremental real property tax revenues. Incremental real property tax revenue is

attributable to the increase of the current EAV of each taxable lot, block, tract, or parcel of real property in the

proposed RPA over and above the certified initial EAV of each such property.

Other sources of funds, which may be used to pay for development costs and associated obligations issued or

incurred, include land disposition proceeds, state and federal grants, investment income, private investor and

financial institution funds, and other sources of funds and revenues as the municipality and developer from

time to time may deem appropriate.

The proposed RPA may be or become contiguous to, or be separated only by a public right-of-way from, other

redevelopment areas created under the Act (65 ILCS 5/11 74.4 4 et. seq.). The City may utilize net incremental

property tax revenues received from the proposed RPA to pay eligible redevelopment project costs, or

obligations issued to pay such costs, in other contiguous redevelopment project areas, or those separated only

by a public right-of-way, and vice versa. The amount of revenue from the proposed RPA made available to

support such contiguous redevelopment project areas, or those separated only by a public right-of-way, when

added to all amounts used to pay eligible redevelopment project costs within the proposed RPA, shall not at

any time exceed the Total Redevelopment Project Costs described in Table 1 of this Redevelopment Plan.



ISSUANCE OF OBLIGATIONS

To finance project costs, the City may issue bonds or obligations secured by the anticipated tax increment

revenue generated within the proposed RPA, or such other bonds or obligations as the City may deem as

appropriate. The City may require the utilization of guarantees, deposits or other forms of security made

available by private sector developers to secure such obligations. In addition, the City may provide other legally

permissible credit enhancements to any obligations issued pursuant to the Act.

All obligations issued by the City pursuant to this Redevelopment Plan and the Act shall be retired within the

timeframe described under “Phasing, Scheduling of the Redevelopment, and Estimated Dates of Completion”

above. Also, the final maturity date of any such obligations that are issued may not be later than 20 years from

their respective dates of issue. One or more of a series of obligations may be sold at one or more times in

order to implement this Redevelopment Plan. The amounts payable in any year as principal and interest on all

obligations issued by the City shall not exceed the amounts available from tax increment revenues, or other

sources of funds, if any, as may be provided by ordinance. Obligations may be of parity or senior/junior lien

nature. Obligations issued may be serial or term maturities, and may or may not be subject to mandatory,

sinking fund or optional redemptions.

In addition to paying redevelopment project costs, tax increment revenues may be used for the scheduled

and/or early retirement of obligations, and for reserves and bond sinking funds.

MOST RECENT EQUALIZED ASSESSED VALUE OF PROPERTIES IN THE PROPOSED RPA

The purpose of identifying the most recent EAV of the proposed RPA is to provide an estimate of the initial

EAV for the purpose of annually calculating the incremental EAV and incremental property taxes of the

proposed RPA. The 2020 EAV (the most recent year in which final assessed values and equalization factor were

available) of all taxable parcels in the proposed RPA is $241,155. This total EAV amount by property index

number (“PIN”) is summarized in Appendix 4. The EAV is subject to verification by the Lee County Assessor’s

Office. After verification, the final figure shall be certified by the Lee County Clerk’s Office, and shall become

the “Certified Initial EAV” from which all incremental property taxes in the proposed RPA will be calculated by

the County.

ANTICIPATED EQUALIZED ASSESSED VALUE

By tax year 2045 (collection year 2046), the total taxable EAV for the proposed RPA is anticipated to be

approximately $8.4 million.

Impact of the Redevelopment Project

This Redevelopment Plan is expected to have short- and long-term financial impacts on the affected taxing

districts. During the period when TIF is utilized, real estate tax increment revenues from the increases in EAV

over and above the Certified Initial EAV (established at the time of adoption of this document) may be used

to pay eligible redevelopment project costs for the proposed RPA. To the extent that real property tax

increment is not required for such purposes, revenues shall be declared surplus and become available for

distribution annually to area taxing districts in the manner provided by the Act. At the time when the proposed

RPA is no longer in place under the Act, the real estate tax revenues resulting from the redevelopment of the



proposed RPA will be distributed to all taxing district levying taxes against property located in the proposed

RPA. These revenues will then be available for use by the affected taxing districts.

DEMAND ON TAXING DISTRICT SERVICES AND PROGRAM TO ADDRESS FINANCIAL AND SERVICE

IMPACT

In 1994, the Act was amended to require an assessment of any financial impact of a redevelopment project

area on, or any increased demand for service from, any taxing district affected by the redevelopment plan, and

a description of any program to address such financial impacts or increased demand.

Replacement of vacant and underutilized buildings and sites with active and more intensive uses may result in

additional demands on services and facilities provided by the districts. Given the preliminary nature of this

Redevelopment Plan, specific fiscal impacts on the taxing districts and increases in demand for services

provided by those districts cannot accurately be assessed within the scope of this Plan. At this time, no special

programs are proposed for these taxing districts. The City intends to monitor development in the area and

should demand increase, the City intends to work with the affected taxing districts to determine what, if any,

program is necessary to provide adequate services.

The following taxing districts presently levy taxes on properties within the proposed RPA:

• City of Dixon

• Dixon Park District

• Dixon Public School District 170

• Dixon Rural Fire Protection District

• East Grove, Hamilton, Marion, South Dixon Multi-Township District

• Lee County

• Sauk Valley Community College School District 506

• South Dixon Township

• South Dixon Township Road & Bridge


As a part of establishing the proposed RPA the following additional findings must be made:

FINDING 1: LACK OF GROWTH AND DEVELOPMENT THROUGH PRIVATE INVESTMENT

The City is required to evaluate whether or not the proposed RPA has been subject to growth and development

through private investment and must substantiate a finding of lack of such investment. No private investment

has occurred in the proposed Industrial Park RPA during the past five years (2016-2021), as demonstrated by

the following:

• EAV TRENDS. Overall, the EAV of the proposed RPA has grown over the last five years. However, all

growth in EAV has been the result of land appreciation rather than new investment. Between 2015 and

2020, the assessed land value of all parcels in the proposed RPA increased by 35%. Over the same

period, the assessed building value of all parcels in the proposed RPA decreased by 2%. These trends

indicate that growth in the overall EAV of the proposed RPA has not been the result of private

investment.



• LIMITED CONSTRUCTION-RELATED PERMIT ACTIVITY. According to the Lee County Zoning and

Planning Office, no building permits have been issued for parcels within the proposed RPA in the last

ten years. As discussed above, the lack of investment in structures has resulted in declining assessed

building value within the proposed RPA. Thus, the proposed RPA has not been subject to growth and

development through investment by private enterprise.

Finding: The proposed RPA on the whole has not been subject to growth and development through investment

by private enterprise.

FINDING 2: “BUT FOR...” REQUIREMENT

The City is required to find that, but for the designation of the TIF district and the use of TIF, the proposed

Industrial Park RPA is not reasonably anticipated to be developed.

Without the support of public resources, the redevelopment objectives for the proposed RPA would most likely

not be realized. The investments required to update and maintain infrastructure exhibiting deterioration, deal

with flooding issues and extend utilities throughout the proposed Industrial Park RPA are extensive and costly.

The private market, on its own, has shown little ability to absorb all of these costs. Public resources to assist

with public improvements and project-specific development costs are essential to leverage private investment

and facilitate area-wide redevelopment.

Finding: But for the adoption of this Redevelopment Plan, critical resources will be lacking to support the

development and/or redevelopment of the proposed RPA, and the proposed RPA would not reasonably be

anticipated to be developed/redeveloped.

FINDING 3: CONTIGUITY

No redevelopment project area can be designated unless the area can only include those contiguous parcels

that are to be substantially benefited by the proposed redevelopment project improvements.

Finding: The proposed RPA includes only those contiguous parcels of real property that are expected to benefit

substantially from the proposed Redevelopment Plan.

FINDING 4: CONFORMANCE TO THE PLANS OF THE CITY

The Redevelopment Plan and Project must conform to the comprehensive plan for the development of the

municipality as a whole.

This Redevelopment Plan is subservient to, the City’s 2001 Plan.

Finding: The Industrial Park Redevelopment Plan conforms to the 2001 Comprehensive Plan.

FINDING 5: HOUSING IMPACT AND RELATED MATTERS



As set forth in the Act, if a redevelopment plan for a redevelopment project area would result in the

displacement of residents from 10 or more inhabited residential units, or if the redevelopment project area

contains 75 or more inhabited residential units and a municipality is unable to certify that no displacement will

occur, the municipality must prepare a Housing Impact Study and incorporate the study into the

Redevelopment Plan and Project document.

Finding: SB Friedman found that there is one housing unit within the proposed RPA. The City certifies that no

displacement will occur as a result of activities pursuant to this Redevelopment Plan. Therefore, a Housing Impact

Study is not required under the Act.

FINDING 6: ESTIMATED DATES OF COMPLETION

As set forth in the Act, the redevelopment plan must establish the estimated dates of completion of the

redevelopment project and retirement of obligations issued to finance redevelopment project costs.

Finding: The estimated dates of completion of the project and retirement of obligations are described in “Phasing

and Scheduling of the Redevelopment” above. This Redevelopment Plan is estimated be completed, and all

obligations issued to finance redevelopment costs shall be retired no later than December 31, 2046 if the

ordinances establishing the proposed RPA are adopted during 2022.

Provisions for Amending Action Plan

This Redevelopment Plan document may be amended pursuant to the provisions of the Act.

Commitment to Fair Employment Practices and an Affirmative Action Plan

The City of Dixon hereby affirms its commitment to fair employment practices and an affirmative action plan.


Appendix 1: Limitations of the Eligibility Report and

Consultant Responsibilities

The Eligibility Report covers events and conditions that were determined to support the designation of the

proposed Redevelopment Project Area (“RPA” or “TIF District”) as a vacant “blighted area” and improved

“conservation area” under the Act at the completion of our field research in November 2021 and not thereafter.

These events or conditions include, without limitation, governmental actions and additional developments.

This Eligibility Report and Redevelopment Plan and Project (the “Report”) summarizes the analysis and findings

of the consultant’s work, which, unless otherwise noted, is solely the responsibility of SB Friedman. The City is

entitled to rely on the findings and conclusions of the Report in designating the proposed RPA as a

redevelopment project area under the Act. SB Friedman has prepared the Report with the understanding that

the City would rely: (1) on the findings and conclusions of this Redevelopment Plan in proceeding with the

designation of RPA and the adoption and implementation of this Redevelopment Plan; and (2) on the fact that

SB Friedman has obtained the necessary information including, without limitation, information relating to the

equalized assessed value of parcels comprising the proposed RPA, so that the Report will comply with the Act

and that the proposed RPA can be designated as a redevelopment project area in compliance with the Act.

The Report is based on estimates, assumptions, and other information developed from research of the market,

knowledge of the industry, and meetings during which we obtained certain information. The sources of

information and bases of the estimates and assumptions are stated in the Report. Some assumptions inevitably

will not materialize, and unanticipated events and circumstances may occur. Therefore, actual results achieved

will necessarily vary from those described in our Report, and the variations may be material.

The terms of this engagement are such that we have no obligation to revise the Report to reflect events or

conditions which occur subsequent to the date of the Report. These events or conditions include, without

limitation, economic growth trends, governmental actions, additional competitive developments, interest rates,

and other market factors. However, we will be available to discuss the necessity for revision in view of changes

in economic or market factors.

Preliminary Tax Increment Financing (TIF) projections were prepared for the purpose of estimating the

approximate level of increment that could be generated by proposed projects and other properties within the

proposed TIF District boundary and from inflationary increases in value. These projections were intended to

provide an estimate of the final equalized assessed value (EAV) of the proposed TIF District.

As such, our report and the preliminary projections prepared under this engagement are intended solely for

your information, for the purpose of establishing a TIF District. These projections should not be relied upon for

purposes of evaluating potential debt obligations or by any other person, firm or corporation, or for any other

purposes. Neither the Report nor its contents, nor any reference to our Firm, may be included or quoted in

any offering circular or registration statement, appraisal, sales brochure, prospectus, loan, or other agreement

or document intended for use in obtaining funds from individual investors, without prior written consent.


Appendix 2: Glossary

Factors for Vacant Land – One Factor Test


if one (1) or more of the following factors is found to be present to a meaningful extent.








Factors for Vacant Land – Two Factor Test

Obsolete Platting of Vacant Land. This includes parcels of limited or narrow size, or configurations of parcels

of irregular size or shape that would be difficult to develop on a planned basis and in a manner compatible

with contemporary standards and requirements, or platting that failed to create rights-of-ways for streets or

alleys or that created inadequate right-of-way widths for streets, alleys or other public rights-of-way, or that

omitted easements for public utilities.

Diversity of Ownership. Diversity of ownership is when adjacent properties are owned by multiple parties.

This factor applies when diversity of ownership of parcels of vacant land is sufficient in number to retard or

impede the ability to assemble the land for development.

Tax and Special Assessment Delinquencies. Tax and special assessment delinquencies exist or the property

has been the subject of tax sales under the Property Tax Code within the last five years.

Deterioration of Structures or Site Improvements in Neighboring Areas adjacent to the Vacant Land.

Evidence of structural deterioration and area disinvestment in blocks adjacent to the vacant land may

substantiate why new development had not previously occurred on the vacant parcels.

Environmental Contamination. The area has incurred Illinois Environmental Protection Agency or United

States Environmental Protection Agency remediation costs for, or a study conducted by an independent

consultant recognized as having expertise in environmental remediation, has determined a need for, the clean-

up of hazardous waste, hazardous substances, or underground storage tanks required by state or federal law,

provided that the remediation costs constitute a material impediment to the development or redevelopment

of the redevelopment project area.

Lack of Growth in Equalized Assessed Value. The total equalized assessed value (“EAV”) of the proposed

redevelopment project area has declined for three (3) of the last five (5) calendar years prior to the year in

which the redevelopment project area is designated; or is increasing at an annual rate that is less than the



balance of the municipality for three (3) of the last five (5) calendar years for which information is available; or

is increasing at an annual rate that is less than the Consumer Price Index for All Urban Consumers published

by the United States Department of Labor or successor agency for three (3) of the last five (5) calendar years

prior to the year in which the redevelopment project area is designated.

Factors for Improved Land

Dilapidation. An advanced state of disrepair or neglect of necessary repairs to the primary structural

components of buildings or improvements in such a combination that a documented building condition

analysis determines that major repair is required or the defects are so serious and so extensive that the

buildings must be removed.

Obsolescence. The condition or process of falling into disuse. Structures have become ill-suited for the original

use.

Deterioration. With respect to buildings, defects including but not limited to, major defects in the secondary

building components such as doors, windows, porches, gutters and downspouts, and fascia. With respect to

surface improvements, that the condition of roadways, alleys, curbs, gutters, sidewalks, off-street parking, and

surface storage areas evidence deterioration including but not limited to, surface cracking, crumbling, potholes,


Presence of Structures below Minimum Code Standards. All structures that do not meet the standards of

zoning, subdivision, building, fire, and other governmental codes applicable to property, but not including

housing and property maintenance codes.

Illegal Use of Individual Structures. The use of structures in violation of the applicable federal, state or local

laws, exclusive of those applicable to the Presence of Structures below Minimum Code Standards.

Excessive Vacancies. The presence of buildings that are unoccupied or underutilized and that represent an

adverse influence on the area because of the frequency, extent or duration of the vacancies.

Lack of Ventilation, Light or Sanitary Facilities. The absence of adequate ventilation for light or air circulation

in spaces or rooms without windows, or that require the removal of dust, odor, gas, smoke, or other noxious

airborne materials. Inadequate natural light and ventilation means the absence of skylights or windows for

interior spaces or rooms and improper window sizes and amounts by room area to window area ratios.

Inadequate sanitary facilities refers to the absence or inadequacy of garbage storage and enclosure, bathroom

facilities, hot water and kitchens, and structural inadequacies preventing ingress and egress to and from all

rooms and units within a building.

Inadequate Utilities. Underground and overhead utilities, such as storm sewers and storm drainage, sanitary

sewers, water lines, and gas, telephone, and electrical services that are shown to be inadequate. Inadequate

utilities are those that are: (i) of insufficient capacity to serve the uses in the redevelopment project area, (ii)

deteriorated, antiquated, obsolete, or in disrepair, or (iii) lacking within the redevelopment project area.

Excessive Land Coverage and Overcrowding of Structures and Community Facilities. The over-intensive

use of property and the crowding of buildings and accessory facilities onto a site. Examples of problem

conditions warranting the designation of an area as one exhibiting excessive land coverage are: (i) the presence



of buildings either improperly situated on parcels or located on parcels of inadequate size and shape in relation

to present-day standards of development for health and safety, and (ii) the presence of multiple buildings on

a single parcel. For there to be a finding of excessive land coverage, these parcels must exhibit one or more of

the following conditions: insufficient provision for light and air within or around buildings, increased threat of

spread of fire due to the close proximity of buildings, lack of adequate or proper access to a public right-of-

way, lack of reasonably required off-street parking, or inadequate provision for loading and service.

Deleterious Land Use or Layout. The existence of incompatible land use relationships, buildings occupied by

inappropriate mixed-uses, or uses considered to be noxious, offensive or unsuitable for the surrounding area.

Environmental Clean-Up. The proposed redevelopment project area has incurred Illinois Environmental

Protection Agency or United States Environmental Protection Agency remediation costs for, or a study

conducted by an independent consultant recognized as having expertise in environmental remediation has

determined a need for, the clean-up of hazardous waste, hazardous substances, or underground storage tanks

required by state or federal law, provided that the remediation costs constitute a material impediment to the

development or redevelopment of the redevelopment project area.

Lack of Community Planning. The proposed redevelopment project area was developed prior to or without

the benefit or guidance of a community plan. This means that the development occurred prior to the adoption

by the municipality of a comprehensive or other community plan, or that the plan was not followed at the time

of the area’s development. This factor must be documented by evidence of adverse or incompatible land use

relationships, inadequate street layout, improper subdivision, parcels of inadequate shape and size to meet

contemporary development standards, or other evidence demonstrating an absence of effective community

planning.

Lack of Growth in Equalized Assessed Value. The total equalized assessed value of the proposed








Appendix 3: Proposed Industrial Park RPA

Boundary Legal Description

OF PROPERTY DESCRIBED AS:

PART OF THE SOUTHEAST QUARTER OF SECTION 9, SOUTHWEST QUARTER OF SECTION 10, NORTHWEST

QUARTER OF SECTION 15, AND PART OF THE NORTHEAST QUARTER OF SECTION 16, ALL IN TOWNSHIP 21

NORTH, RANGE 9 EAST OF THE FOURTH PRINCIPAL MERIDIAN, LEE COUNTY, ILLINOIS, DESCRIBED AS

FOLLOWS:

BEGINNING AT THE NORTHEAST CORNER OF LOT 4 OF THE LEE COUNTY BUSINESS PARK – PHASE 2 IN SAID

NORTHEAST QUARTER OF SECTION 16; THENCE SOUTH ON THE EAST LINE OF SAID LOT 4, TO THE NORTH

LINE OF LOT 5 IN SAID LEE COUNTY BUSINESS PARK – PHASE 2; THENCE WEST ON THE NORTH LINE OF

SAID LOT 5 AND ITS WESTERLY EXTENSION, TO THE WEST RIGHT OF WAY LINE OF ILLINOIS CENTRAL DRIVE;

THENCE SOUTH ON SAID WEST RIGHT OF WAY LINE AND ITS SOUTHERLY EXTENSION, TO THE SOUTH RIGHT

OF WAY LINE OF EAST PROGRESS DRIVE; THENCE EAST ON SAID SOUTH RIGHT OF WAY LINE, TO THE WEST

LINE OF SAID NORTHWEST QUARTER OF SECTION 15; THENCE SOUTH ON SAID WEST LINE, TO THE SOUTH

LINE OF SAID NORTHWEST QUARTER; THENCE EAST ON SAID SOUTH LINE, TO THE EAST LINE OF THE WEST

HALF OF SAID NORTHWEST QUARTER; THENCE NORTH ON SAID EAST LINE, TO THE SOUTHEAST CORNER

OF THE WEST HALF OF SAID SOUTHWEST QUARTER OF SECTION 10; THENCE NORTH ON SAID EAST LINE,

TO THE NORTHEAST CORNER OF SAID WEST HALF OF THE SOUTHWEST QUARTER; THENCE WEST ON THE

NORTH LINE OF SAID SOUTHWEST QUARTER, TO THE SOUTHERLY RIGHT OF WAY LINE OF INTERSTATE 88;

THENCE SOUTHWESTERLY ON SAID SOUTHERLY RIGHT OF WAY LINE, TO THE RIGHT OF WAY LINE OF THE

INTERSTATE 88 EASTBOUND RAMPS AND THE WEST LINE OF TAX PARCEL 18-08-09-400-015; THENCE

SOUTHERLY ON SAID RIGHT OF WAY LINE AND SAID WEST LINE, TO THE NORTH LINE OF TAX PARCEL 18-

08-09-400-009; THENCE EAST ON SAID NORTH LINE, TO THE EAST LINE OF SAID TAX PARCEL; THENCE

SOUTH ON SAID EAST LINE AND ITS SOUTHERLY EXTENSION TO THE SOUTH RIGHT OF WAY LINE OF EAST

CORPORATE DRIVE; THENCE EAST ON SAID SOUTH RIGHT OF WAY LINE, TO THE POINT OF BEGINNING.


Appendix 4: List of PINs in

Proposed Industrial Park RPA

Record # PIN 2020 EAV

1 0809400015 $41,317 [1]

2 0810301002 $69,409

3 0815100001 $27,050

4 0816200020 $103,379

TOTAL $241,155

Source: Lee County, SB Friedman

[1] For vacant parcels that are only partially contained in the proposed RPA, the total 2020 EAV for the parcel was estimated based on

the proportion of parent parcel’s land area that is within the proposed RPA.

CITY OF DIXON, IL

Fargo Creek Redevelopment Project Area Tax Increment Financing District


FINAL REPORT | December 15, 2021

SB Friedman Development Advisors i

CITY OF DIXON, IL

FARGO CREEK

Redevelopment Project Area Tax Increment Financing District


December 15, 2021




Contact: Geoff Dickinson

T: 312.384.2404 E: [email protected]

SB Friedman Development Advisors ii

CITY OF DIXON, IL

Fargo Creek Redevelopment Project Area

Tax Increment Financing District


Table of Contents

SECTION PAGE

1. Introduction .................................................................................................................................................................................... 1

2. Eligibility Report ........................................................................................................................................................................... 9

3. Redevelopment Plan and Project .......................................................................................................................................... 17

Appendix 1: Limitations of the Eligibility Report and Consultant Responsibilities ...................................................... 28

Appendix 2: Glossary ..................................................................................................................................................................... 29

Appendix 3: Fargo Creek Proposed RPA Boundary Legal Description .......................................................................... 32

Appendix 4: List of PINs in Fargo Creek Proposed RPA ..................................................................................................... 35

LIST OF MAPS PAGE

Map 1: Community Context .......................................................................................................................................................... 5

Map 2: Proposed RPA Boundary ................................................................................................................................................. 6

Map 3: Vacant and Improved Land ............................................................................................................................................ 7

Map 4: Existing Land Use ............................................................................................................................................................... 8

Map 5: Age of Structures ............................................................................................................................................................. 14

Maps 6A to 6B: Summary of Improved Eligibility Factors Present to a Major Extent .......................................... 15-16

Map 7: Proposed Future Land Use ........................................................................................................................................... 19




www.sbfriedman.com


1. Introduction

The City of Dixon (the “City”) seeks to establish a Tax Increment Financing (“TIF”) district to serve as an economic

development tool and promote the revitalization and development of land from its downtown to Interstate 88

in the southern part of Dixon. The City engaged SB Friedman Development Advisors (“SB Friedman”) in July

2020 to conduct a Redevelopment Project Area feasibility study and prepare a Redevelopment Plan and Project

(the “Redevelopment Plan”).

This document serves as the Eligibility Report and Redevelopment Plan (together, the “Report”) for the

proposed Fargo Creek Redevelopment Project Area (“proposed Fargo Creek RPA” or the “proposed RPA”).

Section 2 of the Report, the Eligibility Report, details the eligibility factors found within the proposed RPA in

support of its designation as a “blighted area” for vacant land and a “conservation area” for improved land,

within the definitions set forth in the Illinois Tax Increment Allocation Redevelopment Act, 65 ILCS 5/11-74.4‐1

et seq., as amended (the “Act”). Section 3 of this Report, the Redevelopment Plan, outlines the comprehensive

program to revitalize the proposed RPA, as required by the Act.

Redevelopment Project Area

The proposed Fargo Creek RPA is located within the City of Dixon in Lee County (the “County”), as shown on

Map 1. The proposed Fargo Creek RPA consists of approximately 179 tax parcels (147 improved parcels, 28

vacant and 4 right-of-way parcels) and 169 buildings. It comprises approximately 619 acres of land, of which

approximately 432 acres are vacant, 126 acres are improved, and approximately 61 acres are right-of-way. The

parcels included in the proposed RPA are roughly bounded by 1st Street to the north, Peoria Avenue and

Chicago Avenue to the east, Interstate 88 to the south and Depot Avenue and Pump Factory Road to the west,

as illustrated in Map 2. SB Friedman’s analysis was completed for both vacant parcels and improved parcels,

as shown in Map 3. Based upon SB Friedman’s research, the proposed RPA currently consists of a mix of

commercial, residential, industrial, institutional, vacant/open space land uses, as shown in Map 4.

Determination of Eligibility

This Report concludes that the proposed Fargo Creek RPA is eligible for designation as a “blighted area” for


VACANT PARCELS: BLIGHTED AREA FINDINGS

Per SB Friedman’s analysis, the vacant portion of the proposed RPA is eligible as a “blighted area” under the

one-factor test as outlined in the Act. This factor and others are defined under the Act at 65 ILCS 5/11‐74.4‐3

(a) and (b) and are more fully described in Appendix 2.

The City engaged Veenstra & Kimm, Inc. (“Veenstra & Kimm”) to evaluate chronic flooding within the proposed

RPA and/or runoff from the vacant parcels in the proposed RPA contributing to flooding within the watershed.

Veenstra & Kimm determined that runoff from 100% of the vacant land in the proposed RPA contributes to

flooding within the Fargo Creek watershed. Thus, the vacant land is eligible as a “blighted area” using the one-

factor test.

City of Dixon / Fargo Creek RPA – Eligibility Report and Redevelopment Plan


IMPROVED PARCELS: CONSERVATION AREA FINDINGS

For the improved land within the proposed RPA, SB Friedman’s analysis indicated that 78% of primary

structures are aged 35 years or older. This satisfies the requirement that 50% or more of the structures in the

area have an age of 35 years or more. Further, the following three (3) eligibility factors have been found to be


1. Lack of Growth in Equalized Assessed Value (“EAV”);

2. Deterioration; and


These factors are defined under the Act at 65 ILCS 5/11‐74.4‐3 (a) and (b) and are more fully described in

Appendix 2.

Based on the age of primary structures in the proposed RPA and the presence of three eligibility factors, the

improved parcels in the proposed RPA qualify under a conservation area finding (age of structures plus at least

three eligibility factors).

SUMMARY OF ELIGIBILITY FINDINGS

SB Friedman has found that the vacant portion of the proposed RPA qualifies to be designated as a “blighted

area,” under the one-factor test, and the improved portion of the proposed RPA qualifies as a “conservation

area,” with 78% of the primary structures within the proposed RPA at least 35 years of age or older, and three

(3) of the thirteen (13) eligibility factors found to be present to a meaningful extent and reasonably distributed

within the proposed RPA.

These conditions hinder the potential to redevelop the proposed RPA and capitalize on its unique attributes.

The proposed RPA will benefit from a strategy that addresses the challenges of parcels that contribute to

flooding, aged buildings, deterioration, lagging economic growth and inadequate infrastructure to facilitate

the overall improvement of its physical condition.

Redevelopment Plan Goal, Objectives and Strategy

GOAL. The overall goal of the Redevelopment Plan and Project is to reduce or eliminate conditions that qualify

the proposed RPA as a vacant blighted area and an improved conservation area, and to provide the direction

and mechanisms necessary to redevelop the proposed RPA as a vibrant mixed-use district. Redevelopment of

the proposed RPA is intended to revitalize the area, strengthen the economic base, and enhance the City’s

overall quality of life.


1. Facilitate the physical improvement and/or rehabilitation of existing structures and façades within

the proposed RPA, and encourage the construction of new industrial, commercial, residential,

civic/cultural and/or recreational development, where appropriate;














6. Support the goals and objectives of other overlapping plans, including the Comprehensive Plan

for Dixon, Illinois published in 2001 (the “2001 Comprehensive Plan”) and subsequent plans;


Plan;

STRATEGY. Redevelopment of the proposed RPA is to be achieved through an integrated and comprehensive

strategy that leverages public resources to stimulate additional private investment. The underlying strategy is

to use TIF, as well as other funding sources, to reinforce and encourage further private investment.

Financial Plan

ELIGIBLE COSTS. The Act outlines several categories of expenditures that can be funded using incremental

property taxes. These expenditures, referred to as eligible redevelopment project costs, include all reasonable

or necessary costs incurred or estimated to be incurred, and any such costs incidental to this Redevelopment

Plan pursuant to the Act.

ESTIMATED REDEVELOPMENT PROJECT COSTS. The estimated eligible redevelopment project costs of this

Redevelopment Plan are $106 million. The total of eligible redevelopment project costs provides an upper limit

on expenditures that are to be funded using tax increment revenues, exclusive of capitalized interest, issuance

costs, interest and other financing costs.

EQUALIZED ASSESSED VALUE OF PROPERTIES IN THE PROPOSED RPA. The 2020 EAV (the most recent

year in which assessed values and the equalization factor were available) of all taxable parcels in the proposed

RPA is $6,118,132. By tax year 2045 (collection year 2046, the total taxable EAV for the proposed RPA is

anticipated to be approximately $67 million.


The required conditions for the adoption of this Redevelopment Plan are found to be present within the

proposed Fargo Creek RPA:



1. The proposed RPA is 619 acres in size and thus satisfies the requirement that it be at least 1.5

acres;

2. Limited private investment has occurred in the proposed Fargo Creek RPA over the last five years;

3. Without the support of public resources, the redevelopment objectives for the proposed RPA

would most likely not be realized. Accordingly, “but for” the designation of a TIF district, these

projects would be unlikely to occur on their own;

4. The proposed Fargo Creek RPA includes only those contiguous parcels of real property that are

expected to benefit substantially from the proposed Redevelopment Plan;

5. The Redevelopment Plan conforms to and proposes land uses that are consistent with the 2001

Comprehensive Plan;

6. The City certifies that no displacement will occur as a result of activities pursuant to this

Redevelopment Plan. Therefore, a Housing Impact Study is not required under the Act; and

7. The Redevelopment Plan is estimated be completed, and all obligations issued to finance

redevelopment costs shall be retired no later than December 31, 2046, if the ordinances

establishing the proposed RPA are adopted during 2022.



Map 1: Context

Source: City of Dixon, Lee County, Esri, SB Friedman



Map 2: Proposed RPA Boundary

Source: City of Dixon, Esri, Lee County, SB Friedman



Map 3: Vacant and Improved Parcels in Proposed RPA




Map 4: Existing Land Use



2. Eligibility Report

This report concludes that the proposed Fargo Creek RPA is eligible for designation as a “blighted area” for


Provisions of the Illinois Tax Increment Allocation Redevelopment Act

Under the Act, two (2) primary avenues exist to establish eligibility for an area to permit the use of TIF for

redevelopment: declaring an area as a “blighted area” and/or a “conservation area.” “Blighted areas” are those

improved or vacant areas with blighting influences that are impacting the public safety, health, morals, or

welfare of the community, and are substantially impairing the growth of the tax base in the area. “Conservation

areas” are those improved areas that are deteriorating and declining and soon may become blighted if the

deterioration is not abated. A description of the statutory provisions of the Act is provided below.

Factors for Vacant Land

According to the Act, there are two ways by which vacant land can be designated as “blighted.” The first is to

find that at least two (2) of six (6) factors from the “Two-Factor Test” are present to a meaningful extent and

reasonably distributed throughout the proposed RPA. The second way is to find at least one (1) of the six (6)

factors under the “One-Factor Test” is present to a meaningful extent and reasonably distributed throughout

the proposed RPA.

TWO-FACTOR TEST

Under the provisions of the “blighted area” section of the Act, if the land is vacant, an area qualifies as “blighted’

if a combination of two (2) or more of the following factors may be identified, which combine to impact the

sound growth of the proposed RPA.

• Obsolete Platting of Vacant Land

• Diversity of Ownership

• Tax and Special Assessment Delinquencies

• Deterioration of Structures or Site Improvements in Neighboring Areas adjacent to the Vacant Land

• Environmental Contamination


ONE-FACTOR TEST


if one (1) or more of the following factors is found.










Factors for Improved Areas

According to the Act, “blighted areas” for improved land must demonstrate at least five (5) of the following

eligibility factors, which threaten the health, safety, morals or welfare of the proposed district. “Conservation

areas” must have a minimum of 50% of the total structures within the area aged 35 years or older, plus a

combination of three (3) or more additional eligibility factors that are detrimental to the public safety, health,

morals or welfare, and that could result in such an area becoming a “blighted area.” The following are eligibility

factors for improved areas:

• Dilapidation

• Obsolescence

• Deterioration

• Presence of Structures below Minimum

Code Standards

• Illegal Use of Individual Structures

• Excessive Vacancies

• Lack of Ventilation, Light or Sanitary

Facilities

• Inadequate Utilities

• Excessive Land Coverage and

Overcrowding of Structures and

Community Facilities

• Deleterious Land Use or Layout

• Environmental Clean-Up

• Lack of Community Planning


A definition of each factor is provided in Appendix 2.

Methodology Overview

SB Friedman conducted the following analyses to determine whether the proposed Fargo Creek RPA is eligible

for designation as a “blighted area” for vacant land and as a “conservation area” for improved land, per the

Act:

• Parcel-by-parcel field observations and photography documenting external property conditions;

• Analysis of historical EAV trends for the last six years (five year-to-year periods) for which data are

available and final (2015-2020) from the Lee County Assessor’s Office and Lee County Clerk’s Office;

• Review of building age data from the Lee County Assessor’s Office;

• Review of municipal building permit records (2016-2021);

• Review of a memorandum provided by the City regarding locations, ages and conditions of water,

stormwater and sanitary sewer infrastructure;

• Review of a memorandum from Veenstra & Kimm, the City’s engineering consultant, regarding the

contribution of runoff from the vacant parcels in the proposed RPA to flooding in the watershed;

• Review of current and first City comprehensive plans (from 1990 and the current comprehensive plan

from 2001).

SB Friedman examined all parcels for qualification factors consistent with requirements of the Act.

SB Friedman analyzed the presence or absence of each eligibility factor on a building-by-building, parcel-by-

parcel basis and/or aggregate basis as applicable. The building and parcel information was then plotted on a



map of the proposed RPA to determine which factors were present to a meaningful extent and reasonably

distributed throughout the proposed RPA.

Blighted Area Findings: Vacant Parcels

Per SB Friedman’s analysis, the vacant portion of the proposed RPA is eligible to be designated as a “blighted

area” per the one-factor finding.

ONE-FACTOR BLIGHTED FINDING

Veenstra & Kimm, a third-party engineer engaged by the City, has indicated that runoff from 100% of the

vacant portion of the proposed RPA contributes to flooding within the Fargo Creek watershed. This factor is

found to be present to a meaningful extent and reasonably distributed throughout the proposed RPA.

Conservation Area Findings: Improved Parcels

Based upon the conditions found within the proposed RPA at the completion of SB Friedman’s research, it has

been determined that the improved land within the proposed RPA meets the eligibility requirements of the

Act as a “conservation area.” Of the 147 primary structures in the proposed RPA, at least 114 structures (78%)

are 35 years of age or older, as they were constructed before 1986. Map 5 shows the location of parcels with

buildings that are 35 years or older. SB Friedman’s research indicates that the following three (3) factors are


1. Lack of Growth in EAV

2. Deterioration


Each eligibility factor that is present to a meaningful extent and reasonably distributed throughout the

proposed RPA is summarized below. Maps 6A and 6B illustrate the distribution of those eligibility factors found

to be reasonably distributed on a building-by-building and/or parcel-by-parcel basis within the proposed RPA

by highlighting each parcel or building where the respective factors were found to be present to a meaningful

degree.

1. LACK OF GROWTH IN EAV

The Act defines lack of growth in EAV as having the total EAV of the improved portion of the proposed RPA

under evaluation either decline for at least three (3) of the last five (5) year-to-year periods; or increase at an

annual rate that was less than the balance of the City for at least three (3) of the past five (5) year-to-year

periods; or increase at an annual rate that was less than the Consumer Price Index for at least three (3) of the

past (5) year-to-year periods. A full definition is provided in Appendix 2.

SB Friedman tabulated the EAV history of all proposed improved RPA tax parcels for the previous five year‐to‐

year periods using EAV data provided by the Lee County Assessor’s Office and Lee County Clerk’s Office. The

most recent year for which final information was available was 2020. SB Friedman’s analysis identified a lack of

EAV growth within the proposed RPA in accordance with the following criteria, as defined in the Act:



• The EAV growth rate of the proposed improved RPA parcels has been less than the growth rate of the

balance of the City of Dixon for three (3) of the last five (5) year-to-year periods.

This eligibility factor is present to a meaningful extent and assessed area-wide throughout the improved

portion of the proposed Fargo Creek RPA. A summary of SB Friedman’s findings is presented in Table 1.

Table 1: Percentage Change in Annual EAV, 2015-2020

2015 2016 2017 2018 2019 2020

Improved Proposed RPA Parcels EAV $4.1 M $4.0 M $4.1 M $4.2 M $4.3 M $4.4 M

Percent Change --- -0.8% 2.0% 3.3% 2.0% 1.6%

City EAV Less Improved Proposed

RPA Parcels $177.3 M $176.9 M $181.7 M $188.0 M $189.6 M $188.9 M

Change in City EAV Less Improved

Proposed RPA Parcels --- -0.2% 2.7% 3.4% 0.9% -0.4%

Improved Proposed RPA Parcels -

Growth Less Than the Balance of

the City

--- YES YES YES NO NO

Source: Lee County Assessor; Lee County Clerk, SB Friedman

2. DETERIORATION

The Act defines deterioration as defects including, but not limited to, major defects in the secondary building

components such as doors, windows, porches, gutters and downspouts, and fascia. With respect to surface

improvements, that the condition of roadways, alleys, curbs, gutters, sidewalks, off-street parking, and surface

storage areas evidence deterioration including but not limited to, surface cracking, crumbling, potholes,


Physical deterioration was observed on 118 parcels of 147 improved parcels (80% of improved parcels). The

most common form of deterioration was on surface improvements, including streets, parking lots and alleys.

Catalogued surface improvement deterioration included cracks in infrastructure, alligatoring of pavement, and

potholes. Building deterioration included stairstepping in brick and cinderblock, cracked foundations and

broken downspouts. Deterioration of buildings and surface improvements can make it appear as though the

proposed RPA lacks investment and can make it more difficult to attract new investment, businesses or

consumers. This factor was found to be meaningfully present and reasonably distributed throughout the

improved portion of the proposed RPA.

3. INADEQUATE UTILITIES

The Act defines inadequate utilities as underground and overhead utilities, such as storm sewers and storm

drainage, sanitary sewers, water lines, and gas, telephone and electrical services, which are:

1. Of insufficient capacity to serve the uses in the redevelopment project area;

2. Deteriorated, antiquated, obsolete, or in disrepair; or

3. Lacking within the redevelopment project area.



Based on a memorandum provided by the City’s Public Works Director, improvements to water and wastewater

infrastructure are required immediately to bring existing facilities in the proposed RPA up to current standards.

The City estimates that approximately 60% of existing water infrastructure in the improved portion of the

proposed RPA has exceeded its life expectancy or is inadequately sized for current demands and therefore

requires rehabilitation or replacement. The City also estimates that approximately 30% of existing wastewater

infrastructure in the improved portion of the proposed RPA is at the end of its service life and requires

rehabilitation or replacement. Finally, the City states that stormwater management infrastructure is wholly

inadequate throughout the proposed RPA and that immediate improvements are required to eliminate existing

flooding issues along Fargo Creek.

Current water, wastewater and stormwater infrastructure does not have sufficient capacity to handle

contemporary requirements and needs to be replaced. Collectively, these inadequate utility lines service 147

of the proposed RPA’s 147 improved parcels (100%). Based on these conditions, the inadequate utilities factor

was found to be present to a meaningful extent and reasonably distributed throughout the improved portion

of the proposed RPA.

Summary of Findings

SB Friedman has found that the proposed RPA qualifies to be designated as a “blighted area” for vacant land

and as a “conservation area” for improved land. The vacant land is eligible under a one-factor test due to

flooding and contribution to flooding in the proposed RPA. The improved land is eligible as a “conservation

area”, with 78% of the structures within the proposed RPA at least 35 years of age or older, and three (3) of

the thirteen (13) eligibility factors present to a meaningful extent and reasonably distributed within the

proposed RPA.



Map 5: Improved Land Factor: Age of Structures




Map 6A: Improved Land Factor: Deterioration

Source: Lee County, Esri, SB Friedman



Map 6B: Improved Land Factor: Inadequate Utilities

Source: City of Dixon, Lee County, Esri, SB Friedman


3. Redevelopment Plan and Project

This document describes the comprehensive redevelopment program proposed to be undertaken by the City

to create an environment in which private investment can reasonably occur. The redevelopment program will

be implemented over the 23-year life of the proposed RPA. If a redevelopment project is successful, various

new projects will be undertaken that will assist in alleviating blighting conditions and promoting rehabilitation

and development in the proposed RPA.

Redevelopment Needs of the Proposed RPA

Currently, the proposed RPA is comprised of flood-prone vacant land and aging buildings that are

characterized by lagging property value growth, deterioration and inadequate utilities. These conditions

reduce the value of the properties in the area and make the proposed RPA less competitive, overall, with

property in other communities, thus limiting local area employment and development opportunities, and

contributing to the lack of new investment in the proposed RPA.

The existing conditions for the proposed RPA suggest six (6) major redevelopment needs:

1. Capital improvements that further the objectives set forth in this Redevelopment Plan;

2. Site preparation, environmental remediation and stormwater management;

3. Redevelopment of underutilized parcels;

4. Streetscape and infrastructure improvements, including utilities;

5. Rehabilitation of existing buildings; and

6. Resources for commercial, residential, public/private institutional, community facility, industrial,

park/open space, and utility development.

The goals, objectives and strategies discussed below have been developed to address these needs and

facilitate the sustainable redevelopment of the proposed RPA.

GOAL, OBJECTIVES AND STRATEGY



mechanisms necessary to redevelop the proposed RPA as a vibrant mixed-use district. Redevelopment of the

proposed RPA is intended to revitalize the area, strengthen the economic base, and enhance the City’s overall

quality of life.


1. Facilitate the physical improvement and/or rehabilitation of existing structures and façades within

the proposed RPA, and encourage the construction of new industrial, commercial, residential,

civic/cultural and/or recreational development, where appropriate;














6. Support the goals and objectives of other overlapping plans, including the Comprehensive Plan

for Dixon, Illinois published in 2001 (the “2001 Comprehensive Plan”) and subsequent plans;


Plan;

STRATEGY. Redevelopment of the proposed RPA is to be achieved through an integrated and comprehensive

strategy that leverages public resources to stimulate additional private investment. The underlying strategy is

to use TIF, as well as other funding sources, to reinforce and encourage further private investment.

Proposed Future Land Use

The proposed future land use of the proposed RPA, as shown in Map 7, reflects the objectives of this

Redevelopment Plan. For the purposes of this plan, the mixed-use designation is meant to allow for a variety

of uses throughout the proposed RPA, in a manner that is in conformance with the Comprehensive Plan. The

mixed-use designation allows for the following general land uses within the proposed RPA:

• Commercial

• Residential

• Industrial/Light Manufacturing

• Public/Private Institutional

• Park/Open Space

• Community Facilities

• Utilities

• Right-of-Way



Map 7: Proposed Future Land Use




Financial Plan

ELIGIBLE COSTS

The Act outlines several categories of expenditures that can be funded using tax increment revenues. These

expenditures, referred to as eligible redevelopment project costs, include all reasonable or necessary costs

incurred or estimated to be incurred, and any such costs incidental to this Redevelopment Plan pursuant to

the Act. The City may also reimburse private entities for certain costs incurred in the development and/or

redevelopment process. Such costs may include, without limitation, the following:

1. Costs of studies, surveys, development of plans and specifications, and implementation and

administration of the Redevelopment Plan including, but not limited to, staff and professional service

costs for architectural, engineering, legal, financial, planning or other services (excluding lobbying

expenses), provided that no charges for professional services are based on a percentage of the tax

increment collected, as more fully set forth in 65 ILCS 5/11-74.4-3(q)(1).

2. The costs of marketing sites within the RPA to prospective businesses, developers and investors.

3. Property assembly costs, including but not limited to, acquisition of land and other property, real or

personal, or rights or interests therein, demolition of buildings, site preparation, site improvements

that serve as an engineered barrier addressing ground-level or below-ground environmental

contamination, including, but not limited to parking lots and other concrete or asphalt barriers, and

the clearing and grading of land as more fully set forth in 65 ILCS 5/11-74.4-3(q)(2).

4. Costs of rehabilitation, reconstruction, or repair or remodeling of existing public or private buildings,

fixtures and leasehold improvements, as more fully set forth in 65 ILCS 5/11-74.4-3(q)(3); and the costs

of replacing an existing public building if pursuant to the implementation of a redevelopment project,

the existing public building is to be demolished to use the site for private investment or devoted to a

different use requiring private investment.

5. Costs of the construction of public works or improvements, subject to the limitations in Section 11-

74.4-3(q)(4) of the Act.

6. Costs of job training and retraining projects, including the costs of “welfare to work” programs

implemented by businesses located within the RPA, as more fully set forth in 65 ILCS 5/11-74.4-3(q)(5).

7. Financing costs, including but not limited to all necessary and incidental expenses related to the

issuance of obligations and which may include payment of interest on any obligations issued

hereunder including interest accruing during the estimated period of construction of any

redevelopment project for which such obligations are issued and for not exceeding 36 months

thereafter and including reasonable reserves related thereto.

8. To the extent the municipality by written agreement accepts and approves the same, all or a portion

of a taxing district’s capital costs resulting from the redevelopment project necessarily incurred or to

be incurred within a taxing district in furtherance of the objectives of this Redevelopment Plan.



9. An elementary, secondary or unit school district’s increased per pupil tuition costs attributable to net

new pupils added to the district living in assisted housing units will be reimbursed, as further defined

in the Act.

10. A library district’s increased per patron costs attributable to net new persons eligible to obtain a library

card living in assisted housing units, as further defined in the Act.

11. Relocation costs to the extent that the municipality determines that relocation costs shall be paid or is

required to make payment of relocation costs by federal or state law, or by Section 11-74.4-3(n)(7) of

the Act.

12. Payment in lieu of taxes, as defined in the Act.

13. Costs of job training, retraining, advanced vocational education or career education, including, but

not limited to, courses in occupational, semi-technical or technical fields leading directly to

employment, incurred by one or more taxing districts, as more fully set forth in 65 ILCS 5/11-74.4-

3(q)(10).

14. Interest costs incurred by a developer, as more fully set forth in 65 ILCS 5/11-74.4-3(q)(11), related to

the construction, renovation or rehabilitation of a redevelopment project provided that:

a. Such costs are to be paid directly from the special tax allocation fund established, pursuant

to the Act;

b. Such payments in any one year may not exceed thirty percent (30%) of the annual interest

costs incurred by the developer with regard to the development project during that year;

c. If there are not sufficient funds available in the special tax allocation fund to make the payment

pursuant to this provision, then the amounts so due shall accrue and be payable when

sufficient funds are available in the special tax allocation fund;

d. The total of such interest payments paid, pursuant to the Act, may not exceed thirty percent

(30%) of the total of: (i) cost paid or incurred by the developer for the redevelopment project;

and (ii) redevelopment project costs excluding any property assembly costs and any

relocation costs incurred by the municipality, pursuant to the Act;

e. For the financing of rehabilitated or new housing for low-income households and very low-

income households, as defined in Section 3 of the Illinois Affordable Housing Act, the

percentage of seventy-five percent (75%) shall be substituted for thirty percent (30%) in

subparagraphs 14b and 14d above; and

f. Instead of the interest costs described above in paragraphs 14b and 14d, a municipality may

pay from tax incremental revenues up to fifty percent (50%) of the cost of construction,

renovation and rehabilitation of new housing units (for ownership or rental) to be occupied

by low-income households and very low-income households, as defined in Section 3 of the

Illinois Affordable Housing Act, as more fully described in the Act. If the units are part of a

residential redevelopment project that includes units not affordable to low- and very low-



income households, only the low- and very low-income units shall be eligible for this benefit

under the Act.

Unless explicitly provided in the Act, the cost of construction of new privately-owned buildings shall not be an

eligible redevelopment project cost.

If a Special Service Area is established pursuant to the Special Service Area Tax Act, 35 ILCS 235/0.01 et seq.,

then any tax increment revenues derived from the tax imposed pursuant to the Special Service Area Tax Act

may be used within the RPA for the purposes permitted by the Special Service Area Tax Act as well as the

purposes permitted by the Act.

ESTIMATED REDEVELOPMENT PROJECT COSTS

The total eligible redevelopment project costs define an upper expenditure limit that may be funded using tax

increment revenues, exclusive of capitalized interest, issuance costs, interest, and other financing costs. The

totals of line items are not intended to place a limit on the described expenditures. Adjustments to the

estimated line-item costs are expected and may be made by the City without amendment to this

Redevelopment Plan, either increasing or decreasing line-item costs because of changed redevelopment costs

and needs. Each individual project cost will be re-evaluated in light of projected private development and

resulting incremental tax revenues as it is considered for public financing under the provisions of the Act. The

estimated eligible costs of this Redevelopment Plan are shown in Table 2.

Additional funding in the form of state and federal grants, private developer contributions, and other outside

sources may be pursued by the City as a means of financing improvements and facilities within the proposed

RPA.

Table 2: Estimated TIF-Eligible Redevelopment Project Costs

Eligible Expense [1] Estimated Project Costs

Administration and Professional Service Costs $2,000,000

Site Marketing Costs $800,000

Property Assembly and Site Preparation Costs $15,000,000

Costs of Building Rehabilitation $5,000,000

Costs of Construction of Public Works or Improvements $72,000,000

Financing Costs $900,000

Taxing District Capital Costs $400,000

Relocation Costs $400,000

Payments in Lieu of Taxes $1,000,000

Costs of Job Training or Retraining $500,000

Interest Costs (Developer or Property Owner) $5,000,000

Affordable Housing Construction $3,000,000

TOTAL REDEVELOPMENT PROJECT COSTS [2] [3] [4] $106,000,000

[1] Described in more detail in Eligible Costs Section.

[2] Total Redevelopment Project Costs exclude any additional financing costs, including any interest expense, capitalized interest,

costs of issuance, and costs associated with optional redemptions. These costs are subject to prevailing market conditions and are

in addition to Total Redevelopment Project Costs.

[3] The amount of the Total Redevelopment Project Costs that can be incurred in the proposed RPA may be reduced by the

amount of redevelopment project costs incurred in contiguous RPAs, or those separated from the proposed RPA only by a public

right-of-way, that are permitted under the Act to be paid, and are paid, from incremental property taxes generated in the proposed



RPA, but may not be reduced by the amount of redevelopment project costs incurred in the proposed RPA that are paid from

incremental property taxes generated in contiguous RPAs or those separated from the proposed RPA only by a public right-of-

way.

[4] All costs are in 2022 dollars and may be increased by 5% after adjusting for annual inflation reflected in the Consumer Price

Index (CPI), published by the U.S. Department of Labor. In addition to the above stated costs, each issue of obligations issued to

finance a phase of the Redevelopment Plan may include an amount of proceeds sufficient to pay customary and reasonable

charges associated with the issuance of such obligations, including interest costs.

PHASING, SCHEDULING OF THE REDEVELOPMENT, AND ESTIMATED DATES OF COMPLETION

Each private project within the proposed RPA receiving TIF benefits shall be governed by the terms of a written

redevelopment agreement entered into by a designated developer and the City. This Redevelopment Plan is

estimated to be completed, and all obligations issued to finance redevelopment costs are estimated to be

retired, no later than December 31 of the year in which the payment to the City Finance Director provided in

the Act is to be made with respect to ad valorem taxes levied in the twenty-third calendar year following the

year in which the ordinance approving this proposed RPA is adopted. This Redevelopment Plan is estimated

to be completed, and all obligations issued to finance redevelopment costs shall be retired no later than

December 31, 2046 if the ordinances establishing the proposed RPA are adopted during 2022.

SOURCES OF FUNDS TO PAY COSTS

Funds necessary to pay for redevelopment project costs and/or municipal obligations, which may be issued or

incurred to pay for such costs, are to be derived principally from tax increment revenues and/or proceeds from

municipal obligations, which have as a repayment source tax increment revenue. To secure the issuance of

these obligations and the developer’s performance of redevelopment agreement obligations, the City may

require the utilization of guarantees, deposits, reserves, and/or other forms of security made available by

private sector developers. The City may incur redevelopment project costs that are paid from the funds of the

City other than incremental taxes, and the City then may be reimbursed for such costs from incremental taxes.

The tax increment revenue, which will be used to fund tax increment obligations and eligible redevelopment

project costs, shall be the incremental real property tax revenues. Incremental real property tax revenue is

attributable to the increase of the current EAV of each taxable lot, block, tract, or parcel of real property in the

proposed RPA over and above the certified initial EAV of each such property.

Other sources of funds, which may be used to pay for development costs and associated obligations issued or

incurred, include land disposition proceeds, state and federal grants, investment income, private investor and

financial institution funds, and other sources of funds and revenues as the municipality and developer from

time to time may deem appropriate.

The proposed RPA may be or become contiguous to, or be separated only by a public right-of-way from, other

redevelopment areas created under the Act (65 ILCS 5/11 74.4 4 et. seq.). The City may utilize net incremental

property tax revenues received from the proposed RPA to pay eligible redevelopment project costs, or

obligations issued to pay such costs, in other contiguous redevelopment project areas, or those separated only

by a public right-of-way, and vice versa. However, as a requirement of this Redevelopment Plan, funds from

the City’s Central Business District RPA shall not be utilized to pay eligible redevelopment project costs incurred

within the proposed RPA. The amount of revenue from the proposed RPA made available to support such

contiguous redevelopment project areas, or those separated only by a public right-of-way, when added to all



amounts used to pay eligible redevelopment project costs within the proposed RPA, shall not at any time

exceed the Total Redevelopment Project Costs described in Table 2 of this Redevelopment Plan.

ISSUANCE OF OBLIGATIONS

To finance project costs, the City may issue bonds or obligations secured by the anticipated tax increment

revenue generated within the proposed RPA, or such other bonds or obligations as the City may deem as

appropriate. The City may require the utilization of guarantees, deposits or other forms of security made

available by private sector developers to secure such obligations. In addition, the City may provide other legally

permissible credit enhancements to any obligations issued pursuant to the Act.

All obligations issued by the City pursuant to this Redevelopment Plan and the Act shall be retired within the

timeframe described under “Phasing, Scheduling of the Redevelopment, and Estimated Dates of Completion”

above. Also, the final maturity date of any such obligations that are issued may not be later than 20 years from

their respective dates of issue. One or more of a series of obligations may be sold at one or more times in

order to implement this Redevelopment Plan. The amounts payable in any year as principal and interest on all

obligations issued by the City shall not exceed the amounts available from tax increment revenues, or other

sources of funds, if any, as may be provided by ordinance. Obligations may be of parity or senior/junior lien

nature. Obligations issued may be serial or term maturities, and may or may not be subject to mandatory,

sinking fund or optional redemptions.

In addition to paying redevelopment project costs, tax increment revenues may be used for the scheduled

and/or early retirement of obligations, and for reserves and bond sinking funds.

MOST RECENT EQUALIZED ASSESSED VALUE OF PROPERTIES IN THE PROPOSED RPA

The purpose of identifying the most recent EAV of the proposed RPA is to provide an estimate of the initial

EAV for the purpose of annually calculating the incremental EAV and incremental property taxes of the

proposed RPA. The 2020 EAV (the most recent year in which final assessed values and equalization factor were

available) of all taxable parcels in the proposed RPA is $6,118,132. This total EAV amount by property index

number (“PIN”) is summarized in Appendix 4. The EAV is subject to verification by the Lee County Assessor’s

Office. After verification, the final figure shall be certified by the Lee County Clerk, and shall become the

“Certified Initial EAV” from which all incremental property taxes in the proposed RPA will be calculated by the

County.

ANTICIPATED EQUALIZED ASSESSED VALUE

By tax year 2045 (collection year 2046), the total taxable EAV for the proposed RPA is anticipated to be

approximately $39 million.

Impact of the Redevelopment Project

This Redevelopment Plan is expected to have short- and long-term financial impacts on the affected taxing

districts. During the period when TIF is utilized, real estate tax increment revenues from the increases in EAV

over and above the Certified Initial EAV (established at the time of adoption of this document) may be used

to pay eligible redevelopment project costs for the proposed RPA. To the extent that real property tax



increment is not required for such purposes, revenues shall be declared surplus and become available for

distribution annually to area taxing districts in the manner provided by the Act. At the time when the proposed

RPA is no longer in place under the Act, the real estate tax revenues resulting from the redevelopment of the

proposed RPA will be distributed to all taxing district levying taxes against property located in the proposed

RPA. These revenues will then be available for use by the affected taxing districts.

DEMAND ON TAXING DISTRICT SERVICES AND PROGRAM TO ADDRESS FINANCIAL AND SERVICE

IMPACT

In 1994, the Act was amended to require an assessment of any financial impact of a redevelopment project

area on, or any increased demand for service from, any taxing district affected by the redevelopment plan, and

a description of any program to address such financial impacts or increased demand.

Replacement of vacant and underutilized buildings and sites with active and more intensive uses may result in

additional demands on services and facilities provided by the districts. Given the preliminary nature of this

Redevelopment Plan, specific fiscal impacts on the taxing districts and increases in demand for services

provided by those districts cannot accurately be assessed within the scope of this Plan. At this time, no special

programs are proposed for these taxing districts. The City intends to monitor development in the area and

should demand increase, the City intends to work with the affected taxing districts to determine what, if any,

program is necessary to provide adequate services.

The following taxing districts presently levy taxes on properties within the proposed RPA:

• City of Dixon

• Dixon City Fire Department

• Dixon Park District

• Dixon Public School District 170

• Dixon Rural Fire Protection District

• Dixon Township

• Dixon Township Road & Bridge

• East Grove, Hamilton, Marion, South Dixon Multi-Township District

• Lee County

• Sauk Valley Community College School District 506

• South Dixon Township

• South Dixon Township Road & Bridge


As a part of establishing the proposed RPA the following additional findings must be made:

FINDING 1: LACK OF GROWTH AND DEVELOPMENT THROUGH PRIVATE INVESTMENT

The City is required to evaluate whether or not the proposed RPA has been subject to growth and development

through private investment and must substantiate a finding of lack of such investment. Limited private

investment has occurred in the proposed Fargo Creek RPA during the past five years (2016-2021), as

demonstrated by the following:



• EAV TRENDS. Change in property value is one of the strongest indicators that an area is suffering

from decline and a lack of private investment. As outlined in the preceding sections and shown in

Table 1 above, the proposed RPA as a whole has grown at an annual rate that is less than the balance

of the municipality for three (3) of the last five (5) year-to-year periods (2015-2020). Thus, the proposed

RPA has not been subject to growth and development through investment by private enterprise.

• LIMITED CONSTRUCTION-RELATED PERMIT ACTIVITY. Building permit data provided by the City

indicates that there has only been about $1,252,000 in investment over the past five years from

October 2016 to October 2021. This investment has generally consisted of minor exterior

improvements, interior remodeling of commercial spaces and a few roof replacements. Of the 108

building permits granted during this period, 78 had a value of less than $10,000. Furthermore, the

investment has not been substantial enough to reverse the overall trend of lagging EAV in the

proposed RPA. Thus, the proposed RPA has not been subject to growth and development through

investment by private enterprise.

Finding: The proposed RPA on the whole has not been subject to growth and development through investment

by private enterprise.

FINDING 2: “BUT FOR...” REQUIREMENT

The City is required to find that, but for the designation of the TIF district and the use of TIF, the proposed

Fargo Creek RPA is not reasonably anticipated to be developed.

Without the support of public resources, the redevelopment objectives for the proposed RPA would most likely

not be realized. The investments required to update and maintain deteriorating buildings with lagging property

values and served by inadequate utilities throughout the proposed Fargo Creek RPA are extensive and costly.

The private market, on its own, has shown little ability to absorb all of these costs. Public resources to assist

with public improvements and project-specific development costs are essential to leverage private investment

and facilitate area-wide redevelopment.

Finding: But for the adoption of this Redevelopment Plan, critical resources will be lacking to support the

development and/or redevelopment of the proposed RPA, and the proposed RPA would not reasonably be

anticipated to be developed/redeveloped.

FINDING 3: CONTIGUITY

No redevelopment project area can be designated unless the area can only include those contiguous parcels

that are to be substantially benefited by the proposed redevelopment project improvements.

Finding: The proposed RPA includes only those contiguous parcels of real property that are expected to benefit

substantially from the proposed Redevelopment Plan.

FINDING 4: CONFORMANCE TO THE PLANS OF THE CITY

The Redevelopment Plan and Project must conform to the comprehensive plan for the development of the

municipality as a whole.



All aspects of this Redevelopment Plan are subservient to, the City’s 2001 Plan and other land use regulations

and policies

Finding: The Redevelopment Plan conforms to the 2001 Comprehensive Plan.

FINDING 5: HOUSING IMPACT AND RELATED MATTERS

As set forth in the Act, if a redevelopment plan for a redevelopment project area would result in the

displacement of residents from 10 or more inhabited residential units, or if the redevelopment project area

contains 75 or more inhabited residential units and a municipality is unable to certify that no displacement will

occur, the municipality must prepare a Housing Impact Study and incorporate the study into the

Redevelopment Plan and Project document.

Finding: SB Friedman found that there are in excess of 75 inhabited residential units within the proposed RPA.

The City hereby certifies that no displacement will occur as a result of activities pursuant to this Redevelopment

Plan. Therefore, a Housing Impact Study is not required under the Act.

FINDING 6: ESTIMATED DATES OF COMPLETION

As set forth in the Act, the redevelopment plan must establish the estimated dates of completion of the

redevelopment project and retirement of obligations issued to finance redevelopment project costs.

Finding: The estimated dates of completion of the project and retirement of obligations are described in “Phasing

and Scheduling of the Redevelopment” above. This Redevelopment Plan is estimated be completed, and all

obligations issued to finance redevelopment costs shall be retired no later than December 31, 2046 if the

ordinances establishing the proposed RPA are adopted during 2022.

Provisions for Amending Action Plan

This Redevelopment Plan document may be amended pursuant to the provisions of the Act.

Commitment to Fair Employment Practices and an Affirmative Action Plan

The City of Dixon hereby affirms its commitment to fair employment practices and an affirmative action plan.


Appendix 1: Limitations of the Eligibility Report and

Consultant Responsibilities

The Eligibility Report covers events and conditions that were determined to support the designation of the

proposed Redevelopment Project Area (“RPA” or “TIF District”) as a blighted area” for vacant land and as a

“conservation area” for improved land under the Act at the completion of our field research in November 2021

and not thereafter. These events or conditions include, without limitation, governmental actions and additional

developments.

This Eligibility Report, Redevelopment Plan and Project (the “Report”) summarizes the analysis and findings of

the consultant’s work, which, unless otherwise noted, is solely the responsibility of SB Friedman. The City is

entitled to rely on the findings and conclusions of the Report in designating the proposed RPA as a

redevelopment project area under the Act. SB Friedman has prepared the Report with the understanding that

the City would rely: (1) on the findings and conclusions of this Redevelopment Plan in proceeding with the

designation of RPA and the adoption and implementation of this Redevelopment Plan; and (2) on the fact that

SB Friedman has obtained the necessary information including, without limitation, information relating to the

equalized assessed value of parcels comprising the proposed RPA, so that the Report will comply with the Act

and that the proposed RPA can be designated as a redevelopment project area in compliance with the Act.

The Report is based on estimates, assumptions, and other information developed from research of the market,

knowledge of the industry, and meetings during which we obtained certain information. The sources of

information and bases of the estimates and assumptions are stated in the Report. Some assumptions inevitably

will not materialize, and unanticipated events and circumstances may occur. Therefore, actual results achieved

will necessarily vary from those described in our Report, and the variations may be material.

The terms of this engagement are such that we have no obligation to revise the Report to reflect events or

conditions which occur subsequent to the date of the Report. These events or conditions include, without

limitation, economic growth trends, governmental actions, additional competitive developments, interest rates,

and other market factors. However, we will be available to discuss the necessity for revision in view of changes

in economic or market factors.

Preliminary Tax Increment Financing (TIF) projections were prepared for the purpose of estimating the

approximate level of increment that could be generated by proposed projects and other properties within the

proposed TIF District boundary and from inflationary increases in value. These projections were intended to

provide an estimate of the final equalized assessed value (EAV) of the proposed TIF District.

As such, our report and the preliminary projections prepared under this engagement are intended solely for

your information, for the purpose of establishing a TIF District. These projections should not be relied upon for

purposes of evaluating potential debt obligations or by any other person, firm or corporation, or for any other

purposes. Neither the Report nor its contents, nor any reference to our Firm, may be included or quoted in

any offering circular or registration statement, appraisal, sales brochure, prospectus, loan, or other agreement

or document intended for use in obtaining funds from individual investors, without prior written consent.


Appendix 2: Glossary

Factors for Vacant Land – One Factor Test


if one (1) or more of the following factors is found to be present to a meaningful extent.








Factors for Vacant Land – Two Factor Test

Obsolete Platting of Vacant Land. This includes parcels of limited or narrow size, or configurations of parcels

of irregular size or shape that would be difficult to develop on a planned basis and in a manner compatible

with contemporary standards and requirements, or platting that failed to create rights-of-ways for streets or

alleys or that created inadequate right-of-way widths for streets, alleys or other public rights-of-way, or that

omitted easements for public utilities.

Diversity of Ownership. Diversity of ownership is when adjacent properties are owned by multiple parties.

This factor applies when diversity of ownership of parcels of vacant land is sufficient in number to retard or

impede the ability to assemble the land for development.

Tax and Special Assessment Delinquencies. Tax and special assessment delinquencies exist or the property

has been the subject of tax sales under the Property Tax Code within the last five years.

Deterioration of Structures or Site Improvements in Neighboring Areas adjacent to the Vacant Land.

Evidence of structural deterioration and area disinvestment in blocks adjacent to the vacant land may

substantiate why new development had not previously occurred on the vacant parcels.

Environmental Contamination. The area has incurred Illinois Environmental Protection Agency or United

States Environmental Protection Agency remediation costs for, or a study conducted by an independent

consultant recognized as having expertise in environmental remediation, has determined a need for, the clean-

up of hazardous waste, hazardous substances, or underground storage tanks required by state or federal law,

provided that the remediation costs constitute a material impediment to the development or redevelopment

of the redevelopment project area.

Lack of Growth in Equalized Assessed Value. The total equalized assessed value (“EAV”) of the proposed









Factors for Improved Land

Dilapidation. An advanced state of disrepair or neglect of necessary repairs to the primary structural

components of buildings or improvements in such a combination that a documented building condition

analysis determines that major repair is required or the defects are so serious and so extensive that the

buildings must be removed.

Obsolescence. The condition or process of falling into disuse. Structures have become ill-suited for the original

use.

Deterioration. With respect to buildings, defects including but not limited to, major defects in the secondary

building components such as doors, windows, porches, gutters and downspouts, and fascia. With respect to

surface improvements, that the condition of roadways, alleys, curbs, gutters, sidewalks, off-street parking, and

surface storage areas evidence deterioration including but not limited to, surface cracking, crumbling, potholes,


Presence of Structures below Minimum Code Standards. All structures that do not meet the standards of

zoning, subdivision, building, fire, and other governmental codes applicable to property, but not including

housing and property maintenance codes.

Illegal Use of Individual Structures. The use of structures in violation of the applicable federal, state or local

laws, exclusive of those applicable to the Presence of Structures below Minimum Code Standards.

Excessive Vacancies. The presence of buildings that are unoccupied or underutilized and that represent an

adverse influence on the area because of the frequency, extent or duration of the vacancies.

Lack of Ventilation, Light or Sanitary Facilities. The absence of adequate ventilation for light or air circulation

in spaces or rooms without windows, or that require the removal of dust, odor, gas, smoke, or other noxious

airborne materials. Inadequate natural light and ventilation means the absence of skylights or windows for

interior spaces or rooms and improper window sizes and amounts by room area to window area ratios.

Inadequate sanitary facilities refers to the absence or inadequacy of garbage storage and enclosure, bathroom

facilities, hot water and kitchens, and structural inadequacies preventing ingress and egress to and from all

rooms and units within a building.

Inadequate Utilities. Underground and overhead utilities, such as storm sewers and storm drainage, sanitary

sewers, water lines, and gas, telephone, and electrical services that are shown to be inadequate. Inadequate

utilities are those that are: (i) of insufficient capacity to serve the uses in the redevelopment project area, (ii)

deteriorated, antiquated, obsolete, or in disrepair, or (iii) lacking within the redevelopment project area.

Excessive Land Coverage and Overcrowding of Structures and Community Facilities. The over-intensive

use of property and the crowding of buildings and accessory facilities onto a site. Examples of problem

conditions warranting the designation of an area as one exhibiting excessive land coverage are: (i) the presence



of buildings either improperly situated on parcels or located on parcels of inadequate size and shape in relation

to present-day standards of development for health and safety, and (ii) the presence of multiple buildings on

a single parcel. For there to be a finding of excessive land coverage, these parcels must exhibit one or more of

the following conditions: insufficient provision for light and air within or around buildings, increased threat of

spread of fire due to the close proximity of buildings, lack of adequate or proper access to a public right-of-

way, lack of reasonably required off-street parking, or inadequate provision for loading and service.

Deleterious Land Use or Layout. The existence of incompatible land use relationships, buildings occupied by

inappropriate mixed-uses, or uses considered to be noxious, offensive or unsuitable for the surrounding area.

Environmental Clean-Up. The proposed redevelopment project area has incurred Illinois Environmental

Protection Agency or United States Environmental Protection Agency remediation costs for, or a study

conducted by an independent consultant recognized as having expertise in environmental remediation has

determined a need for, the clean-up of hazardous waste, hazardous substances, or underground storage tanks

required by state or federal law, provided that the remediation costs constitute a material impediment to the

development or redevelopment of the redevelopment project area.

Lack of Community Planning. The proposed redevelopment project area was developed prior to or without

the benefit or guidance of a community plan. This means that the development occurred prior to the adoption

by the municipality of a comprehensive or other community plan, or that the plan was not followed at the time

of the area’s development. This factor must be documented by evidence of adverse or incompatible land use

relationships, inadequate street layout, improper subdivision, parcels of inadequate shape and size to meet

contemporary development standards, or other evidence demonstrating an absence of effective community

planning.

Lack of Growth in Equalized Assessed Value. The total equalized assessed value of the proposed








Appendix 3: Proposed Fargo Creek RPA Boundary

Legal Description

OF PROPERTY DESCRIBED AS:

PART OF SECTION 5, PART OF THE NORTHEAST QUARTER, SOUTHEAST QUARTER AND THE SOUTHWEST

QUARTER OF SECTION 8, AND PART OF SECTION 9, ALL IN TOWNSHIP 21 NORTH, RANGE 9 EAST OF THE

FOURTH PRINCIPAL MERIDIAN, LEE COUNTY, ILLINOIS, DESCRIBED AS FOLLOWS:

BEGINNING AT THE INTERSECTION OF THE NORTH RIGHT OF WAY LINE OF WEST FIFTH STREET AND THE

WEST RIGHT OF WAY LINE OF MADISON AVENUE; THENCE NORTH ON SAID WEST RIGHT OF WAY OF

MADISON AVENUE, TO THE NORTH RIGHT OF WAY LINE OF WEST FIRST STREET; THENCE EAST ON SAID

NORTH RIGHT OF LINE OF WEST FIRST STREET, TO THE EAST RIGHT OF WAY LINE OF SOUTH PEORIA

AVENUE; THENCE SOUTH ON SAID EAST RIGHT OF WAY LINE OF SOUTH PEORIA AVENUE, TO THE SOUTH

RIGHT OF WAY LINE OF WEST THIRD STREET; THENCE WEST ON SAID SOUTH RIGHT OF WAY LINE OF WEST

THIRD STREET, TO THE EAST RIGHT OF WAY LINE OF HIGHLAND AVENUE; THENCE SOUTH ON SAID EAST

RIGHT OF WAY LINE OF HIGHLAND AVENUE, TO THE SOUTH RIGHT OF WAY LINE OF WEST SEVENTH STREET;

THENCE WEST ON SAID SOUTH RIGHT OF WAY LINE OF WEST SEVENTH STREET, TO THE EAST RIGHT OF

WAY LINE OF MADISON AVENUE; THENCE SOUTH ON SAID EAST RIGHT OF WAY LINE OF MADISON

AVENUE, TO THE NORTH RIGHT OF WAY LINE OF RAILROAD STREET (NORTH RIGHT OF WAY BEING 40 FEET

NORTH OF AND PARALLEL WITH THE NORTH RIGHT OF WAY LINE OF THE UNION PACIFIC RAILROAD);

THENCE SOUTHEASTERLY ON SAID NORTH RIGHT OF WAY LINE OF RAILROAD STREET AND ITS

SOUTHEASTERLY EXTENSION, TO ITS INTERSECTION WITH THE SOUTH RIGHT OF WAY LINE OF WEST

ELEVENTH STREET; THENCE SOUTHWESTERLY ON SAID SOUTH RIGHT OF WAY LINE OF WEST ELEVENTH

STREET, TO THE NORTH RIGHT OF WAY LINE OF THE UNION PACIFIC RAILROAD; THENCE SOUTHEASTERLY

ON SAID NORTH RIGHT OF WAY LINE, TO THE EAST LINE OF THE SOUTHEAST QUARTER OF SAID SECTION

5; THENCE SOUTH ON SAID EAST LINE, TO THE SOUTH RIGHT OF WAY LINE OF THE UNION PACIFIC

RAILROAD; THENCE EAST ON SAID SOUTH RIGHT OF WAY LINE OF THE UNION PACIFIC, TO THE EAST RIGHT

OF WAY LINE OF SOUTH GALENA AVENUE (IL ROUTE 26); THENCE SOUTH ON SAID EAST RIGHT OF WAY

LINE OF SOUTH GALENA AVENUE, TO THE NORTH RIGHT OF WAY LINE OF WALTON DRIVE; THENCE EAST

ON SAID NORTH RIGHT OF WAY LINE OF WALTON DRIVE, TO ITS INTERSECTION WITH THE NORTHERLY

EXTENSION OF THE EAST LINE OF MCCLERNON’S SUBDIVISION NO. 1; THENCE SOUTH ON SAID EAST LINE

AND ITS NORTHERLY EXTENSION, TO THE NORTH RIGHT OF WAY LINE OF PLAZA DRIVE; THENCE EAST ON

SAID NORTH RIGHT OF WAY LINE OF PLAZA DRIVE, TO THE WEST RIGHT OF WAY LINE OF TOLLWAY DRIVE;

THENCE NORTH ON SAID WEST RIGHT OF WAY LINE OF TOLLWAY DRIVE AND ITS NORTHERLY EXTENSION,

TO THE NORTH RIGHT OF WAY LINE OF WALTON DRIVE; THENCE EAST ON SAID NORTH RIGHT OF WAY

LINE OF WALTON DRIVE, TO THE EAST LINE OF A 20 FOOT STRIP ON LOT 5 OF WALTON SUBDIVISION;

THENCE NORTH, A DISTANCE OF 604.47 FEET ON SAID EAST LINE OF A 20 FOOT STRIP, TO THE SOUTH LINE

OF SAID LOT 5; THENCE EAST, A DISTANCE OF 427 FEET ON SAID SOUTH LINE OF SAID LOT 5, TO THE EAST

LINE OF THE NORTHWEST QUARTER OF SAID SECTION 9; THENCE EAST, A DISTANCE OF 142.45 FEET ON

SAID SOUTH LINE; THENCE SOUTH, A DISTANCE OF 124.83 FEET ON SAID SOUTH LINE; THENCE

SOUTHEASTERLY, A DISTANCE OF 142.39 FEET ON SAID SOUTH LINE; THENCE EAST, A DISTANCE OF 323.01

FEET ON SAID SOUTH LINE, TO THE EAST LINE OF SAID LOT 5; THENCE NORTH ON SAID EAST LINE OF LOT

5, TO THE SOUTH LINE OF TAX PARCEL 18-08-09-200-014; THENCE EAST ON SAID SOUTH LINE, TO THE EAST



LINE OF THE NORTHWEST QUARTER OF THE NORTHEAST QUARTER OF SAID SECTION 9; THENCE SOUTH

ON SAID EAST LINE, TO THE SOUTH LINE OF SAID NORTHWEST QUARTER OF THE NORTHEAST QUARTER;

THENCE WEST ON SAID SOUTH LINE, TO THE EAST LINE OF THE WEST 28 ACRES OF THE SOUTHWEST

QUARTER OF THE NORTHEAST QUARTER OF SAID SECTION 9; THENCE SOUTH ON SAID EAST LINE, TO THE

SOUTH LINE OF SAID NORTHEAST QUARTER; THENCE EAST ON SAID SOUTH LINE, TO THE EAST LINE OF

TAX PARCEL 18-08-09-400-015, SAID POINT BEING NORTH OF A POINT 193.11 FEET NORTHWESTERLY OF THE

CENTERLINE STATION 2906+78.90 OF INTERSTATE 88 (CENTERLINE OF EAST-WEST TOLLWAY EXTENSION

AS SURVEYED BY ILLINOIS STATE TOLL HIGHWAY AUTHORITY, RECORDED IN BOOK “G” OF PLATS, PAGES 61

& 62); THENCE SOUTH ON SAID EAST LINE, TO SAID POINT BEING 193.11 FEET NORTHWESTERLY OF THE

CENTERLINE STATION 2906+78.90; THENCE SOUTHEASTERLY ON SAID EAST LINE, TO A POINT BEING 158

FEET NORTHWESTERLY OF CENTERLINE STATION 2907+50.0 OF SAID INTERSTATE 88; THENCE

SOUTHEASTERLY ON SAID EAST LINE, TO A POINT BEING 125 FEET NORTHWESTERLY OF CENTERLINE

STATION 2907+50.0 OF SAID INTERSTATE 88 AND BEING ON THE NORTH RIGHT OF WAY LINE OF SAID

INTERSTATE 88; THENCE WESTERLY ON SAID NORTH RIGHT OF WAY LINE, TO THE EAST LINE OF LOT 2 OF

HUMMEL BUSINESS PARK; THENCE NORTHERLY, A DISTANCE OF 187.29 FEET ON SAID EAST LINE OF LOT 2,

THENCE EAST, A DISTANCE OF 33.66 FEET ON SAID EAST LINE, TO THE WEST RIGHT OF WAY LINE OF

TOLLWAY DRIVE; THENCE NORTH ON SAID WEST RIGHT OF WAY LINE, TO THE NORTH LINE OF SAID LOT 2;

THENCE WEST ON SAID NORTH LINE, TO THE EAST RIGHT OF WAY OF SAID SOUTH GALENA AVENUE (IL

ROUTE 26); THENCE SOUTH ON SAID EAST RIGHT OF WAY LINE, TO SAID NORTH RIGHT OF WAY LINE OF

INTERSTATE 88; THENCE WESTERLY ON THE WESTERLY EXTENSION OF SAID NORTH RIGHT OF WAY LINE,

TO THE WEST RIGHT OF WAY LINE OF SAID SOUTH GALENA AVENUE (IL ROUTE 26) AND BEING ON SAID

NORTH RIGHT OF WAY LINE OF INTERSTATE 88; THENCE SOUTHWESTERLY ALONG SAID NORTH RIGHT OF

WAY LINE OF INTERSTATE 88, TO THE SOUTH LINE OF SAID SECTION 8; THENCE WEST ON SAID SOUTH

LINE, TO THE WEST LINE OF EAST HALF OF THE SOUTHWEST QUARTER OF SAID SECTION 8; THENCE NORTH

ON SAID WEST LINE, TO THE NORTH LINE OF THE SOUTHWEST QUARTER OF SAID SECTION 8; THENCE EAST

ON SAID NORTH LINE, TO THE WEST LINE OF TAX PARCEL 18-08-08-400-005; THENCE SOUTH ON SAID

WEST LINE, TO THE SOUTH LINE OF SAID TAX PARCEL; THENCE EAST ON SAID SOUTH LINE, TO THE EAST

LINE OF SAID TAX PARCEL; THENCE NORTH ON SAID EAST LINE, TO THE NORTH LINE OF THE SOUTHEAST

QUARTER OF SAID SECTION 8; THENCE EAST ON SAID NORTH LINE, TO THE WEST LINE OF THE SOUTHEAST

QUARTER OF THE NORTHEAST QUARTER OF SAID SECTION 8; THENCE NORTH ON SAID WEST LINE, TO THE

WEST LINE OF TAX PARCEL 18-08-08-202-005; THENCE NORTHWESTERLY ON SAID WEST LINE, TO THE

SOUTH LINE OF TAX PARCEL 18-08-08-201-001; THENCE WEST ON THE SOUTH LINE OF SAID TAX PARCEL,

TO THE WEST LINE OF SAID TAX PARCEL; THENCE NORTH ON SAID WEST LINE, TO THE SOUTH LINE OF TAX

PARCEL 18-08-08-201-018; THENCE WEST ON SAID SOUTH LINE, TO A POINT 75 FEET EAST OF THE WEST

LINE OF SAID TAX PARCEL; THENCE SOUTH, A DISTANCE OF 153.47 FEET; THENCE WEST, A DISTANCE OF 75

FEET TO THE WEST LINE OF SAID TAX PARCEL; THENCE NORTH ON THE WEST LINE OF SAID TAX PARCEL,

TO THE SOUTHWEST CORNER OF TAX PARCEL 07-08-05-458-004; THENCE NORTH ON THE WEST LINE OF

SAID TAX PARCEL, TO ITS INTERSECTION WITH THE NORTHEASTERLY EXTENSION OF THE SOUTH RIGHT OF

WAY LINE OF WOODLAWN STREET; THENCE SOUTHWESTERLY ON SAID NORTHEASTERLY EXTENSION AND

SAID SOUTH RIGHT OF WAY OF WOODLAWN STREET, TO THE WEST RIGHT OF WAY LINE OF NACHUSA

AVENUE; THENCE NORTH ON SAID WEST RIGHT OF WAY LINE, TO SAID SOUTH RIGHT OF WAY LINE OF THE

UNION PACIFIC RAILROAD; THENCE EAST ON SAID SOUTH RIGHT OF WAY LINE, TO THE WEST LINE OF THE

SOUTHEAST QUARTER OF SAID SECTION 5; THENCE NORTH ON SAID WEST LINE, TO SAID NORTH RIGHT

OF WAY LINE OF THE UNION PACIFIC RAILROAD; THENCE WEST ON SAID NORTH RIGHT OF WAY LINE, TO

THE FORMER CENTERLINE OF DEPOT AVENUE AND THE WEST LINE OF TAX PARCEL 07-08-05-378-005;

THENCE NORTH ON SAID FORMER CENTERLINE, A DISTANCE OF 150.44 FEET; THENCE EAST, TO THE EAST

RIGHT OF WAY LINE OF DEPOT AVENUE; THENCE NORTH ON SAID EAST RIGHT OF WAY LINE, TO ITS



INTERSECTION WITH THE FORMER NORTH RIGHT OF WAY LINE OF THE ICC RAILROAD AND BEING THE

NORTH LINE OF TAX PARCEL 08-05-503-017; THENCE SOUTHWESTERLY ON SAID FORMER RIGHT OF WAY

LINE AND SAID NORTH LINE OF TAX PARCEL, TO THE WEST RIGHT OF WAY LINE OF DEPOT AVENUE; THENCE

NORTH ON SAID WEST RIGHT OF WAY LINE OF DEPOT AVENUE, TO THE NORTHEAST CORNER OF BLOCK

10 OF DEMENT’S ADDITION; THENCE NORTHEASTERLY, TO THE SOUTHWEST CORNER OF BLOCK 6 OF

DEMENT’S ADDITION AND THE NORTH RIGHT OF WAY LINE OF WEST FIFTH STREET; THENCE EAST ON SAID

NORTH RIGHT OF WAY LINE OF WEST FIFTH STREET AND ITS EASTERLY EXTENSION, TO THE EAST RIGHT OF

WAY LINE OF CENTRAL PLACE; THENCE SOUTH ON SAID EAST RIGHT OF WAY LINE, TO THE SOUTH LINE OF

BLOCK 59 OF THE ORIGINAL TOWN OF DIXON; THENCE EASTERLY ON SAID SOUTH LINE OF BLOCK 59, TO

THE EAST LINE OF TAX PARCEL 07-08-05-191-006; THENCE SOUTH ON SAID EAST LINE, TO THE SOUTH LINE

OF TAX PARCEL 07-08-05-127-004 AND BEING ON THE WESTERLY EXTENSION OF THE CENTERLINE OF WEST

FIFTH STREET; THENCE EASTERLY ON SAID SOUTH LINE, TO THE EAST LINE OF SAID TAX PARCEL; THENCE

NORTH ON SAID EAST LINE, A DISTANCE OF 30 FEET, TO THE NORTH RIGHT OF WAY LINE OF WEST FIFTH

STREET; THENCE EAST ON SAID NORTH RIGHT OF WAY LINE, TO THE POINT OF BEGINNING, EXCEPTING

THEREFROM TAX PARCEL 07-08-05-483-002, TAX PARCEL 18-08-08-400-004, AND TAX PARCEL 18-08-09-

151-006 BEING LOT 102 OF THE RE-PLAT OF LOTS 4 AND 5 IN DIXON TOLLWAY SUBDIVISION.


Appendix 4: List of PINs in Proposed

Fargo Creek RPA

Record # PIN 2020 EAV Record # PIN 2020 EAV

1 0805135001 $17,835 91 0805401001 $16,880

2 0805135002 $20,212 92 0805403001 $25,916

3 0805135003 $33,619 93 0805403004 $13,658

4 0805188001 $8,000 94 0805403005 $2,485

5 0805191001 $0 95 0805403009 $25,909

6 0805191006 $6,615 96 0805403013 $23,634

7 0805207001 $42,152 97 0805403015 $26,461

8 0805207002 $24,521 98 0805403016 $19,200

9 0805207003 $19,776 99 0805403017 $0

10 0805207004 $18,952 100 0805403018 $26,780

11 0805207005 $0 101 0805404001 $0

12 0805208001 $28,366 102 0805406006 $16,068

13 0805208002 $7,295 103 0805406007 $12,998

14 0805208003 $21,958 104 0805407001 $10,900

15 0805208004 $23,407 105 0805407002 $15,000

16 0805208005 $20,291 106 0805407003 $15,419

17 0805208007 $29,219 107 0805407004 $9,179

18 0805208008 $8,741 108 0805407005 $12,000

19 0805208011 $43,915 109 0805407006 $7,600

20 0805208012 $29,900 110 0805407007 $13,339

21 0805208015 $51,939 111 0805407008 $28,190

22 0805208019 $13,870 112 0805407009 $18,911

23 0805208020 $20,600 113 0805407010 $21,382

24 0805208021 $98,000 114 0805407011 $22,058

25 0805208022 $0 115 0805407012 $22,145

26 0805211001 $31,518 116 0805407013 $15,328

27 0805211002 $16,995 117 0805407014 $20,396

28 0805211004 $41,897 118 0805410003 $21,499

29 0805211006 $24,720 119 0805410004 $21,499

30 0805211007 $12,187 120 0805410005 $21,416

31 0805211008 $24,584 121 0805410007 $10,300

32 0805211011 $22,660 122 0805410008 $12,082

33 0805211012 $28,416 123 0805410009 $20,000

34 0805211013 $0 124 0805410010 $18,191




35 0805211014 $13,054 125 0805410011 $11,000

36 0805211016 $14,420 126 0805410014 $26,265

37 0805211018 $16,882 127 0805410015 $26,265

38 0805212002 $18,773 128 0805410016 $22,509

39 0805212003 $27,785 129 0805451003 $11,021

40 0805212004 $25,235 130 0805451007 $20,033

41 0805212005 $17,276 131 0805451008 $13,439

42 0805212006 $96,969 132 0805452001 $16,480

43 0805212010 $0 133 0805452002 $18,540

44 0805252001 $32,324 134 0805452003 $18,540

45 0805252002 $26,162 135 0805452012 $10,380

46 0805252003 $13,719 136 0805452015 $23,148

47 0805252004 $16,480 137 0805456001 $22,800

48 0805252005 $32,779 138 0805456002 $765

49 0805252008 $21,044 139 0805456003 $1,093

50 0805252009 $18,746 140 0805456004 $20,907

51 0805252012 $23,154 141 0805457004 $22,660

52 0805252013 $28,190 142 0805457005 $18,072

53 0805252014 $0 143 0805457011 $20,839

54 0805256001 $15,347 144 0805457016 $14,343

55 0805256002 $14,996 145 0805458004 $35,145

56 0805256003 $23,071 146 0805503018 $0

57 0805256004 $16,480 147 0805504019 $0

58 0805256005 $25,675 148 0805504019 $0

59 0805256006 $33,517 149 0808201001 $0

60 0805256007 $29,718 150 0808202004 $1,068

61 0805256008 $20,600 151 0808226001 $29,174

62 0805259001 $29,200 152 0808276002 $3,645

63 0805259003 $38,039 153 0808300003 $32,617

64 0805259004 $20,507 154 0808400001 $49,006 [1]

65 0805259008 $16,500 155 0808400006 $10,397

66 0805259009 $13,145 156 0808400007 $240

67 0805259010 $21,852 157 0808503002 $0

68 0805259011 $12,900 158 0809100002 $6,912

69 0805259012 $24,000 159 0809100023 $4,935

70 0805260002 $19,846 160 0809100024 $29,712

71 0805260003 $22,200 161 0809100025 $37

72 0805260006 $30,723 162 0809100026 $55

73 0805260007 $28,247 163 0809100027 $4,897

74 0805260008 $27,584 164 0809100033 $318,396




75 0805260011 $36,056 165 0809100036 $56,856

76 0805260012 $4,426 166 0809151001 $307,476

77 0805260013 $2,213 167 0809151003 $501,129

78 0805329007 $55,284 168 0809151004 $578,000

79 0805329008 $54,168 169 0809151007 $500

80 0805329013 $0 170 0809200011 $27,210

81 0805329016 $0 171 0809300014 $411,916

82 0805329018 $84,048 172 0809300015 $40,788

83 0805337001 $14,935 173 0809300016 $140

84 0805337002 $11,704 174 0809300018 $44,861

85 0805337012 $0 175 0809300019 $519,840

86 0805378005 $53,378 176 0809400002 $34,591

87 0805386001 $25,250 177 0809400007 $5,347 [1]

88 0805387001 $30,900 178 0809400013 $9,920

89 0805387003 $23,595 179 0809400014 $2,385

90 0805387004 $29,759 TOTAL $6,118,132

Source: Lee County Assessor, SB Friedman

[1] For vacant parcels that are only partially contained in the proposed RPA, the total 2020 EAV for the parcel was estimated based on

the proportion of that parent parcel’s land area that is within the proposed RPA.

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