Agenda - Wednesday, January 5, 2022 - Kane County

KANE COUNTY PIEROG, Bates, Berman, Ford, Frasz, Davoust, Gumz, Kenyon, Kious, Martin, Molina, Sanchez, Strathmann, Surges, Tepe & ex-officio Shepro

(County Vice Chair)

EXECUTIVE COMMITTEE

WEDNESDAY, JANUARY 5, 2022

County Board Room Agenda 9:00 AM

Kane County Government Center, 719 S. Batavia Ave., Bldg. A, Geneva, IL 60134

Kane County Page 1

Zoom and Live Stream-Capable

In accordance with P.A. 101-0640, which took effect on June 12, 2020, and allows a public body to hold an open or closed meeting by audio or video conference without the physical presence of a quorum of the members during a public health emergency if all or part of the County is covered by a disaster area (see 5 ILCS 120/7(e)), Kane County Board Chair Corinne Pierog has determined that requiring in-person meetings of the County Board and its committees is not practical or prudent due to the current transmission level of COVID-19 and the increasing prevalence of the “Delta variant”. As such, the Chair is encouraging social distancing by allowing remote attendance to the meetings of the County Board and its committees.

Instructions for viewing the Live Stream are on the County’s webpage. The Zoom meeting will be made available for staff, elected officials and department heads only, and live streaming will be available for the public. Chair Pierog is requesting that only staff and elected officials vital to the operation of the meeting be present in person, as capacity in the Board Room will be limited to accommodate social distancing. In compliance with Executive Order 2021-20, face coverings will be required to cover the nose and mouth of all individuals two and over who are able to medically tolerate a face covering. For your safety and others, please consider attending the meeting remotely. If anyone from the public would like to offer a comment to be considered at the Public Comment portion of the meeting, there will be an allotted time on the agenda for public comment; please register to speak by 8:30 a.m. on the day of the meeting. Registration may be completed electronically on the County’s website. County Board rules of order will still apply to the meeting. Written or emailed comments received by 4:00 p.m. on the day prior to the meeting will be made part of the record. We will make an appropriate effort to acknowledge public input within our normal limitations and add them to the record.

1. Call to Order

2. Roll Call

3. Pledge of Allegiance

4. Approval of Minutes: December 8, 2021

5. Public Comment

6. Monthly Financials (J. Onzick)

A. November Executive Committee Financial Reports (attached)

7. Old Business

A. Ordinance Amending Section 2-48 of the Kane County Code (First Reading)

8. New Business

Agenda Executive Committee January 5, 2022

Kane County Page 2

9. Preliminary County Board Agenda:

--------------------------------------------------- CONSENT AGENDA ----------------------------------------------

Finance

1. Approving the Purchase of 13 Vehicles and a Budget Roll-Over Adjustment for the Sheriff's Office

2. Amending the 2022 Fiscal Year Budget to Roll Over of Funds for Business Analysis Project

3. Authorizing Payment of Liability Insurance Premium Expense for Fiscal Year 2022

4. Authorizing FY 22 Budget Adjustment For COVID-19 Crisis Grant

5. FY22 Budget Adjustment for KCAC Starting Salary Change

6. Amending the 2022 Fiscal Year Budget - Rollover of Funds for Completion of External Audits Pursuant to County Auditing Law 55 ILCS 5/6-31005

7. Approving Contract Amendment with Tyler Technologies New World for Unlimited Business Licenses

8. Approving Contract Amendments with Tyler Technologies New World for Brazos Crash Software

9. Approving A Software Conversion from Granicus MinuteTraq Agenda and Minutes Software to the Granicus Legistar Platform

10. Authorizing an Emergency Purchase Affidavit for Adult Justice Center Remediation Project

11. Authorizing Contract with ESRI (Enterprise Agreement)

12. Approving a Contract for a Water Testing Firm for the Judicial Center Campus with Phigenics Independent Water Management of Warrenville, IL

13. Authorizing an Expenditure for an Emergency Purchase Affidavit for Chlorine Flushing System at Adult Justice Center

14. Approving 2022 Contracts for Court Appointed Counsel

15. Approving Contracts for Drug and Alcohol Evaluation and Referral Services

16. Authorizing FY21 Emergency Management Program Grant for the Office of Emergency Management

17. Authorizing FY2022 Contract With Clean Harbors For Household Hazardous Waste Services

18. Authorizing Amendment to Financial Policy Regarding Procurement Cards

19. Approving November 2021 Claims Paid

Human Services

1. Amending the Tuition Reimbursement Policy in the Personnel Policy Handbook

Transportation

1. Approving Adopt-A-Highway Program Applicants

Agenda Executive Committee January 5, 2022

Kane County Page 3

2. Approving a Technical Services Agreement Between the Regional Transportation Authority and the County of Kane for the Ride in Kane Program, Contract No. S5310-2019-08, Federal Project No. IL-2020-016

3. Approving a Technical Services Agreement Between the Regional Transportation Authority and the County of Kane for the Ride in Kane Program, Contract No. JARC-2021-05, Federal Project No. IL-37-X084

4. Adopting the Comprehensive Road Improvement Plan Associated with the Kane County Road Improvement Impact Fee Ordinance

5. Kane County Road Improvement Impact Fee Ordinance

6. Approving a Phase I/II Engineering Services Agreement with Kimley-Horn Associates, Inc. of Warrenville, Illinois for Plank Road Highway Safety Improvement Project, Kane County Section No. 21-00540-00-SP

7. Approving an Engineering Services Agreement with H.R. Green, Inc. of Aurora, Illinois for 2022 Structure Safety Inspections, Kane County Section No. 21-00541-00-EG

8. Approving an Agreement for Demolition Services with Martam Construction, Inc. of Elgin, Illinois for Main Street Road at Fabyan Parkway, Kane County Section No. 21-00288-03-BD

9. Approving a Payment for ComEd Utility Relocation for Walker Road over Burlington Creek Bridge Replacement, Kane County Section No. 08-00133-01-BR

10. Approving an Agreement with Duncan Solutions, Inc. of Milwaukee, Wisconsin for Debt Collection Services, Administrative Hearing Services and Payment Plan Administration Services, Kane County Section No. 21-00215-26-MS

11. Approving Right of Entry from White Gates Skeet Club - Stearns Road Bridge Corridor - Erosion Repair Project

12. Approving Acquisition of Highway Right of Way, Dauberman Road Extension, Kane County Section No. 15-00277-01-BR, Parcel No. 1N20011

13. Approving Triborough Bridge and Tunnel Authority E-ZPass Interoperability Hub Third-Party Beneficiary Agreement

10. Committee Reports

11. Executive Session (If Needed)

12. Return to Open Session

13. Release of Closed Session Minutes

14. Adjournment

Current Month Transactions

Total Amended Budget

YTD Actual Transactions Total % Received

010 County Board 2,400$ 5,614,107$ 2,350,008$ 41.86%001 General Fund -$ 60,000$ 61,900$ 103.17%120 Grand Victoria Casino Elgin 2,400$ 4,229,074$ 1,960,472$ 46.36%430 Farmland Preservation -$ 1,325,033$ 327,636$ 24.73%

Grand Total 2,400$ 5,614,107$ 2,350,008$ 41.86%

Executive Committee Revenue Report - SummaryThrough November 30, 2021 (100.0% YTD) DRAFT

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YTD Actual Transactions YTD Encumbrances Total % Used

010 County Board 135,338$ 6,884,541$ 3,752,043$ 491$ 54.51%001 General Fund 86,043$ 1,330,434$ 1,140,908$ (0)$ 85.75%120 Grand Victoria Casino Elgin 38,612$ 4,229,074$ 2,523,422$ -$ 59.67%430 Farmland Preservation 10,683$ 1,325,033$ 87,713$ 491$ 6.66%

Grand Total 135,338$ 6,884,541$ 3,752,043$ 491$ 54.51%

Executive Committee Expenditure Report - SummaryThrough November 30, 2021 (100.0% YTD, 100.00% Payroll Expense through Pay Period Ending 11/27/2021) DRAFT

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YTD Actual Transactions YTD Encumbrances Total % Used

010 County Board 135,338$ 6,884,541$ 3,752,043$ 491$ 54.51%001 General Fund 86,043$ 1,330,434$ 1,140,908$ (0)$ 85.75%

Personnel Services- Salaries & Wages 66,364$ 935,023$ 868,859$ -$ 92.92%Personnel Services- Employee Benefits 18,685$ 320,244$ 223,861$ -$ 69.90%Contractual Services 631$ 67,667$ 42,318$ -$ 62.54%Commodities 363$ 7,500$ 5,870$ (0)$ 78.26%

120 Grand Victoria Casino Elgin 38,612$ 4,229,074$ 2,523,422$ -$ 59.67%Personnel Services- Salaries & Wages 3,968$ 51,740$ 48,592$ -$ 93.92%Personnel Services- Employee Benefits 3,322$ 68,148$ 45,959$ -$ 67.44%Contractual Services 31,249$ 587,238$ 311,646$ -$ 53.07%Commodities 74$ 5,447$ 6,954$ -$ 127.66%Transfers Out -$ 2,110,270$ 2,110,270$ -$ 100.00%Contingency and Other -$ 1,406,231$ -$ -$ 0.00%

430 Farmland Preservation 10,683$ 1,325,033$ 87,713$ 491$ 6.66%Personnel Services- Salaries & Wages 6,023$ 49,023$ 56,673$ -$ 115.61%Personnel Services- Employee Benefits 671$ 9,631$ 6,943$ -$ 72.09%Contractual Services 3,989$ 91,279$ 24,097$ 491$ 26.94%Capital -$ 1,160,000$ -$ -$ 0.00%Contingency and Other -$ 15,100$ -$ -$ 0.00%

Grand Total 135,338$ 6,884,541$ 3,752,043$ 491$ 54.51%

Executive Committee Expenditure Report - DetailThrough November 30, 2021 (100.0% YTD, 100.00% Payroll Expense through Pay Period Ending 11/27/2021) DRAFT

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Vendor Invoice No. Invoice Description Status Held Reason Invoice Date Due Date G/L Date Received Date Payment Date Invoice AmountFund 001 - General Fund

Department 010 - County BoardSub-Department 010 - County Board/Liquor

Account 52140 - Repairs and Maint- Copiers8930 - Impact Networking, LLC 2300912 Copier Base Rate

9/18/21-10/17/21 & Overages from past month

Paid by EFT # 68661

10/18/2021 10/25/2021 10/25/2021 11/08/2021 29.38

Account 52140 - Repairs and Maint- Copiers Totals Invoice Transactions 1 $29.38Account 53100 - Conferences and Meetings

3578 - Warehouse Direct Office Products 5078681-0 Detergent, Napkins, Creamer, Plates

Paid by EFT # 68771

10/18/2021 10/25/2021 10/25/2021 11/08/2021 42.53

12287 - Century Springs/Ove Water Services

2769310 CB Water Delivery 10/8 & 10/22 and Nov Rent

Paid by EFT # 68839

10/29/2021 11/09/2021 11/09/2021 11/22/2021 62.00

Account 53100 - Conferences and Meetings Totals Invoice Transactions 2 $104.53Account 60000 - Office Supplies

3578 - Warehouse Direct Office Products 5082274-0 Granola Bars Paid by EFT # 68771

10/21/2021 10/22/2021 10/22/2021 11/08/2021 28.84

3578 - Warehouse Direct Office Products 5080604-0 Heater-Mini Tower Paid by EFT # 68771

10/21/2021 10/22/2021 10/22/2021 11/08/2021 154.18

3578 - Warehouse Direct Office Products 5092467-0 Cube organizers, calendars, post-its, tissue

Paid by EFT # 69080

11/03/2021 11/09/2021 11/09/2021 11/22/2021 122.27

3578 - Warehouse Direct Office Products 5092595-0 Planner Paid by EFT # 69080

11/03/2021 11/09/2021 11/09/2021 11/22/2021 13.17

Account 60000 - Office Supplies Totals Invoice Transactions 4 $318.46Sub-Department 010 - County Board/Liquor Totals Invoice Transactions 7 $452.37

Department 010 - County Board Totals Invoice Transactions 7 $452.37Fund 001 - General Fund Totals Invoice Transactions 7 $452.37

Fund 120 - Grand Victoria Casino ElginDepartment 010 - County Board

Sub-Department 020 - RiverboatAccount 45420 - Tuition Reimbursement

11129 - Gabriela Allison 2114-02 CMST301 Digital Media & Society

Paid by Check # 376548

10/22/2021 11/09/2021 11/12/2021 11/22/2021 748.50

Account 45420 - Tuition Reimbursement Totals Invoice Transactions 1 $748.50Account 55010 - External Grants

12730 - Do-over.me 2022-07 Flight School Job Prep Operating Expenses

Paid by EFT # 68619

10/06/2021 10/27/2021 10/29/2021 11/08/2021 150.00

3777 - Village of Maple Park 2039-06 Risk & Resilience Assessment & Emergency Response Plan

Paid by EFT # 68769

08/30/2021 10/27/2021 10/29/2021 11/08/2021 1,061.55

Run by Finance Reports on 12/23/2021 11:14:14 AM Page 1 of 2

Executive Accounts Payable by GL Distribution DRAFT

Payment Date Range 11/01/21 - 11/30/21

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javascript:void(window.open('https://countyerp.co.kane.il.us/nwerp/LogosSuite/CommonPages/ModalDialogContainer.aspx?Page=https://countyerp.co.kane.il.us/nwerp/FM/Inquiries/InquiryInvoiceSingle.aspx&ID=351664','',%20'dialogHeight:650px;%20dialogwidth:1010px;%20scroll:yes;%20status:no;%20unadorned:on;%20help:%20off'));










Vendor Invoice No. Invoice Description Status Held Reason Invoice Date Due Date G/L Date Received Date Payment Date Invoice AmountFund 120 - Grand Victoria Casino Elgin

Department 010 - County BoardSub-Department 020 - Riverboat

Account 55010 - External Grants3533 - Boys and Girls Club of Elgin 2117-01 Mentorship & Social &

Emotional Learning Program

Paid by EFT # 68819

10/20/2021 11/09/2021 11/12/2021 11/22/2021 2,653.40

12755 - Elgin Breakfast Rotary 2024-02 Oak Tree Reforestation Paid by EFT # 68896

11/02/2021 11/09/2021 11/12/2021 11/22/2021 10,935.65

11255 - Making Kane County Fit For Kids 2031-01 Purchase stationary bikes & aeroponic growing systems

Paid by EFT # 68958

11/02/2021 11/09/2021 11/12/2021 11/22/2021 11,500.00

Account 55010 - External Grants Totals Invoice Transactions 5 $26,300.60Sub-Department 020 - Riverboat Totals Invoice Transactions 6 $27,049.10Department 010 - County Board Totals Invoice Transactions 6 $27,049.10

Fund 120 - Grand Victoria Casino Elgin Totals Invoice Transactions 6 $27,049.10Fund 430 - Farmland Preservation

Department 010 - County BoardSub-Department 021 - Farmland Preservation

Account 50150 - Contractual/Consulting Services1224 - First Environmental Labs Inc 164525 WRD: Water Sampling

- October21Paid by EFT # 68903

11/03/2021 11/03/2021 11/03/2021 11/22/2021 1,740.20

Account 50150 - Contractual/Consulting Services Totals Invoice Transactions 1 $1,740.20Account 50160 - Legal Services

1248 - Kinnally Flaherty Krentz Loran Hodge & Masur PC

133-10/193 Legal Services-Farmland Preservation 6/30/21-8/4/21


09/03/2021 11/12/2021 11/12/2021 11/22/2021 300.00

1248 - Kinnally Flaherty Krentz Loran Hodge & Masur PC

133-10/194 Legal Services-Farmland Preservation 9/13/21-10/14/21


11/03/2021 11/12/2021 11/12/2021 11/22/2021 209.00

Account 50160 - Legal Services Totals Invoice Transactions 2 $509.00Sub-Department 021 - Farmland Preservation Totals Invoice Transactions 3 $2,249.20

Department 010 - County Board Totals Invoice Transactions 3 $2,249.20Fund 430 - Farmland Preservation Totals Invoice Transactions 3 $2,249.20

Grand Totals Invoice Transactions 16 $29,750.67

Run by Finance Reports on 12/23/2021 11:14:14 AM Page 2 of 2

Executive Accounts Payable by GL Distribution DRAFT

Payment Date Range 11/01/21 - 11/30/21

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COUNTY BOARD

Transaction Date Merchant Name Additional Information Transaction Amount

11/8/2021 JEWEL OSCO 3331 ST CHARLES $72.31

11/9/2021 JIMMY JOHNS - 428 BATAVIA $138.97

11/11/2021 ADMINPRO TODAY 8005432055 $59.00

Total: $270.28

Total all: $270.28

1 of 1 12/7/2021 3:01:59 PM

Kane County Purchasing Card InformationExecutive Committee

November 2021 Statement

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RESOLUTION/ORDINANCE EXECUTIVE SUMMARY

Resolution: No.

Approving the Purchase of 13 Vehicles and a Budget Roll-Over Adjustment for the Sheriff's Office

Committee Flow: Administration Committee, Judicial/Public Safety Committee, Finance and Budget Committee, Executive Committee, Contact: Christie Duffy, 630.208.2001

Budget Information:

Was this item budgeted? Yes Appropriation Amount: $561,430

If not budgeted, explain funding source: Public Safety Sales Tax Automotive Equipment

125.800.810.70070 FY21 $383,395 + FY22 $178,035

Summary:

Resolution 21-203 was approved by the County Board on April 13, 2021. The pandemic has

created a shipping delay on vehicles, which caused our orders to get delayed or cancelled. This

resolution approves the purchase of Twelve (12) replacement vehicles and a truck for the

Investigations Division totaling $561,430. Eleven (11) of these vehicles were included in the

FY21 Sheriff’s Office Budget. A roll over of FY21 unspent budget in the amount of $383.395 will

need to be moved into FY22 Automotive Equipment Account to cover these costs. The vehicles

meet the County’s replacement standards and the existing units have reached the end of their

useful life.

KCSO Unit Vehicle Model/Make Number

of Units

Approx. Subtotal Approx. Total

Patrol 2022 Ford Utility Police

Interceptor AWD Hybrid

11 $36,744 + $4,700

Upfitting Equip. +

$430 Graphics

$460,614.00

Investigations 2022 Ford F-350 Police

Responder Crew Cab 4x4

1 $37,690 + $4,000

upfitting equip. +

$3,168 Cap +

$7,205 Ext. Bed

$52,063.00

Prisoner Van 2022 Ford Transit Full

Sized Van

1 $28,511 +

$20,242 Partition

$48,753.00

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STATE OF ILLINOIS

COUNTY OF KANE

RESOLUTION: NO.

APPROVING THE PURCHASE OF 13 VEHICLES AND A BUDGET ROLL-OVER ADJUSTMENT FOR THE SHERIFF'S OFFICE

WHEREAS, the Sheriff’s Office needs to replace eleven (11) Patrol vehicles, one (1)

Prisoner Transport Van, and purchase of one (1) truck for the Investigations Division; and

WHEREAS, eleven (11) of the vehicles were previously budgeted for under FY21 and

approved for purchase through resolution 21-203, which passed County Board on April 13, 2021;

and

WHEREAS, the pandemic created a production delay that caused the previously approved

vehicle orders to get delayed and/or cancelled; and

WHEREAS, the most responsible vendor for both of the 2022 Ford Utility Police Interceptor

AWD Hybrid is Currie Motors, 8401 W. Roosevelt Road, Forest Park, Illinois, which provided a price

of Thirty-Six Thousand, Seven Hundred Forty-Four Dollars and No/100 ($36,744) per Patrol vehicle

under Contract #202.Upfitting of police equipment will be purchased through Lund Industries, Inc.,

3175 MacArthur Boulevard, Northbrook, IL 60062, pursuant to Bid 14-020 at a price Four

Thousand, Seven Hundred Dollars and No/100 ($4,700) per vehicle. Graphics for each vehicle is

done through Strypes Plus More, Inc., P.O. Box 1169, Hinckley, L 60520, at Four Hundred Thirty

Dollars and No/100 ($430) per vehicle; and

WHEREAS, the most responsible vendor for the Ford F-350 truck is Roesch Ford, 303 W.

Grand Avenue, Bensenville, IL 60106, which provided a price of Thirty-Seven Thousand, Six

Hundred Ninety Dollars and No/100 ($37,690) under Contract #180 for that vehicle. Upfitting of

police equipment will be purchased through Lund Industries pursuant to Bid 14-020 at a price Four

Thousand Dollars and No/100 ($4,000). The Extended Bed will be purchased through ExtendoBed,

4242 S. Eagleson Road, Ste. 102, Boise, ID 83705, for Seven Thousand, Two Hundred Five

Dollars and No/100 ($7,205). The Cap will be from Tri-County Truck Tops, Inc., 2240 E. Algonquin

Road, Algonquin, IL 60102, for Three Thousand, One Hundred Sixty-Eight Dollars and No/100

($3,168); and

WHEREAS, the 2022 Ford Transit Full Sized Van is Currie Motors, 8401 W. Roosevelt

Road, Forest Park, Illinois, which provided a price of Twenty Eight Thousand, Five Hundred Eleven

Dollars and No/100 ($28,511) under Contract #150. The Partition for the Ford Transit Van is

through Mavron, Inc., 152 S. Zimmer Road, Warsaw, Indiana, in the amount of Twenty Thousand,

Two Hundred Forty-Two Dollars and No/100 ($20,242).

WHEREAS, $433,243 was budgeted and approved under resolution 21-203 in the FY21 for

the Sheriff's Office vehicles in Fund 125.800.810.70070 for Automotive Equipment; and

WHEREAS, $383,395 was not spent in FY21 Automotive Equipment Fund and should be

moved to the FY22 budget to cover expenditures for this project.

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NOW, THEREFORE, BE IT RESOLVED by the Kane County Board and the Chairman

thereof, that the Sheriff of Kane County is authorized to enter into contracts with Currie Motors of

Forest Park, Illinois for a total of Four Hundred Thirty-Two Thousand, Six Hundred Ninety-Five

Dollars and No/100 ($432,695), Roesch Ford in Bensenville, Illinois, for Thirty-Seven Thousand, Six

Hundred Ninety Dollars and No/100 ($37,690), Tri-County Truck Tops for $3,168, ExtendoBed for

$7,205, Strypes Plus More of $4,730, and Mavron in the amount of $20,242 for the purchase of

police vehicles.

BE IT FURTHER RESOLVED that the following budget adjustment is authorized to the Fiscal Year 2022 budget:

125.800.000.39900 Public Safety Sales Tax: Cash on Hand +$383,395 125.800.810.70070 Public Safety Sales Tax: Automotive Equipment +$383,395

Line Item Line Item Description Was Personnel/Item/Service approved

in original budget or a subsequent

budget revision?

Are funds currently available for this

Personnel/Item/Service in the specific

line item?

If funds are not currently available

in the specified line item, where

are the funds available?

125.800.810.70070 Automotive Equipment Yes Yes N/A

112.800.000.39900 Cash on Hand Yes Yes N/A

Passed by the Kane County Board on January 11, 2022.

________________________________ _____________________________ John A. Cunningham Corinne M. Pierog MA, MBA Clerk, County Board Chairman, County Board Kane County, Illinois Kane County, Illinois

Vote:

22-01 SHF 13 Vehicles

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2022 Ford Utility Police Interceptor AWD Hybrid Contract #204

Currie Motors Commercial Center Your Full Line Municipal Dealer

“Nice People to do Business With”

HYBRID MOTOR STANDARD MARK OPTION 99B FOR GASOLINE MOTOR

Order Cut Off TBD Production Delayed Due to Current Supply Chain Shortages

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MECHANICAL 3.3L Police-Calibrated V6 Direct-Injection Hybrid Engine System – Standard (Hybrid technology is optimal for performance andlong days spent idling on the job)

AWD Drivetrain – Standard for enhanced handling precision and unsurpassed traction on wet or dry surfaces Transmission – 10-speed automatic, police calibrated for maximum acceleration and faster closing speeds Lithium-Ion Battery Pack Brakes – Police calibrated high-performance regenerative braking system

4-Wheel heavy-duty disc w/heavy-duty front and rear calipers

Brake Rotors – large mass for high thermal capacity and calipers with large swept area.

Electric Power-Assist Steering (EPAS) – Heavy-Duty DC/DC converter – 220-Amp (in lieu of alternator) H7 AGM Battery (Standard; 800 CCA/80-amp)

Cooling System – Heavy-duty, large high volume radiator, Engine oil cooler and transmission oil cooler

Engine Idle Hour Meter Engine Hour Meter Powertrain mounts – Heavy-Duty

50-State Emissions SystemINTERIOR/COMFORT

Cargo Area – Spacious area for police equipment; Lithium- Ion Battery Pack does not intrude into the cargo area

Cargo Hooks Climate Control – Dual-Zone Electronic Automatic

Temperature Control (DEATC) Door-Locks — Power — Rear-Door Handles and Locks

Operable ●Fixed Pedals (Driver Dead Pedal) Floor – Flooring – Heavy-Duty Thermoplastic Elastomer Glove Box – Locking/non-illuminated Grab Handles – (1 – Front-passenger side, 2-Rear) Liftgate Release Switch located in overhead console (45

second timeout feature) Lighting — Overhead Console — Red/White Task Lighting in Overhead Console — 3rd row overhead map light Mirror – Day/night Rear View Particulate Air Filter Powerpoints – (1) First Row Rear-window Defrost Scuff Plates – Front & Rear Speed (Cruise) Control Speedometer – Calibrated (includes digital readout) Steering Wheel – Manual / Tilt, Urethane wheel finish

w/Silver Painted Bezels with Speed Controls and 4-user configurable latching switches

Sun visors, color-keyed, non-illuminated

INTERIOR/COMFORT (CONTINUED) ●Seats — 1st Row Police Grade Cloth Trim, Dual FrontBuckets with reduced bolsters — 1st Row – Driver 6-wayPower track (fore/aft. Up/down, tilt with manual recline, 2-way manual lumbar) — 1st Row – Passenger 2-way manualtrack (fore/aft. with manual recline) — Built-in steel intrusionplates in both driver/passenger seatbacks — 2nd Row Vinyl,35/30/35 Split Bench Seat (manual fold-flat, no tumble) –fixed seat track

Universal Top Tray – Center of I/P for mountingaftermarket equipment

Windows, Power, 1-touch Up/Down FrontDriver/Passenger-Side with disable featureEXTERIOR

Antenna, Roof-mounted Cladding – Lower bodysidecladding MIC ●Door Handles – Black (MIC)

Exhaust True Dual (down-turned)Front-Door-Lock Cylinders (Front Driver / Passenger /

Liftgate)●Glass – 2nd Row, Rear Quarter and Liftgate Privacy Glass

Grille – Black (MIC)Headlamps – Automatic, LED Low-and-High-Beam Note:

Includes Front Headlamp / Police Interceptor Housing (withLED wig-wag feature) — Pre-drilled hole for side markerpolice use, does not include LED strobe, but includes LEDwig-wag functionality (eliminates need to drill housingassemblies and provides LED wig-wag feature) — Pre- molded side warning LED holes with standard sealedcapability (does not include LED installed lights)

Liftgate – Manual 1-Piece – Fixed Glass w/Door-LockCylinder ●Mirrors – Black Caps (MIC), Power ElectricRemote, Manual Folding with Integrated Spotter (integratedblind spot mirrors not included when equipped with BLIS®)

Spare – Full size 18” Tire w/TPMSSpoiler – Painted Black Tailgate Handle – (MIC)Tail lamps – LED

●Tires – 255/60R18 A/S BSWWheel-Lip Molding – Black (MIC)Wheels – 18” x 8.0 painted black steel with wheel hub

coverWindshield – Acoustic Laminated

POLICE UPFIT FRIENDLYConsistent 11-inch space between driver and passenger

seatsfor aftermarket consoles (9-inch center console mountingplate)

Console mounting plate Dash pass-thru opening for aftermarket wiring Headliner – Easy to service Two (2) 50 amp battery ground circuits – power

distribution junction block (repositioned behind 2nd row seat floorboard). Heated Sanitation Solution

2022 Ford Utility Police Interceptor AWD Hybrid Contract #202

$35,092

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FUNCTIONAL Audio — AM/FM / MP3 Capable / Clock / 4-speakers —

Bluetooth® interface — 4.2" Color LCD Screen Center-Stack "Smart Display" Note: Standard radio does not include USB Port or Aux. Audio Input ●Jack; Aux. Audio Input Jack requires SYNC 3®

Easy Fuel® Capless Fuel-Filler Ford Telematics™ – Includes Ford Modem and

complimentary 2- year trial subscription Front door tether straps (driver/passenger) Power pigtail harness Recovery Hooks; two in front and trailer bar in rear Simple Fleet Key (w/o microchip, easy to replace; 4-keys) Two-way radio pre-wire Two (2) 50 amp battery ground circuits – power distribution

junction block (behind 2nd row passenger seat floorboard) Wipers – Front Speed-Sensitive Intermittent; Rear Dual

Speed Wiper POWERTRAIN CARE EXTENDED SERVICE PLAN

5-year/100,000-mile Powertrain CARE Extended ServicePlan (zero deductible) – Standard

SAFETY/SECURITY HIGHLIGHTS 75-mph Rear-impact Crash Tested

Note: The full-size spare tire secured in the factory location is necessary to achieve police-rated 75-mph rear impact crash- test performance attributes

AdvanceTrac® w/RSC® (Roll Stability Control™) police tuned gyroscopic sensors work seamlessly with the ABS

Rear Video Camera with Washer (standard) Airbags, dual-stage driver & front-passenger, side seat,

passenger-side knee, Roll Curtain Airbags and Safety Canopy® ●Anti-Lock Brakes (ABS) with Traction Control Brakes –Police calibrated high-performance regenerative brakingsystem●Belt-Minder® (Front Driver / Passenger)

Child-Safety Locks (capped)Individual Tire Pressure Monitoring System (TPMS)LATCH (Lower Anchors and Tethers for Children) system on

rear outboard seat locationsSeat Belts, Pretensioner/Energy-Management System

w/adjustable height in 1st RowSOS Post-Crash Alert System™

WARRANTY3 Year / 36,000 Miles Bumper / Bumper 8 Year / 100,000 Miles Hybrid Unique Components

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POWERTRAIN OPTIONS

99B- 3.3L V-6 TIVCT Gasoline Motor-NA with 99C Motor -2,743.00 99C- 3.0L V-6 Eco Boost Engine 766.00 41H- Engine Block Heat 85.00 19K-H8 AGM Battery (900 CCA/92 Amp) 103.00 76D- Deflector Plate 315.00 47A-Engine Idle Control 244.00 3 Year/100,000 Miles Premium Care 2,340.00 5 Year/100,000 Miles Premium Care 2,430.00 3 Year/100,000 Miles Extra Care 2,055.00 5 Year/100,000 Miles Extra Care 2,130.00 5 Year/125,000 Miles Powertrain Care 2,235.00 6 Year/ 125,000 Miles Powertrain Care 2,305.00

Exterior Options

942-Daytime Running Lights 42.00 51R-Drivers Side Spot Light-Unity 371.00 51T-Drivers Side Spot Light-Whelen 394.00 51S-Dual Spot Lights-Unity 582.00 51V-Dual Spot Lights-Whelen 625.00 51P-Spot Lamp Prep Kit 132.00 51W-Dual Spot Lamp Prep Kit 264.00 21L- Front Auxiliary Light Red/Blue-Requires 60A 517.00 63B-Side Marker LED Red/Blue-Requires 60A 273.00 96T-Rear Spoiler Traffic Light-Requires 60A 1,405.00 549-Heated Side View Mirrors 56.00 43A-Rear Auxiliary Lights 371.00 65L-5 Spoke Full Wheel Covers 56.00 64E-18” Painted Aluminum Wheels 447.00 16D-Badge Delete N/C 86T Tail Lamp Housing Only 56.00

Safety Options

43D-Dark Car Feature- Disables Courtesy Lights 24.00 19V-Rear Camera On Demand 217.00 76P-Pre-Collision Assist w/ Pedestrian Detection-NA w/96W 136.00 68B-Police Perimeter Alert-Requires 19V and 87R 635.00

Packet Pg. 16

90D-Ballistic Door Panels-Level III- Driver Front Only 1,490.00 90E-Ballastic Door Panels-Level III-Driver/Pass Front 2,979.00 90F-Ballastic Door Panels-Level IV-Driver Front Only 2,270.00 90G Ballistic Door Panels-Level IV-Driver/Pass Front 4,541.00 55B-BLIS Blind Spot Monitoring 512.00 593-Perimeter Anti-Theft Alarm-Requires 55F 112.00 55F-Keyless Entry-4 Fobs 320.00 76R-Reverse Sensing 259.00

Interior Options

17T-Dome Lamp-Cargo Area Red/White 47.00 63L-Rear Quarter Glass Side Marker Lights-Red/Blue 541.00 87R-Rearview Camera-Replaces Std Camera in Center Stack N/C 68G-Rear Door Handles, Locks, and Windows Inoperable 71.00 52P-Hidden Door Lock Plunger w/ Rear Handles Inoperable 150.00 16C-Carpet Floor Covering-Includes Floor Mats 118.00 18D-Global Lock/Unlock-Disables Auto Lock on Hatch 24.00 87P-Power Passenger Seat 306.00 85D-Front Console Plate Delete N/C 85R-Rear Console Plate 42.00 96W-Front Interior Windshield Warning Lights N/A w/76P 1,405.00 47E-12.1” Screen 2,580.00 61B-OBD-II Split Connector 52.00 68E-Noise Suppression Kit 183.00 Keyed Alike Code Specify Current Code 47.00

573.00 230.00 94.00 296.00 367.00

17A-Auxliliary Air Conditioning 63V-Cargo Storage Vault-Lockable for Small Items 60R-Noise Suppression-Ground Straps 18X-100 Watt Siren/Speaker 65U-Police Interior Up Grade Package 60A-Pre- Wiring for Grill Lights, Siren, and Speaker 47.00

Option Groups

67V-Police Wire Harness Connector Kit 174.00 66A-Front Headlamp Lighting Solution 841.00 66B-Tail Lamp Lighting Solution 405.00 66C-Rear Lighting Solution 428.00 67U-Ultimate Wiring Package 526.00 4-Corner LED Strobes-Requires 86T 1,195.00

Packet Pg. 17

67H- Ready for the Road Package includes 66A, 66B, 66C plus—

Whelen CenCom Light Controller 100Watt Siren Speaker Whelen CenCom Relay Center 9 I/O Serial Cable Light Controller Wiring Hidden Door Lock Plunger Grill LED Lights Rear Console Mounting Plate *Requires Final Programming Does Not Include Interior Police Equipment 3,379.00

Misc. Options

Rustproofing 395.00 CD-Rom Service Manual 395.00 Delivery Greater than 50 miles of Dealership 185.00 License & Title Municipal Plates Municipal Police 203.00 Passenger Plates 326.00

Exterior Colors

BU-Medium Brown Metallic E3-Arizona Beige Metallic E4-Vermillion Red FT-Blue Metallic HG-Smokestone Metallic J1-Kodiak Brown JL-Dark Toreador Red Metallic JS-Iconic Silver Metallic M7-Carbonized Gray LK-Dark Blue LM- Royal Blue LN-Light Blue Metallic TN-Silver Grey Metallic UJ-Sterling Grey Metallic UM-Agate Black YG-Medium Titanium Metallic YZ-Oxford White

Interior Colors

Charcoal Black W/Vinyl Rear N/C Charcoal Black W/Cloth Rear 58.00

Certificate of Origin – Customer will complete license/title application N/C

Packet Pg. 18

Please complete the following in its entirety.

Title Information:

Phone Number: Purchase Order Number: Ford FIN Code: Tax Exempt Number: Total Number of Units: Total Dollar Amount: Delivery Address:

Orders require an original signed purchase order & tax exempt letter. Scheduled Orders Cannot be canceled

Currie Motors Commercial Center 10125 W. Laraway Road Frankfort, IL60423 (815) 464-9200 Kristen DeLaRiva [email protected] Tom Sullivan [email protected]

*Please monitor vehicle status by registering at www.fleet.ford.com. Complete Specs are at:

https://www.ford.com/police-vehicles/hybrid-utility/

Packet Pg. 19

mailto:[email protected]


http://www.fleet.ford.com/

http://www.ford.com/police-vehicles/hybrid-utility/

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Packet Pg. 28

PO Box #1169

Hinckley, IL 60520

Cell 630.816.9069

DATE Fax 815.286.3999

email [email protected]

BILL TO CONTACT INFO

Kane County Sheriff Dept. Gary Harrison

QUANTITY COST EA TOTAL

2022 Ford SUV graphics

3M print with laminate for all graphics on entire car. Black reflective

striping down each side.

Price includes all materials and labor to install $430.00 $430.00

Quote Valid for 90 days. Terms are Net 14 days ROG

Squad lettering for 2022

12/7/2021

QUOTATION

DESCRIPTION

Packet Pg. 29

mailto:[email protected]#

Packet Pg. 30

Quotes are valid for 60 days only.Please call for updated pricing.

5/24/2019Expiration Date

3/22/2019Date

4242 S. Eagleson Rd. Suite 102, Boise, ID 83705

Ph: (800) 752-0706Duns: 181936493, Cage Code: 1EZW8,

Fed ID: 45-5379813

PROPOSAL

SHIPPING: Please request for lift-gate delivery truck if you do nothave a fork-lift or loading dock on delivery site. We will charge anextra $140 for a lift-gate delivery truck to come on site and unload foryou.

are estimations only. Please confirm at the time order.LEAD TIMES:

TERMS: requires payment before unit can be released into- Prepayproduction. - requires payment 30 days after invoice is created.Net 30

1½% per month charge on unpaid balances will be added toNOTE:past due accounts.

Additional Notes

875Est. Ship Weight

2-3 daysShipping Time

37W755 Illinios Route 38, Suite ASaint Charles, IL 60175

Ship To

Kane County SheriffShip To Name

6-7 weeksEst. Lead Time(weeks)

Net 30Account Terms

Kane County SheriffSt. Charles, IL 60175

Bill To

Kane County SheriffBill To Name

2019 F-350 6-3/4' bedVehicle Details

EB-1575 w/US SOGCarrier Design

Prop 14607Quote Name

[email protected]

(630) 208-2030Phone

David WolfName

Contact Information

Shipping and Billing Information

QuantityProductCode

Product DescriptionCustomChangeOrder

SalesPrice

TotalPrice

1.00 EB-157575" Extendobed steel frame assy, w/ full extension lock & plywood platform(48"W x 75"L), w/ short side rails. Mounting hardware included; 1500 lbs.capacity

$1,745.00 $1,745.00

1.00 USCSOG-M

US C SOG carrier includes: - Safety Screen w/ a cutaway upper platform - (2) Slide-out mounting walls w/ mesh enclosures - Collapsible easel board w/ a storage rack - (2) Locking drawers w/ small fold-down table - Type III ATF Day & small fold-down table - Mesh backsplash & fold-down gates - Steel frame & plywood platform will be coated with a protective sealer

Delete Slideout Mountingwalls.

$4,860.00 $4,860.00

1.00 Crating Crating $135.00 $135.00

Please provide correct shipping address at the time of order. If shipping addressis changed once the shipment has left our facility, the buyer will be responsiblefor any additional shipping costs.

Packet Pg. 31

Quotes are valid for 60 days only.Please call for updated pricing.

5/24/2019Expiration Date

3/22/2019Date

4242 S. Eagleson Rd. Suite 102, Boise, ID 83705

Ph: (800) 752-0706Duns: 181936493, Cage Code: 1EZW8,

Fed ID: 45-5379813

PROPOSAL

SHIPPING: Please request for lift-gate delivery truck if you do nothave a fork-lift or loading dock on delivery site. We will charge anextra $140 for a lift-gate delivery truck to come on site and unload foryou.

are estimations only. Please confirm at the time order.LEAD TIMES:

TERMS: requires payment before unit can be released into- Prepayproduction. - requires payment 30 days after invoice is created.Net 30

1½% per month charge on unpaid balances will be added toNOTE:past due accounts.

Additional Notes

$7,205.00Grand Total

Nathan CarterLast Modified By

Nathan CarterCreated By

1.00 Ship*** If damage is suspected at time of delivery, the receiver MUST notate"DAMAGED" on receipt. ***

$465.00 $465.00

Totals

Packet Pg. 32

Contract #150

2021 Ford Transit Full Sized Van

Contract# 150

Currie Motors Fleet Nice People to do Business with

Visit our new website www.curriecommercial.com

Order Cut Off TBD

Packet Pg. 33

http://www.curriecommercial.com/

Contract #150

Currie Motors Frankfort SPC Contract Winner

Contract #150

2021 Ford Transit Full Sized Van

Standard Package: $23,200.00

3 Year 36,000 Mile Limited Bumper to Bumper Warranty 5 Year 60,000 Power-train Warranty

Alternator – 250-amp Auxiliary Fuel Port Single Battery – 70 amp-hours (Gas Only) Brakes – 4-wheel ABS w/ Improved Pads Fuel Tank – Capless fuel fill, 25 U.S. gallons Horn – Single-note electric Steering – EPAS Power Assist Front MacPherson-strut, stabilizer bar Rear Leaf springs, heavy-duty gas shock absorbers 235/65R16 BSW all-season (SRW) 195/75R16 BSW all-season (DRW) Wheels – 16” steel FordPass Connect 4G Wi-Fi Modem Full-size spare tire & wheel Front Bumper – Carbon Black w/ lower valence Rear Bumper– Carbon Black Body Side Moldings – Carbon Black Sliding passenger-side Door Honey-Comb Mesh Grill

Halogen head lamps with Black Trim Roof Marker Lamps – Included on dual rear-wheel models Center High Mount Stop Lamp (CHMSL) Short-Arm Dual Power Mirrors Tinted Glass

Variable Windshield Wipers Air conditioning - Front only Antenna – fender mounted AM/FM stereo, Bluetooth, Dual USB ports, 4’MFD 2 Front Speakers Auto locking Drive Away w/ Crash Unlocking

Power Equipment Group with Remote Keyless-Entry Front Vinyl Floor Covering Glove Box-Locking

Instrumentation - Tachometer, fuel level and coolant temperature Inside Rearview Mirror (Included with Rear Glass opt.) Front Dome Lamp with Map Lights and Theater Dim Accessory Delay – 30 minutes Power-point 12V, in instrument panel and center console Driver and front-passenger manual reclining Vinyl bucket seats with adjustable headrest. Tilt & Telescoping steering wheel Step well pads – black plastic Sun visor-Vinyl Trim. Trim - Passenger A-Pillar Grab Handle Headliner -front only Electric Parking Brake (SRW only) Driver and Passenger Airbags Passenger-side airbag cut-off switch Side Airbags Safety Canopy Side-Curtain air bags AdvanceTrac® w/Roll Stability Control™ (RSC®) Forward Collision Warning Post Collison Braking Pre-Collision Assist with AEB Lane-Keeping System Tire Pressure Monitoring System (TPMS). Hill Launch Assist Safety belts – 3-point, all positions SOS Post Crash Alert Rear view camera with Trailer Assist 3.5L PFDi V-6 Motor 10-Speed Automatic Overdrive with Select Shift Rear Cargo LED Lamp Rear Door Cargo Lock Cylinder Rear Cargo Door Exit Handle

Packet Pg. 34

Contract #150

LOW ROOF (83.6) VAN:

Transit-150 (GVWR: Van 8,600) E1Y Regular Wheelbase: Sliding Passenger-Side Cargo-Door 130” $ 23,200.00 E1Y Long Wheelbase: Sliding Passenger-Side Cargo-Door 148” $ 24,342.00 E2Y Regular Wheelbase: Sliding Passenger-Side Cargo-Door 130”-AWD $ 29,195.00 E2Y Long Wheelbase: Sliding Passenger-Side Cargo-Door 148”-AWD $ 30,337.00

Transit-250 (GVWR: 9,000) R1Y Regular Wheelbase: Sliding Passenger-Side Cargo-Door 130” $ 24,579.00 R1Y Long Wheelbase: Sliding Passenger-Side Cargo-Door 148” $ 25,429.00

R2Y Regular Wheelbase: Sliding Passenger-Side Cargo-Door 130”-AWD $ 30,574.00 R2Y Long Wheelbase: Sliding Passenger-Side Cargo-Door 148”-AWD $ 31,424.00

Transit-350 (GVWR: Van 9,500) W1Y Regular Wheelbase: Sliding Passenger-Side Cargo-Door 130” $ 26,032.00 W1Y Long Wheelbase: Sliding Passenger-Side Cargo-Door 148” $ 27,174.00

W2Y Regular Wheelbase: Sliding Passenger-Side Cargo-Door 130”-AWD $ 32,027.00 W2Y Long Wheelbase: Sliding Passenger-Side Cargo-Door 148”-AWD $ 33,169.00

Transit-150 (GVWR: Van 8,600)

MEDIUM ROOF (100.8) VAN:

E1C Regular Wheelbase: Sliding Passenger-Side Cargo-Door 130” $ 26,507.00 E1C Long Wheelbase: Sliding Passenger-Side Cargo-Door 148” $ 27,985.00 E2C Regular Wheelbase: Sliding Passenger-Side Cargo-Door 130”-AWD $ 32,502.00 E2C Long Wheelbase: Sliding Passenger-Side Cargo-Door 148” -AWD $ 33,980.00

Transit-250 (GVWR: 9,000) R1C Regular Wheelbase: Sliding Passenger-Side Cargo-Door 130” $ 27,232.00 R1C Long Wheelbase: Sliding Passenger-Side Cargo-Door 148” $ 28,711.00 R2C Regular Wheelbase: Sliding Passenger-Side Cargo-Door 130”-AWD $ 33,227.00

R2C Long Wheelbase: Sliding Passenger-Side Cargo-Door 148” -AWD $ 34706.00

Transit-350 (GVWR: Van 9,500) W9C Regular Wheelbase: Sliding Passenger-Side Cargo-Door 130” $ 28,757.00 W9C Long Wheelbase: Sliding Passenger-Side Cargo-Door 148” $ 29,899.00

W2C Regular Wheelbase: Sliding Passenger-Side Cargo-Door 130”-AWD $34,752.00 W2C Long Wheelbase: Sliding Passenger-Side Cargo-Door 148” -AWD $35,894.00

Packet Pg. 35

Contract #150

HIGH ROOF (110.1) VAN:

Transit-250 (GVWR: 9,000) R1X Long Wheelbase: Sliding Passenger-Side Cargo-Door 148” $ 30,342.00 R2X Long Wheelbase: Sliding Passenger-Side Cargo-Door 148”-AWD $ 36,337.00 R3X Long Wheelbase Extended-Length: Sliding Pass-Side Cargo-Door 148”EL $ 31,473.00 R3U Long Wheelbase Extended-Length: Sliding Pass-Side Cargo-Door 148”EL-AWD $ 37,468.00

Transit-350 (GVWR: Van 9,500/9,250 w/ Diesel) W1X Long Wheelbase: Sliding Passenger-Side Cargo-Door 148” $ 31,530.00 W2X Long Wheelbase: Sliding Pass-Side Cargo-Door 148”-AWD $ 37,525.00 W3X Long Wheelbase Extended-Length: Sliding Pass-Side Cargo-Door 148”EL $ 32,661.00 W3U Long Wheelbase Extended-Length: Sliding Pass-Side Cargo-Door 148”EL-AWD $ 38,656.00

Transit-350 HD DRW (GVWR: F4X/F4U 9950#- S4X/S4U 10,360#) F4X Long Wheelbase Extended-Length: Sliding Pass-Side Cargo-Door 148”EL $ 34,544.00

F4U Long Wheelbase Extended-Length: Sliding Pass-Side Cargo-Door 148”EL-AWD $ 40,539.00 S4X Long Wheelbase Extended-Length: Sliding Pass-Side Cargo-Door 148”EL $ 34,849.00 S4U Long Wheelbase Extended-Length: Sliding Pass-Side Cargo-Door 148”EL-AWD $ 40,844.00

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Contract #150

POWERTRAIN/FUNCTIONAL

99G 3.5L Eco Boost V-6 $ 1616.00

98F E-85 Flex-Fuel Capable. N/A with 3.5 V6 $ 139.00

63C Dual Alternator (250 amps each) $ 769.00 63E Dual Heavy Duty Battery-70 amp-hours Glass Mat, N/A With 3.5L Eco Boost $ 269.00 63X Battery – Single Absorbed Glass Mat. Optional on Gas Engine. $ 114.00 655 Extended Range Fuel Tanks-31 U.S. gallons (mid-ship) N/A with Regular Length $ 260.00

41H Engine Block Heater - 400W Rating $ 68.00 57A Start/Stop Switch Delete-N/A With 3.5L PFDI Motor $ N/C 55A Upfitter Module $ 232.00

53K Modified Vehicle Wiring System –Requires Dual Batteries and HD Alternator $ 68.00 61C Vehicle Maintenance Monitor $ 41.00

55B Smart Acceleration Truncation $ 173.00 52M Speed Limitation – 65-mph governed top speed. Fleet only. $ 72.00 52H Speed Limitation – 70-mph governed top speed. Fleet only. $ 72.00 52N Speed Limitation – 75-mph governed top speed. Fleet only. $ 72.00 53D Tow/Haul Mode with Trailer Wiring Provisions $ 269.00 67D Trailer Brake Controller-Requires Cruise Control and HD Trailer Tow or Tow/Haul Mode $ 368.00 85D Horn-Dual Note $ 19.00 Locking Differential $ 296.00 68B Remote Start $ 451.00

94B Enhanced Active Park Assist-not available with extended length configurations $ 815.00

EXTERIOR OPTIONS

59A 60/40 Hinged Passenger-side Door (Low Roof) $ N/C 18P 253 Degree Rear Door Opening- Long and Extended Wheelbase only $ 69.00

942 Daytime Running Lamps (Fleet only) $ 41.00 43R Reverse Sensing System $ 269.00 545 Short Arm Mirror – Power, Manual-Folding Heated with Turn Signals N/A with BLIS $ 146.00 543 Long Arm Mirror – Power Non Telescopic N/A with BLIS $ 59.00

544 Long Arm Mirror - Power Heated Non Telescopic with Turn Signals. $ 201.00 65A Blind Spot Information System (BLIS) with Cross Traffic Alert and Trailer Coverage $ 542.00

43E Rear Bumper-Carbon Black with step (Low Roof) $ N/C

68J Extended Length Running Boards Not available with Dual Sliding Cargo-Doors -Diesel Motor $ 596.00

68H Running Board. Not available with Dual Sliding Side Cargo-Doors (Curbside Door Location) $ 282.00 64H 16” Steel with Full Wheel Cover (SRW). $ 32.00 Power Sliding Side Door-Mid and High Roof Only $ 906.00

65C 51A Delete full-size spare tire & wheel. Optional on Extended-length only. $ (107.00)

Packet Pg. 37

Contract #150

59D Perimeter Anti- Theft $ 141.00 91B Auto Lamp-Includes Wiper Activated Headlamps $ 32.00 53G Body Color Bumper $ 228.00 52C Keyless-Entry Pad. $ 87.00 43B Back Up Alarm. $ 114.00 55D Front Fog Lamps $ 95.00

INTERIOR OPTIONS

16E Floor covering - Vinyl, front and rear. Incl. in Interior Upgrade Pkg. and Load Area Protection Package. Not available with Front/Rear Aux A/C and Heater (57G) on Van. Wheel Well Cover and Rear/Side Scuff Plates are included as part of the rear vinyl floor covering.

$ 223.00

96C Interior Upgrade Package- Full-Height Polypropylene Cargo Area Panels Vinyl, Front and Rear (16E) Short- Arm Power, Manual-Folding Mirrors (541) when BLIS with Cross-traffic Alert and Trailer Coverage (65A) is not selected Vinyl Sun visor with Illuminated Vanity Mirror (Driver and Passenger) (85C) Dark Palazzo Gray Cloth, 2-way manual Driver and 2-way manual Passenger (21L) Cruise Control (60C) Not Available with Rear A/C or Front/Rear Mat or HD Cargo Flooring

$ 1306.00

85C Vinyl Sun Visors with Illuminated Vanity Mirror (Driver and Passenger) Included and only available with Audio Packs #21 (58X), #22 (58Y), #28 (584) on Low Roof Vans

$ 68.00

86F Keys: 2 additional (4 total) with FOBs $ 68.00 67E Large Center Console-Includes and Integrated shifter , a Dual Cup holder and additional

Storage area $ 178.00

62B MyKey® – Requires PATS (66P) and Cruise Control (60C). Includes Level 1 Instrument Cluster. Not available with speed limiting options, AM/FM radio (Audio Packs 16, 17, 18), radio delete or radio prep or FCSD remote start.

$ 4.00

90C Power Inverter – 12V to 110V. Requires Dual Heavy-Duty Batteries (63E). $ 91.00

60B Heavy-Duty Cargo Flooring. Includes Heavy- Duty Rear Scuff Plate Kit. Not available with Dual Rear Wheels or Front/Rear Aux A/C

$ 815.00

67C Up fitter Package- Includes: ● High Capacity Up fitter Switches ● Large Center Console (67E) ● Auxiliary Fuse Panel with High Spec Interface Connector (87E) ● Dual AGM Batteries (63E) ● Modified Vehicle Wiring System (53K)

$ 555.00

66C D-Pillar Assist Handles. $ 55.00 57G Front/Rear Aux A/C and Heater (Driver controlled).

Not Available with Vinyl or HD Flooring. Heat is distributed from rear of front passenger seat. A/C is distributed from the rear of van

Aux Heat/A/C Prep Package

$ 783.00

$ 91.00 62C 94B Enhance Active Park Assist $ 815.00

66D Front Shelf- Not Available on Low Roof $ 69.00

Packet Pg. 38

Contract #150

58V AM/FM stereo, Blue Tooth, Audio input jack, Dual USB ports, SYNC 3 and 4" multi-

function touch screen $ 255.00

58Y AM/FM stereo, audio input jack, 8” MFD, Message Center, SYNC3, HD, and Sirius XM Radio

$ 592.00

584 AM/FM stereo, SYNC® 3 with Navigation, 8” color multi-function display, HD , Sirius XM® Satellite Radio, and Lane Departure Warning

$ 1111.00

60D Adaptive Cruise Control-keeps consistent speed without having to work the brake or accelerator pedal. Also maintains driver-inputted preset distances between vehicles ahead

$ 687.00

60C Cruise Control includes Adjustable Speed Limiting Device $ 296.00

Front-Seating 21G Dark Palazzo Gray Vinyl STD 21L Dark Palazzo Gray Cloth $ 56.00 21M Ebony Cloth $ 56.00

21Q Dark Palazzo Gray Cloth, 10-way power driver and10-way power passenger seats $ 901.00

21R Ebony Cloth, 10-way power driver and 10-way power passenger seats $ 901.00

21S Ebony Leather, 10-way power drivers and 10-way power passenger seats $ 1056.00

Packet Pg. 39

Contract #150

Windows/Glass

17A Fixed rear-door glass $ 228.00 17B Fixed rear-door glass and fixed passenger-side cargo-door glass $ 387.00

17D Fixed Rear-Door Glass and Fixed Driver and Passenger Side Cargo-Door Glass. Requires Dual Sliding Side Cargo-Doors

$ 345.00

17F Windows-All-Around, fixed. Not available with Dual Sliding Side Cargo-Doors. $ 569.00 92A High Strength Laminated Glass-Available with Windows All Around on Medium/High

Roof Long Length Cargo Van.

$ 1033.00

57N Rear-Window Defogger. Included with Rear Glass Options $ N/C 92E Privacy Glass $ 501.00

PACKAGED OPTIONS

Exterior Upgrade Package Chrome Headlamp Trim, Chrome Grille and Grille Surround, 16” Steel Wheel (Black E-coat) on SRW Models, 16” Steel Wheel on DRW Models, Full Wheel Covers (SRW Only)

$ 328.00 18D

Load Area Protection Package (Full Heights) Vinyl, Front and Rear flooring- includes complete rear Polypropylene Panels on Side Walls and doors. Not Available with Rear A/C or Interior Upgrade PKG.

RWB: 360.00 LWB: 442.00 EL: 523.00

96D

Heavy Duty Trailer Tow Package Trailer Wiring Provisions, 4-Pin/7-Pin Connector, Electric Brake Controller Tap-in Capability, Relay system for backup/B+/running lights, Frame mounted hitch receiver, Tow/Haul Mode

$ 442.00 53B

Extended Warranties 3 Year 100,000 Powertrain Care $ 895.00 3 Year 100,000 Base Care $ 1,495.00

Additional Options 4-corner LED Strobes $ 895.00 Service Manual (CD Rom) $ 385.00 Delivery greater than 50 miles of dealership $ 185.00 Adrian racks & bins- Base Adrian Package –contact us for other available options $ 3195.00 M-Plates & Title (Shipped) $ 203.00

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Contract #150

Interior Color

COLOR & TRIM AVAILABILITY

Dark Palazzo Gray Vinyl 21G

Dark Palazzo Gray Cloth 21L

Ebony Cloth 21M Ebony Leather 21S

Exterior Color Code School Bus Yellow BY N/C Race Red PQ N/C Oxford White YZ N/C Agate Black Metallic - UM $ 182.00 Kapoor Red-AW $ 182.00 Avalanche Gray-DR $ 182.00 Abyss Gray-ME $ 182.00 Blue Jeans Metallic - N1 $ 182.00 Ingot Silver Metallic - UX $ 182.00 Carbonized-M7 $ 182.00

Packet Pg. 41

Title Name

Title Address

Title City

Title Zip Code

Contact Name

Phone Number

P.O. Number

Fleet Identification Number

Tax Exempt Number

Total Dollar Amount

Total Number of Units

Delivery Address

*Orders Require Signed Original Purchase Order and Tax Exempt Letter Submitted to:

Currie Motors Fleet 10125W Laraway Frankfort, IL 60423 PHONE: (815)464-9200 Tom Sullivan [email protected] Kristen De La Riva [email protected]

*Fleet Status is accessible by registering at www.fleet.ford.com. Please provide FIN Code at time of order for you to track your order status. Title Corrections will be Billed Appropriate Assessed Fees by the Sec. of State.*Vehicles are ordered and built as indicated on this tab sheet only. No other forms will utilized to process orders.

Contract #150

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http://www.fleet.ford.com/

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Packet Pg. 45


Resolution: No.

Amending the 2022 Fiscal Year Budget to Roll Over of Funds for Business Analysis Project

Committee Flow: Human Services Committee, Finance and Budget Committee, Executive Committee, County Board Contact: Jamie Lobrillo, 630.208.3836

Budget Information:


If not budgeted, explain funding source:

Summary:

Resolution 21-388 Authorized $30,000 in funds to support the Business Analysis project. The project is still in implementation and funds were not utilized in FY2021, and is anticipated to be expended in FY2022.

Packet Pg. 46

STATE OF ILLINOIS

COUNTY OF KANE

RESOLUTION: NO.

AMENDING THE 2022 FISCAL YEAR BUDGET TO ROLL OVER OF FUNDS FOR BUSINESS ANALYSIS PROJECT

WHEREAS, the Human Resources Department has begun a countywide Business Analysis; and

WHEREAS, the County Board approved Resolution 21-388 authorizing this project with a

budget of $30,000; and WHEREAS, none of the funds were expended in FY2021; and WHEREAS, the funds are expected to be expended in FY2022.

NOW, THEREFORE, BE IT RESOLVED by the Kane County Board that the following budget adjustments be made to reflect the roll over of Thirty Thousand Dollars ($30,000) from FY2021 to FY2022.

FY21 Budget Adjustment 001.001.000.39900 Cash on Hand (unspent budget) +30,000 001.800.808.99112 Transfer from Special Reserve (112) +30,000 112.800.000.39001 Special Reserve: Transfer from Gen Fund (001) +30,000 112.800.806.89000 Special Reserve: Net Income (add to Fund Balance)+30,000

FY22 Budget Adjustment 001.120.120.50000 Project Administration Services +30,000 001.000.000.39112 Transfer from Special Reserve (112) +30,000 112.800.000.39900 Special Reserve: Cash on Hand +30,000 112.800.806.99001 Special Reserve: Transfer to Gen Fund (001) +30,000



budget revision?



line item?




001.120.120.50000 Project Administration

Services

Yes - but in 2021 and will be expended in

2022

No 112.800.000.39900



Vote:

Budget Analysis Funds Rollover to 2022

Packet Pg. 47


Resolution: No.

Authorizing Payment of Liability Insurance Premium Expense for Fiscal Year 2022

Committee Flow: Human Services Committee, Finance and Budget Committee, Executive Committee, County Board Contact: Jamie Lobrillo, 630.208.3836

Budget Information:

Was this item budgeted? No Appropriation Amount: $6,182

If not budgeted, explain funding source: Liability Insurance Fund

Summary:

Additional Surplus Line Fees have resulted in an increase in Liability Insurance Premium in the amount of $6,182. This resolution seeks to adjust the budget and approve payment of the additional premium amount to secure FY2022 Liability Insurance.

Packet Pg. 48

STATE OF ILLINOIS

COUNTY OF KANE

RESOLUTION: NO.

AUTHORIZING PAYMENT OF LIABILITY INSURANCE PREMIUM EXPENSE FOR FISCAL YEAR 2022

WHEREAS, on November 30, 2021, the Kane County Board authorized Resolution 21-510 approving payment of 2022 Liability Insurance Premiums in the amount of $2,116,665 for Fiscal Year 2022; and

WHEREAS, additional Surplus Line Fees in the amount of $11,383 are needed to secure

the policies; and WHEREAS, premium reductions in the amount of $5,201 have been secured to offset some

of the additional costs; and WHEREAS, a net increased premium expense of $6,182 is required to secure the liability

insurance policies for FY2022.

NOW, THEREFORE, BE IT RESOLVED that the Kane County Board authorizes additional premiums in the amount of $6,181.55 for fiscal year 2022 Liability Insurance.

NOW, THEREFORE, BE IT FURTHER RESOLVED that the following adjustment to the

Fiscal Year 2022 budget is approved in order to fund the additional premium expense.

010.120.130.53000 Insurance Liability: Liability Insurance + $6,182

010.000.000.39900 Insurance Liability: Cash on Hand + $6,182



budget revision?



line item?




010.120.130.53000 Insurance Liability:

Liability Insurance

Yes No 010.000.000.39900



Vote:

21-12 Liability Insurance Premiums

Packet Pg. 49


Resolution: No.

Authorizing FY 22 Budget Adjustment For COVID-19 Crisis Grant

Committee Flow: Public Health Committee, Finance and Budget Committee,

Executive Committee, County Board Contact: Rachael Farley, 630.208.5122

Budget Information:

Was this item budgeted? No Appropriation Amount: $771,864.00

If not budgeted, explain funding source: Illinois Department of Public Health

Summary:

The COVID-19 pandemic continues to pose a significant burden to the residents of Kane

County, both in terms of health and economic outcomes. The Illinois Department of Public

Health has awarded the Health Department additional funding as part of its COVID-19 Crisis

grant, which will enhance the department’s ability to expand, train, and sustain the public health

workforce to support COVID-19 prevention, preparedness, response, and recovery initiatives.

This resolution allows the Board to accept the funding and amend the FY2022 budget in order

to reflect the additional funds.

Packet Pg. 50

STATE OF ILLINOIS

COUNTY OF KANE

RESOLUTION: NO.

AUTHORIZING FY 22 BUDGET ADJUSTMENT FOR COVID-19 CRISIS GRANT

WHEREAS, the COVID-19 pandemic has led to 74,471 confirmed cases and 904 deaths in Kane County as of December 6th, 2021; and

WHEREAS, additional grant funding from the Illinois Department of Public Health has been

awarded to the Health Department in the amount of seven hundred seventy-one thousand eight hundred sixty-four dollars ($771,864.00); and

WHEREAS, the additional funding is to be used to develop the public health workforce, and

support COVID-19 prevention, preparedness, response, and recovery initiatives, which will continue until June 30, 2023; so

NOW, THEREFORE, BE IT RESOLVED by the Kane County Board that the Chairman

thereof is hereby authorized to enter into said grant agreement with the Illinois Department of Public Health.

NOW, THEREFORE, BE IT FURTHER RESOLVED by the Kane County Board that the

following adjustment to the Fiscal Year 2022 budget is hereby authorized:

Account Number Account Description Amount ($)

350.580.664.40000 Salary & Wages 87,817

350.580.664.45000 Health Insurance 12,716

350.580.664.53000 Insurance Liability 2,037

350.580.664.53010 Workers' Comp 2,459

350.580.664.53020 Unemployment 61

350.580.664.45100 FICA/SS 6,718

350.580.664.45200 IMRF 5,910

350.580.664.50150 Contractual Services 522,190

350.580.664.53100 Training and Education 50,000

350.580.664.53120 Employee Mileage 1,680

350.580.664.60010 Operating Supplies 69,896

350.580.664.60060 Computer Software Non-Capital 6,000

350.580.664.64000 Telecommunications 4,380

350.580.000.38970 IDHP COVID Outbreak 771,864

Line Item Line Item Description Was Personnel/Item/Service

approved in original budget

or a subsequent budget

revision?

Are funds currently

available for this

Personnel/Item/Service

in the specific line item?

If funds are not

currently available in

the specified line item,

where are the funds

available?

350.580.664.40000 Salary & Wages No No COVID-19 Crisis Grant

350.580.664.45000 Health Insurance No No COVID-19 Crisis Grant

350.580.664.53000 Insurance Liability No No COVID-19 Crisis Grant

350.580.664.53010 Workers' Comp No No COVID-19 Crisis Grant

350.580.664.53020 Unemployment No No COVID-19 Crisis Grant

350.580.664.45100 FICA/SS No No COVID-19 Crisis Grant

350.580.664.45200 IMRF No No COVID-19 Crisis Grant

350.580.664.50150 Contractual Services No No COVID-19 Crisis Grant

Packet Pg. 51

350.580.664.60010 Operating Supplies No No COVID-19 Crisis Grant

350.580.664.53120 Employee Mileage No No COVID-19 Crisis Grant

350.580.664.53100 Training and Education No No COVID-19 Crisis Grant

350.580.664.60060 Computer Software Non-

Capital

No No COVID-19 Crisis Grant

350.580.664.64000 Telecommunications No No COVID-19 Crisis Grant

350.580.000.38970 COVID-19 Crisis Grant -

IDHP COVID Outbreak

No No COVID-19 Crisis Grant



Vote:

21-01 COVID Crisis

Packet Pg. 52


Resolution: No.

FY22 Budget Adjustment for KCAC Starting Salary Change

Committee Flow: Public Health Committee, Finance and Budget Committee,

Executive Committee, County Board Contact: Brett Youngsteadt, 630.208.3814

Budget Information:


If not budgeted, explain funding source: FY22 tag fee increases

Summary:

Kane County Animal Control (KCAC) is looking to increase starting salaries for all

positions to be more competitive with local and state animal control agencies. KCAC will be

using money from our tag fee increase starting January 1, 2022 to fund the increase in salaries.

KCAC has been unable to hire open positions for over one year due to our low starting salaries

in all positions. When positions have been filled in the past, employees receive training from

KCAC and then leave for other counties or animal control agencies.

Packet Pg. 53

STATE OF ILLINOIS

COUNTY OF KANE

RESOLUTION: NO.

FY22 BUDGET ADJUSTMENT FOR KCAC STARTING SALARY CHANGE

WHEREAS, Kane County Animal Control (KCAC) has had difficulty receiving applicants

for open positions for over one year due to the starting salary at the KCAC; and

WHEREAS, Employees that have filled positions in the past at the KCAC, leave for other

counties or animal control agencies after they have received training at the KCAC; and

WHEREAS, An increase to the KCAC starting salaries of all positions is necessary to offer

more competitive salaries with other county animal control agencies; and

WHEREAS, KCAC will start offering a competitive salaries that matches other counties

around the collar counties and the state of Illinois as a whole to hire new qualified employees as

well as retain trained and experienced employees at the KCAC; and

WHEREAS, KCAC is increasing tag fees starting January 1, 2022 which will cover all costs

associated with the increase to salaries: and

WHEREAS, KCAC will offer competitive salaries by increasing starting salaries as follows:

Part-time and Full-time Kennel workers: Sixteen (16) dollars per hour; Lead Kennel Assistant:

Seventeen (17) dollars per hour; Administrative Assistant: Eighteen (18) dollars per hour; Warden:

Nineteen dollars and fifty cents (19.50) per hour; Shelter Program and Operations Manager: Twenty

three (23) dollars per hour; Administrative Officer II: Forty four thousand (44,000) dollars per year;

Part-time Deputy Administrator: Thirty five thousand five hundred (35,500) dollars per year;

Administrator: Eighty thousand dollars per year; and

WHEREAS, Employees currently receiving salaries under the new starting wage will be

compensated to correspond to the increase in starting salaries from what they were hired to retain

employees at KCAC.

NOW, THEREFORE, BE IT RESOLVED that the Kane County Board hereby authorizes the increases in starting salaries to all positions and increase all current staff salaries to match new starting salaries at the KCAC as follows: Part-time and Full-time Kennel workers: Sixteen (16) dollars per hour; Lead Kennel Assistant: Seventeen (17) dollars per hour; Administrative Assistant: Eighteen (18) dollars per hour; Warden: Nineteen dollars and fifty cents (19.50) per hour; Shelter Program and Operations Manager: Twenty three (23) dollars per hour; Administrative Officer II: Forty four thousand (44,000) dollars per year; Part-time Deputy Administrator: Thirty five thousand five hundred (35,500) dollars per year; Administrator: Eighty thousand (80,000) dollars per year

NOW, THEREFORE, BE IT RESOLVED that the Kane County Board hereby authorizes the budget adjustments listed below.

Packet Pg. 54

290.500.000.40000 Registration and Tags +57,632 290.500.500.40000 Salaries and Wages +91,247 290.500.500.45100 FICA/SS Contribution +6,980 290.500.500.45200 IMRF Contribution +6,141 290.500.500.50150 Contractual/Consulting Services -4,000 290.500.500.50180 Veterinarian Services -1,000 290.500.500.50340 Software Licensing Cost -22,472 290.500.500.52110 Repairs and Maintenance-Building -4,000 290.500.500.52120 Repairs and Maintenance-Grounds -3,000 290.500.500.53000 Liability Insurance +2,117 290.500.500.53010 Workers Compensation +2,555 290.500.500.53020 Unemployment Claims +64 290.500.500.53110 Employee Training -1,000 290.500.500.53170 Employee Medical Expenses -2,000 290.500.500.60000 Office Supplies -1,000 290.500.500.60010 Operating Supplies -4,000 290.500.500.60040 Postage -4,000 290.500.500.60160 Cleaning Supplies -1,000 290.500.500.60250 Medical Supplies and Drugs -1,000 290.500.500.63010 Utilities-Electric -1,000 290.500.500.63040 Fuel-Vehicles -1,000 290.500.500.64000 Telephone -1,000



budget revision?



line item?




290.500.500.40000 Salaries and Wages No No Line Adjustments/Tag fee Increase



Vote:

FY22 Salary Budget Adjustment

Packet Pg. 55


Resolution: No.

Amending the 2022 Fiscal Year Budget - Rollover of Funds for Completion of External Audits Pursuant to County Auditing Law 55 ILCS 5/6-31005

Committee Flow: Finance and Budget Committee, Executive Committee,

County Board Contact: Joseph Onzick, 630.208.5113

Budget Information:


If not budgeted, explain funding source: Rollover of Unspent Funds from Prior Year

Summary:

On February 9, 2021, Resolution 21-31 authorized $30,000 in funds to support the additional audit procedures required by the County Auditing Law to be conducted when a county official leaves office for any reason. The additional audits required include those for the Kane County Board Chairman, the Auditor, the Circuit Clerk, the State’s Attorney, the Treasurer, the Executive Director of the Kane County Health Department and the Executive Director of Building Management. Additional audits for the Interim Treasurer, and the Executive Director of Human Services were later determined to be needed. As of 11/30/2021 only $11,883 of the originally authorized $30,000 had been expended, leaving $24,117 remaining. In order to fund the completion of the audit procedures for the Interim Treasurer and the Executive Director of Human Services, a budget adjustment is required to roll over $3,000 of the remaining $24,117 from Fiscal Year 2021 to Fiscal Year 2022.

Packet Pg. 56

STATE OF ILLINOIS

COUNTY OF KANE

RESOLUTION: NO.

AMENDING THE 2022 FISCAL YEAR BUDGET - ROLLOVER OF FUNDS FOR COMPLETION OF EXTERNAL AUDITS PURSUANT TO COUNTY AUDITING LAW 55 ILCS

5/6-31005

WHEREAS, on February 9, 2021 the County Board approved Resolution 21-31 authorizing an amendment to the Contract for Professional Services Agreement for Auditing Services dated September 29, 2020 with Baker Tilly, to provide for additional auditing services associated with the requirements of 55 ILCS 5/6-31005 for a total cost not to exceed $30,000, and

WHEREAS, the agreed upon procedures for the transition audits as of the appointment of

the new Treasurer on April 5, 2021 and the termination of the Executive Director of Human Resources on May 14, 2021 are not yet complete; and

WHEREAS, only $11,883 of the originally authorized amount of $30,000 was expended in

FY2021, leaving a balance of $24,117; and WHEREAS, no more than $3,000 is expected to be expended in FY2022 to complete the

transition audits. NOW, THEREFORE, BE IT RESOLVED by the Kane County Board that the following

budget adjustment be made to reflect the rollover of Three Thousand Dollars ($3,000) from FY2021 to FY2022.

FY2021 Budget Adjustment 001.800.808.99112 Transfer to Special Reserve (112) +3,000 001.000.000.39900 Cash on Hand (unspent budget) +3,000 112.800.000.39001 Special Reserve: Transfer from Gen Fund (001) +3,000 112.800.806.89000 Special Reserve: Net Income (add to fund balance) +3,000

FY2022 Budget Adjustment 001.040.040.50130 Certified Audit Contract +3,000 001.000.000.39112 Transfer from Special Reserve (112) +3,000 112.800.000.39900 Special Reserve: Cash on Hand +3,000 112.800.806.99001 Special Reserve: Transfer to Gen Fund (001) +3,000

Packet Pg. 57



budget revision?



line item?




001.040.040.50130 Project Admin Srvcs Yes - 2021, but will be expended in 22 No 112.800.000.39900



Vote:

Rollover Transition AUP

Packet Pg. 58


Resolution: No.

Approving Contract Amendment with Tyler Technologies New World for Unlimited Business Licenses

Committee Flow: Administration Committee, Finance and Budget Committee, Executive Committee, County Board Contact: Roger Fahnestock, 630.232.3571

Budget Information:


If not budgeted, explain funding source: Various funds

Summary:

Multiple County Departments have needs to utilize the Business Analytics modules within existing systems provided by Tyler Technologies. The current number of licenses limits the ability of departments to efficiently service the County functions. The resolution outlines the costs for licensing and maintenance.

Packet Pg. 59

STATE OF ILLINOIS

COUNTY OF KANE

RESOLUTION: NO.

APPROVING CONTRACT AMENDMENT WITH TYLER TECHNOLOGIES NEW WORLD FOR UNLIMITED BUSINESS LICENSES

WHEREAS, the Kane County Information Technologies Department has a contract with Tyler Technologies ERP New World for its finance software system; and

WHEREAS, the number of limited Business Analytics licenses has negatively impacted the ability of Finance and Human Resources among other departments to efficiently provide necessary services to all County departments; and

WHEREAS, it is desirable to add unlimited site access to the Tyler Technologies Business Analytics module; and

WHEREAS, the contract calls for the use of funds for this and additional budget years and Kane County acknowledges the necessity of the appropriation of such funds; and

WHEREAS, the following costs are associated with this contract amendment:

Tyler Business Analytics $26,000 One-Time Fee $4,680 Annual Maint.

NOW, THEREFORE, BE IT RESOLVED that the Kane County Board Chairman is authorized to sign contract amendments as needed for the additional license and maintenance, and the Information Technologies Department is hereby authorized to expend funds starting in fiscal year 2022 not to exceed Thirty Thousand, Six Hundred Eighty Dollars ($30,680) with Tyler Technologies ERP New World.


approved in original budget

or a subsequent budget

revision?



line item?




500.800.801.70020

001.800.801.50340

Computer Software – Capital

Software License

No

Yes

No

Yes

Cash on Hand

THEREFORE, BE IT FURTHER RESOLVED that by the Kane County Board that the below

FY22 budget be amended as follows:

500.800.000.39900 Cash on Hand +$26,000 500.800.810.70020 Computer Software Capital +26,000



Vote:

22-01 Tyler BA Licenses

Packet Pg. 60

2021-295000-X3C5Z8 Page 1

Quoted By: Dudley WellingtonQuote Expiration: 6/5/22Quote Name:

Sales Quotation For:Kane County719 S Batavia AveKane County Government CenterGeneva IL 60134-3077

Tyler Software

Description License FeesAnnual

MaintenanceNew World ERP Financials User License to Unlimited Site License $ 26,000 $ 4,680

TOTAL $ 26,000 $ 4,680

Summary One Time Fees Recurring Fees Total Tyler Software $ 26,000 $ 4,680 Total SaaS $ 0 $ 0 Total Tyler Services $ 0 $ 0 Total Third-Party Hardware, Software, Services $ 0 $ 0 Summary Total $ 26,000 $ 4,680

Packet Pg. 61

2021-295000-X3C5Z8 Page 2

Contract Total $ 30,680

CommentThe Client currently has a Site License for up to ^# Authorized Users. This Amendment entitles the Client to change the current authorized users Site License to an unlimited Site License for their currently licensed software. The Site License is available to only the affiliated Public Administration agencies within the Client listed on this Price Quotation.

Client agrees that items in this sales quotation are, upon Client's signature or approval of same, hereby added to the existing agreement ("Agreement") between the parties and subject to its terms. Additionally, payment for said items, as applicable but subject to any listed assumptions herein, shall conform to the following terms, subject to payment terms in an agreement, amendment, or similar document in which this sales quotation is included:• License fees for Tyler and third-party software are invoiced upon the earlier of (i) delivery of the license key or (ii) when Tyler makes such software available accessible.• Fees for hardware are invoiced upon delivery.• Fees for year one of hardware maintenance are invoiced upon delivery of the hardware.• Annual Maintenance and Support fees, SaaS fees, Hosting fees, and Subscription fees are first payable when Tyler makes the software accessible to the Client (for Maintenance) or on the first day of the month following the date this quotation was signed (for SaaS, Hosting, and Subscription), and any such fees are prorated to align with the applicable term under the agreement, with renewals invoiced annually thereafter in accord with the Agreement.• Fees for services included in this sales quotation shall be invoiced as indicated below. o Implementation and other professional services fees shall be invoiced as delivered. o Fixed-fee Business Process Consulting services shall be invoiced 50% upon delivery of the Best Practice Recommendations, by module, and 50% upon delivery of custom desktop procedures, by module. o Fixed-fee conversions are invoiced 50% upon initial delivery of the converted data, by conversion option, and 50% upon Client acceptance to load the converted data into Live/Production environment, by conversion option. Where conversions are quoted as estimated, Tyler will invoice Client the actual services delivered on a time and material basis. " o Except as otherwise provided, other fixed price services are invoiced upon complete delivery of the service. For the avoidance of doubt, where Project Planning Services are provided, payment shall be invoiced upon delivery of the Implementation Planning document. Dedicated Project Management services, if any, will be

Packet Pg. 62

2021-295000-X3C5Z8 Page 3

invoiced monthly in arrears, beginning on the first day of the month immediately following initiation of project planning. o If Client has purchased any change management services, those services will be invoiced in accordance with the Agreement.

o Notwithstanding anything to the contrary stated above, the following payment terms shall apply to fees specifically for migrations: Tyler will invoice Client 50% of any Migration Services Fees listed above upon Client approval of the product suite migration schedule. The remaining 50%, by line item, will be billed upon the go-live of the applicable product suite. Tyler will invoice Client for any Project Management Fees listed above upon the go-live of the first product suite. Annual SaaS Fees will be invoiced upon availability of the hosted environment.• Expenses associated with onsite services are invoiced as incurred. Any SaaS or hosted solutions added to an agreement containing Client-hosted Tyler solutions are subject to Tyler’s SaaS Services terms found here: https://www.tylertech.com/terms/tyler-saas-services.

Unless otherwise indicated in the contract or amendment thereto, pricing for optional items will be heldFor six (6) months from the Quote date or the Effective Date of the Contract, whichever is later.

Customer Approval: Date:

Print Name: P.O.#:

Packet Pg. 63


Resolution: No.

Approving Contract Amendments with Tyler Technologies New World for Brazos Crash Software


Budget Information:


If not budgeted, explain funding source: Computer Software 125.800.810.50340

Summary:

The Sheriff's office desires to add an additional software module for Crash Software. This module will be added to the County's Tyler system. Tyler Technologies is a sole source provider as no other vendor can provide said software without providing an interface into the existing software system. The resolution outlines the costs for licensing and maintenance.

Packet Pg. 64

STATE OF ILLINOIS

COUNTY OF KANE

RESOLUTION: NO.

APPROVING CONTRACT AMENDMENTS WITH TYLER TECHNOLOGIES NEW WORLD FOR BRAZOS CRASH SOFTWARE

WHEREAS, the Kane County Information Technologies Department has a contract with

Tyler Technologies for its judicial management and public safety software; and

WHEREAS, the Sheriff's Office is desirous to add an additional Crash software module to

the existing system; and

WHEREAS, the said module is an add-on to the existing system that can only be provided

by our current software vendor unless the County were to seek another software vendor and build

an interface with the existing system. This would require additional costs for purchase of the new

system, the interfaces between the system and Tyler, and additional maintenance costs of the new

system. As a result, Tyler Technologies is considered a sole source provider; and

WHEREAS, the contract calls for the use of funds for this and additional budget years and

Kane County acknowledges the necessity of the appropriation of such funds; and


Crash Software $21,221 One-Time Fee $15,070 Annual Fee

NOW, THEREFORE, BE IT RESOLVED that the Kane County Board Chairman is

authorized to sign contract amendments as needed for the additional software module, and the

Information Technologies Department is hereby authorized to expend funds starting in fiscal year

2022 not to exceed Thirty-Six Thousand, Two Hundred Ninety-One Dollars ($36,291) with Tyler

Technologies.



budget revision?



line item?




125.800.810.50340

128.800.810.70020

Computer Software

Computer Software

Capital

No No Cash on Hand

THEREFORE, BE IT FURTHER RESOLVED that by the Kane County Board that the below

FY22 budget be amended as follows:

Packet Pg. 65

125.800.000.39900 Cash on Hand +$36,291 125.800.810.70020 Computer Software Capital +21,221 125.800.810.50340 Software Licensing Cost +15,070



Vote:

22-01 Tyler Crash Software

Packet Pg. 66

AMENDMENT

This amendment (“Amendment”) is effective as of the date of signature of the last party to sign as indicated below (“Amendment Effective Date”), by and between Tyler Technologies, Inc., a Delaware corporation with offices at 840 West Long Lake Road, Troy, MI 48098 (“Tyler”) and Kane County, with offices at 719 S. Batavia Ave., Geneva, IL 60134-3077 (“Client”). WHEREAS, Tyler and the Client are parties to a License Agreement with an effective date of September 15, 2006 (the “Agreement”); WHEREAS, Tyler and Client now desire to amend the Agreement; NOW THEREFORE, in consideration of the mutual promises hereinafter contained, Tyler and the Client agree as follows:

1. The software and/or services set forth in Exhibits 1 and 2 to this Amendment are hereby added to the Agreement.

2. The following payment terms, as applicable, shall apply:

a. Additional software fees will be invoiced 100% on the Amendment Effective Date. b. Associated maintenance and support fees are waived through November 30, 2022. Beginning December

1, 2022, maintenance and support fees, at the rates listed in the attached Investment Summary, are due. Subsequent maintenance and support fees, at our then-current rates, are invoiced annually in advance of each anniversary thereof.

c. Hosting Fees: Hosting Fees for the Tyler Software identified on the Investment Summary are waived through November 30, 2022. Beginning December 1, 2022, Hosting Fees, at the rates listed in the attached Investment Summary, are due. Subsequent Hosting Fees, at our then-current rates, are invoiced annually in advance of each anniversary thereof.

d. Subscription Fees shall be invoiced on December 1, 2022. Subsequent Subscription Fees are due annually in advance on each anniversary date thereof, at our then-current rates.

e. Additional Implementation and other professional services (including training) are billed and invoiced as delivered, at the rates set forth in the Amendment Investment Summary.

f. Project Management services, if any, will be billed monthly in arrears, beginning on the tenth day of the month immediately following the Amendment Effective Date.

3. This Amendment shall be governed by and construed in accordance with the terms and conditions of the

Agreement.

4. All other terms and conditions of the Agreement shall remain in full force and effect.

[SIGNATURES ON NEXT PAGE]

Packet Pg. 67

IN WITNESS WHEREOF, a duly authorized representative of each party has executed this Amendment as of the date of signature of the last party to sign as indicated below.

Tyler Technologies, Inc. Kane County, IL By: By: Name: Bryan Proctor Name: Title: President, Public Safety Division Title: Date: Date:

Packet Pg. 68

Exhibit 1 Amendment Investment Summary

The following Amendment Investment Summary details the software, products, and services to be delivered by us to you under the Agreement. This Amendment Investment Summary is effective as of the Amendment Effective Date

REMAINDER OF PAGE INTENTIONALLY LEFT BLANK

Packet Pg. 69

INVESTMENT SUMMARY FOR:Kane County Sheriff, IL

PRESENTED BY:Mark Lepley

8/10/2021

Exhibit 1

Packet Pg. 70

INVESTMENT SUMMARY

Tyler Software $ 4,570

Services $ 9,000

Third-Party Products $ 0

Travel $ 1,500

Total One-Time Cost $ 15,070

Annual Recurring Fees/SaaS $ 20,155

Tyler Software Maintenance $ 1,066

Exhibit 1

Packet Pg. 71

2021-239983-C6H0Y0 Page 1

Quoted By: Mark LepleyQuote Expiration: 11/30/21

Quote Name:

Brazos eCrash, Driver Exchange and IDOT Interface (SaaS - 88

Users)

Sales Quotation For:Kane County Sheriff719 S Batavia AveGeneva IL 60134-3077Phone: +1 (630) 232-6840

Tyler Software

Description License Discount License TotalYear One

MaintenanceBrazosInterfaceInterface: New World Records Mgmt System $ 0 $ 0 $ 0 $ 0Interface: IDOT - State of Illinois $ 5,078 $ 508 $ 4,570 $ 1,066Device Level Interface: New World Mobile $ 0 $ 0 $ 0 $ 0

Total $ 5,078 $ 508 $ 4,570 $ 1,066

Sub-Total $ 5,078 $ 4,570 $ 1,066Less Discount $ 508 $ 0

TOTAL $ 4,570 $ 4,570 $ 1,066

Annual / SaaS

Description Fee Discount Annual

Exhibit 1

Packet Pg. 72

2021-239983-C6H0Y0 Page 2

BrazosHosting FeeBrazos Hosting Fee $ 355 $ 0 $ 355Subscription License FeesCrash Report Software (w/Drawing Tool) [88] $ 22,000 $ 2,200 $ 19,800

TOTAL $ 20,155

Services

Description Quantity Unit Price Discount Total MaintenanceBrazosBrazos Project Management 1 $ 3,000 $ 0 $ 3,000 $ 0MOD: Crash Report - set up and config 1 $ 4,500 $ 0 $ 4,500 $ 0Standard CrashTraining Package 1 $ 1,500 $ 0 $ 1,500 $ 0

TOTAL $ 9,000 $ 0

Summary One Time Fees Recurring FeesTotal Tyler Software $ 4,570 $ 1,066Total Annual $ 0 $ 20,155Total Tyler Services $ 9,000 $ 0Total Third-Party Hardware, Software, Services $ 0 $ 0Estimated Travel Expenses $ 1,500 $ 0Summary Total $ 15,070 $ 21,221

Exhibit 1

Packet Pg. 73

2021-239983-C6H0Y0 Page 3

Assumptions

Personal Computers must meet the minimum hardware requirements for New World products. Microsoft Windows 7 64-bit with Extended Security Updates and Windows 10 64-bit is required for all client machines. Windows Server 2012/2012 R2/2016/2019 and SQL Server 2012 SP4/2014 SP2/2016 SP2/2017/2019 are required for the Application and Database Server(s).New World product requires Microsoft Windows Server 2012/2012 R2/2016/2019 and SQL Server 2012 SP4/2014 SP2/2016 SP2/2017/2019, including required User or Device Client Access Licenses (CALs) for applicable Microsoft products. Servers must meet minimum hardware requirements provided by Tyler. The supported Microsoft operating system and SQL versions are specific to Tyler’s release versions.New World product requires Microsoft Excel or Windows Search 4.0 for document searching functionality; Microsoft Word is required on the application server for report formatting.Tyler recommends a 100 Mbps/1 Gbps Ethernet network for the local area network. Wide area network requirements vary based on system configuration, Tyler will provide further consultation for this environment.Does not include servers, workstations, or any required third-party hardware or software unless specified in this Investment Summary. Client is responsible for any third-party support.Licensed Software, and third-party software embedded therein, if any, will be delivered in a machine readable form to Client via an agreed upon network connection. Any taxes or fees imposed are the responsibility of the purchaser and will be remitted when imposed.Tyler's GIS implementation services are to assist the Client in preparing the required GIS data for use with the Licensed New World Software. Depending upon the Licensed Software the Client at a minimum will be required to provide an accurate street centerline layer and the appropriate polygon layers needed for Unit Recommendations and Run Cards in an industry standard Esri file format (Personal Geodatabase, File Geodatabase, Shape Files). Client is responsible for having clearly defined boundaries for Police Beats, EMS Districts and Fire Quadrants. If necessary Tyler will assist Client in creating the necessary polygon layers (Police Beats, EMS Districts and Fire Quadrants) for Unit Recommendations and Run Cards. Tyler is not responsible for the accuracy of or any ongoing maintenance of the GIS data used within the Licensed New World Software.Client is responsible for any ongoing annual maintenance on third-party products, and is advised to contact the third-party vendor to ensure understanding of and compliance with all maintenance requirements.All Tyler Clients are required to use Esri's ArcGIS Suite to maintain GIS data. All maintenance, training and ongoing support of this product will be contracted with and conducted by Esri. Maintenance for Esri's ArcGIS suite of products that are used for maintaining Client's GIS data will be contracted by Client separately with Esri.When Custom interface is included, Custom interface will be operational with existing third-party software. Any subsequent changes to third-party applications may require additional services.

Exhibit 1

Packet Pg. 74

2021-239983-C6H0Y0 Page 4

When State/NCIC is included, Client is responsible for obtaining the necessary State approval and any non-Tyler hardware and software. Includes state-specific standard forms developed by Tyler. Additional forms can be provided for an additional fee.

Quote includes the following: Annual maintenance and hosting fees are waived in year 1 Brazos eCrash Configuration (Laptop/Desktop) Brazos eCrash Licenses (88 users) Crash Diagram Tool (Brazos website) IDOT Crash Report (IL 1050) Driver Exchange Crash Report Interface (IDOT) Device Level Interface (New World Mobile) Records Interface (New World LERMS) All related services (Set Up/Configuration, Project Management and Training)

Exhibit 1

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Computer Aided DispatchCAD MappingCall EntryCall Control PanelUnit RecommendationsUnit Status/Control PanelCall StackingCAD MessagingCall Scheduling

Dispatch QuestionnaireFire Equipment SearchGIS/Geo-File VerificationHazard and Location AlertsHazmat SearchHydrant InventoryNote PadsProximity Dispatch

Rip-N-Run PrintingRun Cards/Response PlansRapid SOS

Additional ModulesBOLOSCAD Auto RoutingCAD AVL

Service Vehicle RotationUnit ManagementWeb CAD Monitor

Available InterfacesAlarm CAD to CAD CAD Paging

E-911 NG911 CAD NCIC PictometryASAP Pre-Arrival QuestionnaireEncoder CAD CFS Export

ePCR Fire Records Out-of-Band AVL Telestaff PulsePoint Twitter PEMA Knowledge Center

Law Enforcement Records Management ArrestsBuildingsBusinessesCase ManagementCase ProcessingCitationsDynamic ReportingField InterviewsIBR/Clery Reporting

Impounded VehiclesIncidentsInvestigationsOrder of ProtectionPersonnelProperty and EvidenceRecords RequestRegistered OffendersStandard Reporting

TrainingWants and Warrant

Additional ModulesAlarmsAnimal LicensingBicycle RegistrationBookingsBriefing Notes

CrashStop DataEquipment and InventoryGangsHazardous MaterialsMulti-Server SearchNarcoticsPawn ShopsPermits

SchedulingTyler Content ManagerUse of ForceVehicle Tracking

Available InterfacesLivescanTicket WriterNCIC

Citizen ReportingCOPLINKAccurint Crime AnalysisLINXEvidenceSECTORMiDExLACRIS

Fire Records ManagementActivity Reporting/

SchedulingInvestigationsBusiness Registry

Hazardous MaterialsHydrant InventoryIncident TrackingPersonnel/Education

Pre-PlansStation Activity LogBLS/ALS

Additional ModulesNFIRS ReportingData Analysis/MappingEquipment Tracking

Fire PermitsInventoryLOSAP TrackingVehicle Tracking

Corrections Management BookingsD/L Swipe for VisitorsIncident TrackingInmate Property TrackingInmate ClassificationInmate HousingMass Move

Inmate Scheduling/Tracking

Inmate ContactInmate ProgramsInmate Activity LogTrusteeCase Management

Corrections Officer LogFinancial ManagementJacket ProcessingBusiness RegistryPersonnel/EducationState Reporting

Additional ModulesInmate Tracking Bar

CodingProperty Room Commissary AccountingData Analysis/Mapping

Officer Activity ReportingOfficer Equipment TrackingGrievance TrackingMugshotsWeb Inmate Inquiry

Available InterfacesLivescanBooking ExportNorthpointeVINECorEMR

Mobile ComputingDispatch/Messaging/

State/NCICFire Dispatch/Messaging

DL Swipe Mugshot DownloadIn-Car Mapping/AVL

In-Car Routing Stop DataUse of Force

LE Field Reporting LE Accident Field ReportingField Investigations

Ticket Writer

Mobility SoftwareShieldForce LE Dispatch CrewForce Fire Dispatch SceneCollect

AnalyticsData Marts Dashboard Law Enforcement Analytics

Exhibit 1

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Exhibit 2 Statement of Work

REMAINDER OF PAGE INTENTIONALLY LEFT BLANK

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Kane County

SOW from Tyler Technologies, Inc.

8/20/2021

Presented to: Steve Bruening 719 S Batavia Ave Geneva, IL 60134-3077

Contact: Mark Lepley Email: [email protected] 526 University Dr. East, Suite 201A, College Station, TX 77840

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Kane County Tyler Technologies, Inc. Page | i

Table of Contents

PART 1: EXECUTIVE SUMMARY ............................................................................................................... 1

Project Overview ................................................................................................................................ 1

Introduction ........................................................................................................................................ 1

Project Goals ....................................................................................................................................... 1

Methodology ....................................................................................................................................... 1

PART 2: PROJECT FOUNDATION ............................................................................................................. 3

Project Governance ............................................................................................................................ 3

Project Scope Control ......................................................................................................................... 4

Managing Scope and Project Change ................................................................................................. 4

Change Control ................................................................................................................................... 4

Change Request Management ............................................................................................................ 4

Acceptance Process ............................................................................................................................ 6

Roles and Responsibilities .................................................................................................................. 6

Tyler Roles & Responsibilities ............................................................................................................. 6

Tyler Executive Sponsor .............................................................................................................. 7

Tyler Implementation Manager .................................................................................................. 7

Tyler Project Manager ................................................................................................................. 7

Tyler Implementation Consultant ............................................................................................... 8

Tyler Sales ................................................................................................................................... 8

Tyler Technical Services .............................................................................................................. 8

Kane County Sheriff Roles & Responsibilities ..................................................................................... 9

Kane County Sheriff Executive Sponsor ...................................................................................... 9

Kane County Sheriff Steering Committee ................................................................................... 9

Kane County Sheriff Project Manager ....................................................................................... 10

Kane County Sheriff Functional Leads ...................................................................................... 11

Kane County Sheriff Power Users ............................................................................................. 11

Kane County Sheriff End Users ................................................................................................. 12

Kane County Sheriff Technical Lead .......................................................................................... 12

Kane County Sheriff Change Management Lead ...................................................................... 12

PART 3: PROJECT PLAN ........................................................................................................................... 14

Project Stages ................................................................................................................................... 14

Initiate and Plan ................................................................................................................................ 15

Initial Coordination ................................................................................................................... 15

Project/Phase Planning ............................................................................................................. 16

Infrastructure Planning ............................................................................................................. 17

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Kane County Tyler Technologies, Inc. Page | ii

Stakeholder Meeting ................................................................................................................. 18

Intentionally left blank. ............................................................................................................. 19

Control Point 1: Initiate & Plan Stage Acceptance .................................................................... 19

Assess & Define ................................................................................................................................. 19

Solution Orientation.................................................................................................................. 19

Current & Future State Analysis ................................................................................................ 20




Control Point 2: Assess & Define Stage Acceptance ................................................................. 22

Prepare Solution ............................................................................................................................... 22

Initial System Deployment ........................................................................................................ 22

Configuration ............................................................................................................................ 23

Process Refinement .................................................................................................................. 24




Control Point 3: Prepare Solution Stage Acceptance ................................................................ 26

Production Readiness ....................................................................................................................... 26

Solution Validation .................................................................................................................... 26

Go-Live Readiness ..................................................................................................................... 27

End User Training ...................................................................................................................... 28

Control Point 4: Production Readiness Stage Acceptance ........................................................ 29

Production ......................................................................................................................................... 30

Go-Live ...................................................................................................................................... 30

Transition to Client Services ...................................................................................................... 31

Post Go-Live Activities ............................................................................................................... 32

Control Point 5: Production Stage Acceptance ......................................................................... 33

Close .................................................................................................................................................. 33

Phase Closeout .......................................................................................................................... 34

Project Closeout ........................................................................................................................ 35

Control Point 6: Close Stage Acceptance .................................................................................. 36

General Assumptions ....................................................................................................................... 36

Project ............................................................................................................................................... 36

Organizational Change Management ............................................................................................... 36

Resources and Scheduling................................................................................................................. 37

Intentionally left blank. ..................................................................................................................... 37

Facilities ............................................................................................................................................. 37

Glossary ........................................................................................................................................... 38

PART 4: APPENDICES ............................................................................................................................... 41

No Conversion - Intentionally left blank. ........................................................................................... 41

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Kane County Tyler Technologies, Inc. Page | iii

Additional Appendices .................................................................................................................. 42

Brazos Appendix ................................................................................................................................ 42

Items included in Project .......................................................................................................... 42

Brazos Key Project Assumptions ............................................................................................... 42

Out of Scope .............................................................................................................................. 43

Project Timeline ........................................................................................................................... 43

Intentionally left blank. ..................................................................................................................... 43

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Kane County Tyler Technologies, Inc. Page | 1

Part 1: Executive Summary

Project Overview

Introduction

Tyler Technologies (“Tyler”) is the largest and most established provider of integrated software and technology services focused solely on the public sector. Tyler’s end-to-end solutions empower public sector entities including local, state, provincial and federal government, to operate more efficiently and connect more transparently with their constituents and with each other. By connecting data and processes across disparate systems, Tyler’s solutions transform how clients gain actionable insights that solve problems in their communities.

Project Goals

This Statement of Work (“SOW”) documents the methodology, implementation stages, activities, and roles and responsibilities, and project scope listed in the Investment Summary of the Agreement between Tyler and Client (collectively the “Project”).

The overall goals of the project are to:

▪ Successfully implement the contracted scope on time and on budget ▪ Increase operational efficiencies and empower users to be more productive ▪ Improve accessibility and responsiveness to external and internal customer needs ▪ Overcome current challenges and meet future goals ▪ Providing a single, comprehensive, and integrated solution to manage business functions ▪ Streamline business processes through automation, integration, and workflows ▪ Provide a user-friendly user interface to promote system use and productivity ▪ Eliminate redundant data entry

Methodology

This is accomplished by Kane County Sheriff and Tyler working as a partnership and Tyler utilizing its depth of implementation experience. While each Project is unique, all will follow Tyler’s six-stage methodology. Each of the six stages is comprised of multiple work packages, and each work package includes a narrative description, objectives, tasks, inputs, outputs/deliverables, assumptions, and a responsibility matrix.

Tailored specifically for Tyler’s public sector clients, the project methodology contains Stage Acceptance Control Points throughout each Phase to ensure adherence to scope, budget, timeline controls, effective communications, and quality standards. Clearly defined, the project methodology repeats consistently across Phases, and is scaled to meet the Client’s complexity and organizational needs.

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The methodology adapts to both single-phase and multiple-phase projects.

To achieve Project success, it is imperative that both Kane County Sheriff and Tyler commit to including the necessary leadership and governance. During each stage of the Project, it is expected that Kane County Sheriff and Tyler Project teams work collaboratively to complete tasks. An underlying principle of Tyler’s Implementation process is to employ an iterative model where Kane County Sheriff’s business processes are assessed, configured, validated, and refined cyclically in line with the project budget. This approach is used in multiple stages and work packages as illustrated in the graphic below.

The delivery approach is systematic, which reduces variability and mitigates risks to ensure Project success. As illustrated, some stages, along with work packages and tasks, are intended to be overlapping by nature to efficiently and effectively complete the Project.

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Part 2: Project Foundation

Project Governance

Project governance is the management framework within which Project decisions are made. The role of Project governance is to provide a decision-making approach that is logical, robust, and repeatable. This allows organizations to have a structured approach for conducting its daily business in addition to project related activities.

This section outlines the resources required to adequately meet the business needs, objectives, and priorities for the Project, communicate the goals to other Project participants, and provide support and guidance to accomplish these goals. Project governance defines the structure for escalation of issues and risks, Change Control review and authority, and Organizational Change Management activities. Throughout the Statement of Work Tyler has provided RACI Matrices for activities to be completed throughout the implementation which will further outline responsibilities of different roles in each stage. Further refinement of the governance structure, related processes, and specific roles and responsibilities occurs during the Initiate & Plan Stage.

The chart below illustrates an overall team perspective where Tyler and Kane County Sheriff collaborate to resolve Project challenges according to defined escalation paths. In the event that project managers do not possess authority to determine a solution, resolve an issue, or mitigate a risk, Tyler implementation management and Kane County Sheriff Steering Committee become the escalation points to triage responses prior to escalation to Kane County Sheriff and Tyler executive sponsors. As part of the escalation process, each Project governance tier presents recommendations and supporting information to facilitate knowledge transfer and issue resolution. Kane County Sheriff and Tyler executive sponsors serve as the final escalation point.

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Project Scope Control

Managing Scope and Project Change

Project Management governance principles contend that there are three connected constraints on a Project: budget, timeline, and scope. These constraints, known as the ‘triple constraints’ or Project management triangle, define budget in terms of financial cost, labor costs, and other resource costs. Scope is defined as the work performed to deliver a product, service or result with the specified features and functions, while time is simply defined as the schedule. The Triple Constraint theory states that if you change one side of the triangle, the other two sides must be correspondingly adjusted. For example, if the scope of the Project is increased, cost and time to complete will also need to increase. The Project and executive teams will need to remain cognizant of these constraints when making impactful decisions to the Project. A simple illustration of this triangle is included here, showing the connection of each item and their relational impact to the overall Scope.

A pillar of any successful project is the ability to properly manage scope while allowing the appropriate level of flexibility to incorporate approved changes. Scope and changes within the project will be managed using the change control process outlined in the following section.

Change Control

It may become necessary to change the scope of this Project due to unforeseeable circumstances (e.g., new constraints or opportunities are discovered). This Project is being undertaken with the understanding that Project scope, schedule, and/or cost may need to change in order to produce optimal results for stakeholders. Changes to contractual requirements will follow the change control process specified in the final contract, and as described below.

Change Request Management

Should the need for a change to Project scope, schedule, and/or cost be identified during the Project, the change will be brought to the attention of the Steering Committee and an assessment of the change will occur. While such changes may result in additional costs and possible delays relative to the schedule, some changes may result in less cost to Kane County Sheriff; for example, Kane County Sheriff may decide it no

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longer needs a deliverable originally defined in the Project. The Change Request will include the following information:

▪ The nature of the change. ▪ A good faith estimate of the additional cost or associated savings to Kane County Sheriff, if any. ▪ The timetable for implementing the change. ▪ The effect on and/or risk to the schedule, resource needs or resource responsibilities.

Kane County Sheriff will use its good faith efforts to either approve or disapprove any Change Request within ten (10) Business Days (or other period as mutually agreeable between Tyler and Kane County Sheriff). Any changes to the Project scope, budget, or timeline must be documented and approved in writing using a Change Request form. These changes constitute a formal amendment to the Statement of Work and will supersede any conflicting term in the Statement of Work.

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Acceptance Process

The implementation of a Project involves many decisions to be made throughout its lifecycle. Decisions will vary from higher level strategy decisions to smaller, detailed Project level decisions. It is critical to the success of the Project that each Kane County Sheriff office or department designates specific individuals for making decisions on behalf of their offices or departments.

Both Tyler and the Kane County Sheriff will identify representative project managers. These individuals will represent the interests of all stakeholders and serve as the primary contacts between the two organizations.

The coordination of gaining client feedback and approval on Project deliverables will be critical to the success of the Project. The Kane County Sheriff project manager will strive to gain deliverable and decision approvals from all authorized Kane County Sheriff representatives. Given that the designated decision-maker for each department may not always be available, there must be a designated proxy for each decision point in the Project. Assignment of each proxy will be the responsibility of the leadership from each Kane County Sheriff department. The proxies will be named individuals that have the authorization to make decisions on behalf of their department.

The following process will be used for accepting Deliverables and Control Points:

▪ The Kane County Sheriff shall have five (5) business days from the date of delivery, or as otherwise mutually agreed upon by the parties in writing, to accept each Deliverable or Control Point. If the Kane County Sheriff does not provide acceptance or acknowledgement within five (5) business days, or the otherwise agreed upon timeframe, not to be unreasonably withheld, Tyler deems the Deliverable or Control Point as accepted.

▪ If the Kane County Sheriff does not agree the particular Deliverable or Control Point meets requirements, the Kane County Sheriff shall notify Tyler project manager(s), in writing, with reasoning within five (5) business days, or the otherwise agreed-upon timeframe, not to be unreasonably withheld, of receipt of the Deliverable.

▪ Tyler shall address any deficiencies and redeliver the Deliverable or Control Point. The Kane County Sheriff shall then have two (2) business days from receipt of the redelivered Deliverable or Control Point to accept or again submit written notification of reasons for rejecting the milestone. If the Kane County Sheriff does not provide acceptance within two (2) business days, or the otherwise agreed upon timeframe, not to be unreasonably withheld, Tyler deems the Deliverable or Control Point as accepted.

Roles and Responsibilities

The following defines the roles and responsibilities of each Project resource for Kane County Sheriff and Tyler. Roles and responsibilities may not follow the organizational chart or position descriptions at Kane County Sheriff, but are roles defined within the Project. It is common for individual resources on both the Tyler and client project teams to fill multiple roles. Similarly, it is common for some roles to be filled by multiple people.

Tyler Roles & Responsibilities

Tyler assigns a project manager prior to the start of each Phase of the Project (some Projects may only be one Phase in duration). Additional Tyler resources are assigned as the schedule develops and as needs arise.

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Tyler Executive Sponsor

Tyler executive management has indirect involvement with the Project and is part of the Tyler escalation process. This team member offers additional support to the Project team and collaborates with other Tyler department managers as needed in order to escalate and facilitate implementation Project tasks and decisions.

▪ Provides clear direction for Tyler staff on executing on the Project Deliverables to align with satisfying Kane County Sheriff ’s overall organizational strategy.

▪ Authorizes required Project resources. ▪ Resolves all decisions and/or issues not resolved at the implementation management level as part of

the escalation process. ▪ Acts as the counterpart to Kane County Sheriff ’s executive sponsor.

Tyler Implementation Manager

▪ Tyler implementation management has indirect involvement with the Project and is part of the Tyler escalation process. The Tyler project managers consult implementation management on issues and outstanding decisions critical to the Project. Implementation management works toward a solution with the Tyler Project Manager or with Kane County Sheriff management as appropriate. Tyler executive management is the escalation point for any issues not resolved at this level.

▪ Assigns Tyler Project personnel. ▪ Provides support for the Project team. ▪ Provides management support for the Project to ensure it is staffed appropriately and staff have

necessary resources. ▪ Monitors Project progress including progress towards agreed upon goals and objectives.

Tyler Project Manager

▪ The Tyler project manager(s) provides oversight of the Project, coordination of Tyler resources between departments, management of the Project budget and schedule, effective risk and issue management, and is the primary point of contact for all Project related items. As requested by the client, the Tyler Project Manager provides regular updates to the client Steering Committee and other Tyler governance members. Tyler Project Manager’s role includes responsibilities in the following areas:

Contract Management

▪ Validates contract compliance throughout the Project. ▪ Ensures Deliverables meet contract requirements. ▪ Acts as primary point of contact for all contract and invoicing questions. ▪ Prepares and presents contract milestone sign-offs for acceptance by Kane County Sheriff project

manager(s). ▪ Coordinates Change Requests, if needed, to ensure proper Scope and budgetary compliance.

Planning

▪ Delivers project planning documents. ▪ Defines Project tasks and resource requirements. ▪ Develops initial Project schedule and Project Management Plan.

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▪ Collaborates with Kane County Sheriff project manager(s) to plan and schedule Project timelines to achieve on-time implementation.

Implementation Management

▪ Tightly manages Scope and budget of Project to ensure Scope changes and budget planned versus actual are transparent and handled effectively and efficiently.

▪ Establishes and manages a schedule and Tyler resources that properly support the Project Schedule and are also in balance with Scope/budget.

▪ Establishes risk/issue tracking/reporting process between Kane County Sheriff and Tyler and takes all necessary steps to proactively mitigate these items or communicate with transparency to Kane County Sheriff any items that may impact the outcomes of the Project.

▪ Collaborates with Kane County Sheriff ’s project manager(s) to establish key business drivers and success indicators that will help to govern Project activities and key decisions to ensure a quality outcome of the project.

▪ Collaborates with Kane County Sheriff ’s project manager(s) to set a routine communication plan that will aide all Project team members, of both Kane County Sheriff and Tyler, in understanding the goals, objectives, current status, and health of the Project.

Resource Management

▪ Acts as liaison between Project team and Tyler manager(s). ▪ Identifies and coordinates all Tyler resources across all applications, Phases, and activities including

development, forms, installation, reports, implementation, and billing. ▪ Provides direction and support to Project team. ▪ Manages the appropriate assignment and timely completion of tasks as defined in the Project

Schedule, task list, and Go-Live Checklist. ▪ Assesses team performance and adjusts as necessary. ▪ Consulted on in Scope 3rd party providers to align activities with ongoing Project tasks.

Tyler Implementation Consultant

▪ Completes tasks as assigned by the Tyler project manager(s). ▪ Documents activities for services performed by Tyler. ▪ Guides Kane County Sheriff through software validation process following configuration. ▪ Assists during Go-Live process and provides support until Kane County Sheriff transitions to Client

Services. ▪ Facilitates training sessions and discussions with Kane County Sheriff and Tyler staff to ensure

adequate discussion of the appropriate agenda topics during the allotted time.

Tyler Sales

▪ Supports Sales to Implementation knowledge transfer during Initiate & Plan. ▪ Provides historical information, as needed, throughout implementation. ▪ Participates in pricing activities if additional licensing and/or services are needed.

Tyler Technical Services

▪ Maintains Tyler infrastructure requirements and design document(s). ▪ Involved in system infrastructure planning/review(s). ▪ Provides first installation of licensed software with initial database on servers.

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▪ Supports and assists the project team with technical/environmental issues/needs. ▪ Deploys Tyler products.

Kane County Sheriff Roles & Responsibilities

Kane County Sheriff resources will be assigned prior to the start of each Phase of the Project. One person may be assigned to multiple Project roles.

Kane County Sheriff Executive Sponsor

The Kane County Sheriff executive sponsor provides support to the Project by providing strategic direction and communicating key issues about the Project and its overall importance to the organization. When called upon, the executive sponsor also acts as the final authority on all escalated Project issues. The executive sponsor engages in the Project, as needed, in order to provide necessary support, oversight, guidance, and escalation, but does not participate in day-to-day Project activities. The executive sponsor empowers the Kane County Sheriff steering committee, project manager(s), and functional leads to make critical business decisions for Kane County Sheriff.

▪ Champions the project at the executive level to secure buy-in. ▪ Authorizes required project resources. ▪ Actively participates in organizational change communications.

Kane County Sheriff Steering Committee

The Kane County Sheriff steering committee understands and supports the cultural change necessary for the Project and fosters an appreciation for the Project’s value throughout the organization. The steering committee oversees the Kane County Sheriff project manager and Project as a whole through participation in regular internal meetings. The Kane County Sheriff steering committee remains updated on all Project progress, Project decisions, and achievement of Project milestones. The Kane County Sheriff steering committee also serves as primary level of issue resolution for the Project.

▪ Works to resolve all decisions and/or issues not resolved at the project manager level as part of the escalation process.

▪ Attends all scheduled steering committee meetings. ▪ Provides support for the project team. ▪ Assists with communicating key project messages throughout the organization. ▪ Prioritizes the project within the organization. ▪ Ensures the project staffed appropriately and that staff have necessary resources. ▪ Monitors project progress including progress towards agreed upon goals and objectives. ▪ Has the authority to approve or deny changes impacting the following areas:

o Cost o Scope o Schedule o Project Goals o Kane County Sheriff Policies o Needs of other client projects

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Kane County Sheriff Project Manager

Kane County Sheriff shall assign project manager(s) prior to the start of this project with overall responsibility and authority to make decisions related to Project Scope, scheduling, and task assignment. Kane County Sheriff Project Manager should communicate decisions and commitments to the Tyler project manager(s) in a timely and efficient manner. When Kane County Sheriff project manager(s) do not have the knowledge or authority to make decisions, he or she engages the necessary resources to participate in discussions and make decisions in a timely fashion to avoid Project delays. The client project manager(s) are responsible for reporting to client steering committee and determining appropriate escalation points.

Contract Management

▪ Validates contract compliance throughout the project. ▪ Ensures that invoicing and Deliverables meet contract requirements. ▪ Acts as primary point of contact for all contract and invoicing questions. Collaborates on and

approves Change Requests, if needed, to ensure proper scope and budgetary compliance.

Planning

▪ Reviews and accepts project planning documents. ▪ Defines project tasks and resource requirements for Kane County Sheriff project team. ▪ Collaborates in the development and approval of the project schedule. ▪ Collaborates with Tyler project manager(s) to plan and schedule project timelines to achieve on-time

implementation.

Implementation Management

▪ Tightly manages project budget and scope. ▪ Collaborates with Tyler project manager(s) to establish a process and approval matrix to ensure that

scope changes and budget (planned versus actual) are transparent and handled effectively and efficiently.

▪ Collaborates with Tyler project manager to establish and manage a schedule and resource plan that properly supports the project schedule as a whole and is also in balance with scope and budget.

▪ Collaborates with Tyler project manager(s) to establish risk and issue tracking and reporting process between Kane County Sheriff and Tyler and takes all necessary steps to proactively mitigate these items or communicate with transparency to Tyler any items that may impact the outcomes of the project.

▪ Collaborates with Tyler project manager(s) to establish key business drivers and success indicators that will help to govern project activities and key decisions to ensure a quality outcome of the project.

▪ Routinely communicates with both Kane County Sheriff staff and Tyler, aiding in the understanding of goals, objectives, current status, and health of the project by all team members.

▪ Manages the requirements gathering process and ensure timely and quality business requirements are being provided to Tyler.

Resource Management

▪ Acts as liaison between project team and stakeholders. ▪ Identifies and coordinates all Kane County Sheriff resources across all modules, phases, and activities

including data conversions, forms design, hardware and software installation, reports building, and satisfying invoices.

▪ Provides direction and support to project team.

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▪ Builds partnerships among the various stakeholders, negotiating authority to move the project forward.

▪ Manages the appropriate assignment and timely completion of tasks as defined. ▪ Assesses team performance and takes corrective action, if needed. ▪ Provides guidance to Kane County Sheriff technical teams to ensure appropriate response and

collaboration with Tyler Technical Support Teams in order to ensure timely response and appropriate resolution.

▪ Owns the relationship with in-Scope 3rd party providers and aligns activities with ongoing project tasks.

▪ Ensures that users have appropriate access to Tyler project toolsets as required. ▪ Conducts training on proper use of toolsets. ▪ Validates completion of required assignments using toolsets.

Kane County Sheriff Functional Leads

▪ Makes business process change decisions under time sensitive conditions. ▪ Communicates existing business processes and procedures to Tyler consultants. ▪ Assists in identifying business process changes that may require escalation. ▪ Contributes business process expertise for Current & Future State Analysis. ▪ Identifies and includes additional subject matter experts to participate in Current & Future State

Analysis. ▪ Validates that necessary skills have been retained by end users. ▪ Provides End Users with dedicated time to complete required homework tasks. ▪ Acts as an ambassador/champion of change for the new process and provide business process

change support. ▪ Identifies and communicates any additional training needs or scheduling conflicts to Kane County

Sheriff project manager. ▪ Actively participates in all aspects of the implementation, including, but not limited to, the following

key activities: o Task completion o Stakeholder Meeting o Project Management Plan development o Schedule development o Maintenance and monitoring of risk register o Escalation of issues o Communication with Tyler project team o Coordination of Kane County Sheriff resources o Attendance at scheduled sessions o Change management activities o Modification specification, demonstrations, testing and approval assistance o Data analysis assistance o Decentralized end user training o Process testing o Solution Validation

Kane County Sheriff Power Users

▪ Participate in project activities as required by the project team and project manager(s). ▪ Provide subject matter expertise on Kane County Sheriff business processes and requirements. ▪ Act as subject matter experts and attend Current & Future State Analysis sessions as needed.

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▪ Attend all scheduled training sessions. ▪ Participate in all required post-training processes as needed throughout project. ▪ Test all application configuration to ensure it satisfies business process requirements. ▪ Become application experts. ▪ Participate in Solution Validation. ▪ Adopt and support changed procedures. ▪ Complete all deliverables by the due dates defined in the project schedule. ▪ Demonstrate competency with Tyler products processing prior to Go-live. ▪ Provide knowledge transfer to Kane County Sheriff staff during and after implementation.

Kane County Sheriff End Users

▪ Attend all scheduled training sessions. ▪ Become proficient in application functions related to job duties. ▪ Adopt and utilize changed procedures. ▪ Complete all deliverables by the due dates defined in the project schedule. ▪ Utilize software to perform job functions at and beyond Go-live.

Kane County Sheriff Technical Lead

▪ Coordinates updates and releases with Tyler as needed. ▪ Coordinates the copying of source databases to training/testing databases as needed for training

days. ▪ Coordinates and adds new users, printers and other peripherals as needed. ▪ Validates that all users understand log-on process and have necessary permission for all training

sessions. ▪ Coordinates interface development for Kane County Sheriff third party interfaces. ▪ Develops or assists in creating reports as needed. ▪ Ensures on-site system meets specifications provided by Tyler. ▪ Assists with software installation as needed.

Kane County Sheriff Upgrade Coordination

▪ Becomes familiar with the software upgrade process and required steps. ▪ Becomes familiar with Tyler’s releases and updates. ▪ Utilizes Tyler resources to stay abreast of the latest Tyler releases and updates, as well as the latest

helpful tools to manage Kane County Sheriff’s software upgrade process. ▪ Assists with the software upgrade process during implementation. ▪ Manages software upgrade activities post-implementation. ▪ Manages software upgrade plan activities. ▪ Coordinates software upgrade plan activities with Kane County Sheriff and Tyler resources. ▪ Communicates changes affecting users and department stakeholders. ▪ Obtains department stakeholder acceptance to upgrade production environment.

Kane County Sheriff Change Management Lead

▪ Validates that users receive timely and thorough communication regarding process changes. ▪ Provides coaching to supervisors to prepare them to support users through the project changes. ▪ Identifies the impact areas resulting from project activities and develops a plan to address them

proactively.

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▪ Identifies areas of resistance and develops a plan to reinforce the change. ▪ Monitors post-production performance and new process adherence.

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Part 3: Project Plan

Project Stages

Work Breakdown Structure

The Work Breakdown Structure (WBS) is a hierarchical representation of a Project or Phase broken down into smaller, more manageable components. The top-level components are called “Stages” and the second level components are called “Work Packages”. The work packages, shown below each stage, contain the high-level work to be done. The detailed Project Schedule, developed during Project/Phase Planning and finalized during subsequent stages, lists the tasks to be completed within each work package. Each stage ends with a “Control Point”, confirming the work performed during that stage of the Project has been accepted by Kane County Sheriff.

*Items noted with an asterisk in the graphic above relate to specific products and services. If those products and services are not included in the scope of the contract, these specific work packages will be noted as “Intentionally Left Blank” in Section 6 of the Statement of Work.

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Initiate and Plan

The Initiate and Plan stage involves Project initiation, infrastructure, and planning. This stage creates a foundation for the Project by identifying and establishing sequence and timing for each Phase as well as verifying scope for the Project. This stage will be conducted at the onset of the Project, with a few unique items being repeated for the additional Phases as needed.

Initial Coordination

Prior to Project commencement, Tyler management assigns project manager(s). Additional Project resources will be assigned later in the Project as a Project schedule is developed. Tyler provides Kane County Sheriff with initial Project documents used to gather names of key personnel, their functional role as it pertains to the Project, as well as any blackout dates to consider for future planning. Kane County Sheriff gathers the information requested by the provided deadline ensuring preliminary planning and scheduling can be conducted moving the Project forward in a timely fashion. Internally, the Tyler Project Manager(s) coordinate with sales to ensure transfer of vital information from the sales process prior to scheduling a Project Planning Meeting with Kane County Sheriff’s team. During this step, Tyler will work with Kane County Sheriff to establish the date(s) for the Project and Phase Planning session.

Objectives:

▪ Formally launch the project. ▪ Establish project governance. ▪ Define and communicate governance for Tyler. ▪ Identify client project team.

STAGE 1 Initial Coordination

Tyler Client

RACI MATRIX KEY: R = Responsible A = Accountable C = Consulted I = Informed

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Client project team is assigned A I R I I I

Provide initial project documents to Kane County Sheriff

A R C C I I

Gather preliminary information requested

I A R C C C C

Sales to implementation knowledge transfer

A R I I I I I

Create Project Portal to store project artifacts and facilitate communication

A R I

Packet Pg. 96


Inputs Contract documents

Statement of Work

Outputs/Deliverables Completed initial project documents

Project portal

Work package assumptions:

▪ Project activities begin after the agreement has been fully executed.

Project/Phase Planning

Project and Phase planning provides an opportunity to review the contract, software, data conversions and services purchased, identify applications to implement in each Phase (if applicable), and discuss implementation timeframes.

During this work package Tyler will work with Kane County Sheriff to coordinate and plan a formal Project planning meeting(s). This meeting signifies the start of the Project and should be attended by all Kane County Sheriff Project team members and the Tyler Project Manager. The meeting provides an opportunity for Tyler to introduce its implementation methodology, terminology, and Project management best practices to Kane County Sheriff’s Project Team. This will also present an opportunity for project managers and Project sponsors to begin to discuss Project communication, metrics, status reporting and tools to be used to measure Project progress and manage change.

Tyler will work with the Kane County Sheriff Project Team to prepare and deliver the Project Management Plan as an output of the planning meeting. This plan will continue to evolve and grow as the Project progresses and will describe how the project will be executed, monitored, and controlled.

During project planning, Tyler will introduce the tools that will be used throughout the implementation. Tyler will familiarize the client with these tools during project planning and make them available for review and maintenance as applicable throughout the project. Some examples are Solution validation plan, issue log, and go-live checklist.

STAGE 1 Project/Phase Planning

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Packet Pg. 97


Schedule and conduct planning session(s)

A R I C C I

Develop Project Management Plan

A R I C C I

Develop initial project schedule

A R I I I I I I C C I I C I

Inputs Contract documents

Statement of Work

Guide to Starting Your Project

Outputs / Deliverables Acceptance Criteria [only] for Deliverables

Project Management Plan Delivery of document

Project Operational Plan Delivery of document

Initial Project Schedule Kane County Sheriff provides acceptance of schedule based on resource availability, project budget, and goals.


▪ Kane County Sheriff has reviewed and completed the Guide to Starting Your Project document.

Infrastructure Planning

Procuring required hardware and setting it up properly is a critical part of a successful implementation. This task is especially important for Tyler-hosted/SaaS deployment models. Tyler will be responsible for building the environments for a hosted/SaaS deployment, unless otherwise identified in the Agreement. Tyler will install Licensed Software on application server(s) or train Kane County Sheriff to install License Software. The Kane County Sheriff is responsible for the installation and setup of all peripheral devices.

Objectives:

▪ Ensure Kane County Sheriff’s infrastructure meets Tyler’s application requirements. ▪ Ensure Kane County Sheriff’s infrastructure is scheduled to be in place and available for use on time.

STAGE 1 Infrastructure Planning

Tyler Client


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Packet Pg. 98


Provide Infrastructure Requirements and Design Document

A R C C I I

Initial Infrastructure Meeting

A R C C C C

*Schedule SaaS Environment Availability

A R C I

*Schedule Hardware to be Available for Installation

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Schedule Installation of All Licensed Software

A R C I I

Infrastructure Audit A R C I C

Inputs 1. Initial Infrastructure Requirements and Design Document

Outputs / Deliverables

Acceptance Criteria [only] for Deliverables

1. Completed Infrastructure Requirements and Design Document

Delivery of Document

2. Infrastructure Audit System Passes Audit Criteria

Stakeholder Meeting

Communication of the Project planning outcomes to the Kane County Sheriff Project team, executives and other key stakeholders is vital to Project success. The Stakeholder meeting is a strategic activity to inform, engage, gain commitment, and instill confidence in the Kane County Sheriff team. During the meeting, the goals and objectives of the Project will be reviewed along with detail on Project scope, implementation methodology, roles and responsibilities, Project timeline and schedule, and keys to Project success.

Objectives:

▪ Formally present and communicate the project activities and timeline. ▪ Communicate project expectations.

STAGE 1 Stakeholder Meeting

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I A R I I I I C I

Packet Pg. 99


Review Stakeholder Meeting Presentation

I C A R C

Perform Stakeholder Meeting Presentation

I A R I I I I C I I I I I I

Inputs Agreement

SOW

Project Management Plan



Stakeholder Meeting Presentation


▪ None

Intentionally left blank.

Control Point 1: Initiate & Plan Stage Acceptance

Acceptance criteria for this stage includes completion of all criteria listed below.

Note: Advancement to the Assess & Define stage is not dependent upon Tyler’s receipt of this stage acceptance.

Initiate & Plan Stage Deliverables:

▪ Project Management Plan ▪ Initial Project Schedule

Initiate & Plan stage acceptance criteria:

▪ All stage deliverables accepted based on acceptance criteria previously defined ▪ Project governance defined ▪ Project portal made available to Kane County Sheriff ▪ Stakeholder meeting complete

Assess & Define

The Assess & Define stage will provide an opportunity to gather information related to current Kane County Sheriff business processes. This information will be used to identify and define business processes utilized with Tyler software. Kane County Sheriff collaborates with Tyler providing complete and accurate information to Tyler staff and assisting in analysis, understanding current workflows and business processes.

Solution Orientation

The Solution Orientation provides the Project stakeholders a high-level understanding of the solution functionality prior to beginning the current and future state analysis. The primary goal is to establish a foundation for upcoming conversations regarding the design and configuration of the solution.

Packet Pg. 100


Tyler utilizes a variety of tools for the Solution Orientation, focusing on Kane County Sheriff team knowledge transfer such as: eLearning, documentation, or walkthroughs. The Kane County Sheriff team will gain a better understanding of the major processes and focus on data flow, the connection between configuration options and outcome, integration, and terminology that may be unique to Tyler’s solution.

Objectives:

▪ Provide a basic understanding of system functionality. ▪ Prepare Kane County Sheriff for current and future state analysis.

STAGE 2 Solution Orientation

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Complete pre-requisites A R C C

Conduct orientation A R I I I I I

Inputs Solution orientation materials

Training Plan

Current & Future State Analysis

The Current & Future State Analysis provides the Project stakeholders and Tyler an understanding of process changes that will be achieved with the new system.

Kane County Sheriff and Tyler will evaluate current state processes, options within the new software, pros and cons of each based on current or desired state and make decisions about the future state configuration and processing. This may occur before or within the same timeframe as the configuration work package. The options within the new software will be limited to the scope of this implementation and will make use of standard Tyler functionality.

The Kane County Sheriff will adopt the existing Tyler solution wherever possible to avoid project schedule and quality risk from over customization of Tyler products. It is the client’s responsibility to verify that in-scope requirements are being met throughout the implementation if functional requirements are defined as part of the contract. The following guidelines will be followed when evaluating if a modification to the product is required:

▪ A reasonable business process change is available. ▪ Functionality exists which satisfies the requirement. ▪ Configuration of the application satisfies the requirement. ▪ An in-scope modification satisfies the requirement.

Packet Pg. 101


Requirements that are not met will follow the agreed upon change control process and can have impacts on the project schedule, scope, budget and resource availability.

STAGE 2 Current & Future State Analysis

Tyler Client


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Discuss future-state options

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Make future-state decisions (non-COTS)

C C C C C A R I C C

Document anticipated configuration options required to support future state

A R C C C I I I I I

Inputs Client current state documentation

Solution Orientation completion



Documentation that describes future-state decisions and configuration options to support future-state decisions.

Delivery of document


▪ Kane County Sheriff attendees possess sufficient knowledge and authority to make future state decisions.

▪ Kane County Sheriff is responsible for any documentation of current state business processes. ▪ Client is able to effectively communicate current state processes.

Packet Pg. 102





Control Point 2: Assess & Define Stage Acceptance

Acceptance criteria for this Stage includes completion of all criteria listed below.

Note: Advancement to the Prepare Solution Stage is dependent upon Tyler’s receipt of the Stage Acceptance.

Assess & Define Stage Deliverables:

▪ Documentation of future state decisions and configuration options to support future state decisions. ▪ Modification specification document. ▪ Assess & Define Stage Acceptance Criteria: ▪ All stage deliverables accepted based on criteria previously defined. ▪ Solution Orientation is delivered.

Prepare Solution

During the Prepare Solution stage, information gathered during the Initiate & Plan and Assess & Define stages will be used to install and configure the Tyler software solution. Software configuration will be validated by the client against future state decisions defined in previous stages and processes refined as needed to ensure business requirements are met.

Initial System Deployment

The timely availability of the Tyler Solution is important to a successful Project implementation. The success and timeliness of subsequent work packages are contingent upon the initial system deployment of Tyler Licensed Software on an approved network and infrastructure. Delays in executing this work package can affect the project schedule.

Objectives:

▪ All licensed software is installed and operational. ▪ Kane County Sheriff is able to access the software.

STAGE 3 Initial System Deployment (Hosted/SaaS)*

Tyler Client

Packet Pg. 103



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Prepare hosted environment

A R I C

Install Licensed Software with Initial Database on Server(s) for Included Environments

A R I C

Install Licensed Software on Client Devices (if applicable)

I C A R

Tyler System Administration Training (if applicable)

A R I C



Licensed Software is Installed on the Server(s) Software is accessible

Licensed Software is Installed on Clients (if applicable)

Software is accessible

Installation Checklist/System Document System Passes

Infrastructure Design Document (C&J – If Applicable)


▪ The most current generally available version of the Tyler Licensed Software will be installed. ▪ Kane County Sheriff will provide network access for Tyler modules, printers, and Internet access to all

applicable Kane County Sheriff and Tyler Project staff.

Configuration

The purpose of Configuration is to prepare the software product for validation.

Tyler staff collaborates with Kane County Sheriff to complete software configuration based on the outputs of the future state analysis performed during the Assess and Define Stage. Kane County Sheriff collaborates with Tyler staff iteratively to validate software configuration.

Packet Pg. 104


Objectives:

▪ Software is ready for validation. ▪ Educate Kane County Sheriff Power User how to configure and maintain software. ▪ Prepare standard interfaces for process validation (if applicable).

STAGE 3 Configuration

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Complete Tyler configuration tasks (where applicable)

A R I I I

Complete Client configuration tasks (where applicable)

I C A R C

Standard interfaces configuration and training (if applicable)

A R C I C C C

Updates to Solution Validation testing plan

C C A R C C

Inputs Documentation that describes future state decisions and configuration options to support future state decisions.



Configured System N/A


▪ Tyler provides guidance for configuration options available within the Tyler software. Kane County Sheriff is responsible for making decisions when multiple options are available.

Process Refinement

Tyler will educate the Kane County Sheriff users on how to execute processes in the system to prepare them for the validation of the software. Kane County Sheriff collaborates with Tyler staff iteratively to validate software configuration options to support future state.

Packet Pg. 105


Objectives:

▪ Ensure that Kane County Sheriff understands future state processes and how to execute the processes in the software.

▪ Refine each process to meet the business requirements. ▪ Validate standard interfaces, where applicable. ▪ Validate forms and reports, where applicable.

STAGE 3 Process Refinement

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Confirm process decisions

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Test configuration I C A R C

Refine configuration (Client Responsible)

I C A R C

Refine configuration (Tyler Responsible)

A R I I I

Validate interface process and results

I C C A R C C

Update client-specific process documentation (if applicable)

I C A R C

Updates to Solution Validation testing plan

C C A R C C

Inputs Initial Configuration

Documentation that describes future state decisions and configuration options to support future state decisions.

Solution validation test plan



Updated solution validation test plan

Packet Pg. 106


Completed client-specific process documentation (completed by Kane County Sheriff)


▪ None




Control Point 3: Prepare Solution Stage Acceptance

Acceptance criteria for this Stage includes all criteria listed below in each Work Package.

Note: Advancement to the Production Readiness Stage is dependent upon Tyler’s receipt of the Stage Acceptance.

Prepare Solution Stage Deliverables:

▪ Licensed software is installed. ▪ Installation checklist/system document.

Prepare Solution Stage Acceptance Criteria:

▪ All stage deliverables accepted based on criteria previously defined. ▪ Software is configured. ▪ Solution validation test plan has been reviewed and updated if needed.

Production Readiness

Activities in the Production Readiness stage will prepare the client team for go-live through solution validation, the development of a detailed go-live plan and end user training. A readiness assessment will be conducted with the client to review the status of the project and the organizations readiness for go-live.

Solution Validation

Solution Validation is the end-to-end software testing activity to ensure that Kane County Sheriff verifies all aspects of the Project (hardware, configuration, business processes, etc.) are functioning properly, and validates that all features and functions per the contract have been deployed for system use.

Objectives:

▪ Validate that the solution performs as indicated in the solution validation plan. ▪ Ensure Kane County Sheriff organization is ready to move forward with go-live and training (if

applicable).

Packet Pg. 107


STAGE 4 Solution Validation

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Update test scripts (as applicable)

C C C A R C

Perform testing C C C A R C

Document issues from testing

C C C A R C

Perform required follow-up on issues

A R C C C C

Inputs Solution Validation plan

Completed work product from prior stages (configuration, business process, etc.)



Solution Validation Report Kane County Sheriff updates report with testing results


▪ Designated testing environment has been established. ▪ Testing includes current phase activities or deliverables only.

Go-Live Readiness

Tyler and Kane County Sheriff will ensure that all requirements defined in Project planning have been completed and the Go-Live event can occur, as planned. A go-live readiness assessment will be completed identifying risks or actions items to be addressed to ensure the client has considered its ability to successfully Go-Live. Issues and concerns will be discussed and mitigation options documented. Tyler and Kane County Sheriff will jointly agree to move forward with transition to production. Expectations for final preparation and critical dates for the weeks leading into and during the Go-Live week will be planned in detail and communicated to Project teams.

Objectives:

▪ Action plan for go-live established. ▪ Assess go-live readiness. ▪ Stakeholders informed of go-live activities.

Packet Pg. 108


STAGE 4 Go-Live Readiness

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I A R C C I C I I I I I I

Conduct Go-Live planning session

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Order peripheral hardware (if applicable)

I A R C

Confirm procedures for Go-Live issue reporting & resolution

A R I I I I C C I I I I I

Develop Go-Live checklist A R C C C C I C C

Final system infrastructure review (where applicable)

A R C C

Inputs Future state decisions

Go-live checklist



Updated go-live checklist Updated Action plan and Checklist for go-live delivered to Kane County Sheriff


▪ None

End User Training

End User Training is a critical part of any successful software implementation. Using a training plan previously reviewed and approved, the Project team will organize and initiate the training activities.

Train the Trainer: Tyler provides one occurrence of each scheduled training or implementation topic. Kane County Sheriff users who attended the Tyler sessions may train additional users. Additional Tyler led sessions may be contracted at the applicable rates for training.

Tyler will provide standard application documentation for the general use of the software. It is not Tyler’s responsibility to develop client specific business process documentation. Client-led training labs using client specific business process documentation if created by the client can be added to the regular training curriculum, enhancing the training experiences of the end users.

Packet Pg. 109


Objectives:

▪ End users are trained on how to use the software prior to go-live. ▪ Kane County Sheriff is prepared for on-going training and support of the application.

STAGE 4 End User Training

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End User training (Tyler-led)

A R C C C I C C C

Train-the-trainer A R C C C I C

End User training (Client-led)

C C A R I C C C

Inputs Training Plan

List of End Users and their Roles / Job Duties

Configured Tyler System



End User Training Kane County Sheriff signoff that training was delivered


▪ The Kane County Sheriff project team will work with Tyler to jointly develop a training curriculum that identifies the size, makeup, and subject-area of each of the training classes.

▪ Tyler will work with Kane County Sheriff as much as possible to provide end-user training in a manner that minimizes the impact to the daily operations of Kane County Sheriff departments.

▪ Kane County Sheriff will be responsible for training new users after go-live (exception—previously planned or regular training offerings by Tyler).

Control Point 4: Production Readiness Stage Acceptance

Acceptance criteria for this stage includes all criteria listed below. Advancement to the Production stage is dependent upon Tyler’s receipt of the stage acceptance.

Production Readiness stage deliverables:

▪ Solution Validation Report.

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▪ Update go-live action plan and checklist. ▪ End user training.

Production Readiness stage acceptance criteria:

▪ All stage deliverables accepted based on criteria previously defined. ▪ Go-Live planning session conducted.

Production

Following end user training the production system will be fully enabled and made ready for daily operational use as of the scheduled date. Tyler and Kane County Sheriff will follow the comprehensive action plan laid out during Go-Live Readiness to support go-live activities and minimize risk to the Project during go-live. Following go-live, Tyler will work with Kane County Sheriff to verify that implementation work is concluded, post go-live activities are scheduled, and the transition to Client Services is complete for long-term operations and maintenance of the Tyler software.

Go-Live

Following the action plan for Go-Live, defined in the Production Readiness stage, Kane County Sheriff and Tyler will complete work assigned to prepare for Go-Live.

Tyler staff collaborates with Kane County Sheriff during Go-Live activities. Kane County Sheriff transitions to Tyler software for day-to day business processing.

Some training topics are better addressed following Go-Live when additional data is available in the system or based on timing of applicable business processes and will be scheduled following Go-Live per the Project Schedule.

Objectives:

▪ Execute day to day processing in Tyler software. ▪ Client data available in Production environment.

STAGE 5 Go-Live

Tyler Client


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A C R I C C C

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environment, if applicable

Proof final converted data, if applicable

C C C A R C

Complete Go-Live activities as defined in the Go-Live action plan

C C C A R C I C

Provide Go-Live assistance

A R C C I C C I C I C

Inputs Comprehensive Action Plan for Go-Live

Final source data (if applicable)



Data is available in production environment Client confirms data is available in production environment


▪ Kane County Sheriff will complete activities documented in the action plan for Go-Live as scheduled. ▪ External stakeholders will be available to assist in supporting the interfaces associated with the Go-

Live live process. ▪ The Client business processes required for Go-Live are fully documented and tested. ▪ The Kane County Sheriff Project team and subject matter experts are the primary point of contact for

the end users when reporting issues during Go-Live. ▪ The Kane County Sheriff Project Team and Power User’s provide business process context to the end

users during Go-Live. ▪ The Tyler Go-Live support team is available to consult with the Kane County Sheriff teams as

necessary. ▪ The Tyler Go-Live support team provides standard functionality responses, which may not be tailored

to the local business processes.

Transition to Client Services

This work package signals the conclusion of implementation activities for the Phase or Project with the exception of agreed-upon post Go-Live activities. The Tyler project manager(s) schedules a formal transition of Kane County Sheriff onto the Tyler Client Services team, who provides Kane County Sheriff with assistance following Go-Live, officially transitioning Kane County Sheriff to operations and maintenance.

Objectives:

▪ Ensure no critical issues remain for the project teams to resolve. ▪ Confirm proper knowledge transfer to Kane County Sheriff teams for key processes and subject areas.

STAGE 5 Transition to Client Services

Tyler Client

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Review long term maintenance and continuous improvement

A R C C C

Inputs Open item/issues List



Client Services Support Document


▪ No material project issues remain without assignment and plan.

Post Go-Live Activities

Some implementation activities are provided post-production due to the timing of business processes, the requirement of actual production data to complete the activities, or the requirement of the system being used in a live production state.

Objectives:

▪ Schedule activities that are planned for after Go-Live. ▪ Ensure issues have been resolved or are planned for resolution before phase or project close.

STAGE 5 Post Go-Live Activities

Tyler Client

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Determine resolution plan in preparation for phase or project close out

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Inputs List of post Go-Live activities



Updated issues log


▪ System is being used in a live production state.

Control Point 5: Production Stage Acceptance

Acceptance criteria for this Stage includes completion of all criteria listed below:

▪ Advancement to the Close stage is not dependent upon Tyler’s receipt of this Stage Acceptance. ▪ Converted data is available in production environment.

Production Stage Acceptance Criteria:

▪ All stage deliverables accepted based on criteria previously defined. ▪ Go-Live activities defined in the Go-Live action plan completed. ▪ Client services support document is provided.

Close

The Close stage signifies full implementation of all products purchased and encompassed in the Phase or Project. Kane County Sheriff transitions to the next cycle of their relationship with Tyler (next Phase of implementation or long-term relationship with Tyler Client Services).

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Phase Closeout

This work package represents Phase completion and signals the conclusion of implementation activities for the Phase. The Tyler Client Services team will assume ongoing support of Kane County Sheriff for systems implemented in the Phase.

Objectives:

▪ Agreement from Tyler and Kane County Sheriff teams that activities within this phase are complete.

STAGE 6 Phase Close Out

Tyler Client


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Hold post phase review meeting

A R C C C C C C C C C

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A R I I

Participants Tyler Client

Project Leadership Project Manager

Project Manager Project Sponsor(s)

Implementation Consultants Functional Leads, Power Users, Technical Leads

Technical Consultants (Conversion, Deployment, Development)

Client Services

Inputs Contract

Statement of Work

Project artifacts



Final action plan (for outstanding items)

Reconciliation Report

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▪ Tyler deliverables for the phase have been completed.

Project Closeout

Completion of this work package signifies final acceptance and formal closing of the Project.

At this time Kane County Sheriff may choose to begin working with Client Services to look at continuous improvement Projects, building on the completed solution.

Objectives:

▪ Confirm no critical issues remain for the project teams to resolve. ▪ Determine proper knowledge transfer to Kane County Sheriff teams for key processes and subject

areas has occurred. ▪ Verify all deliverables included in the Agreement are delivered.

STAGE 6 Project Close Out

Tyler Client


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Post Project Report Client acceptance; Completed report indicating all project Deliverables and milestones have been completed


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▪ All project implementation activities have been completed and approved. ▪ No critical project issues remain that have not been documented and assigned. ▪ Final project budget has been reconciled and invoiced.

▪ All Tyler deliverables have been completed.

Control Point 6: Close Stage Acceptance

Acceptance criteria for this Stage includes completion of all criteria listed below.

Close Stage Deliverables:

▪ Post Project Report.

Close Stage Acceptance Criteria:

▪ Completed report indicating all Project deliverables and milestones have been completed.

General Assumptions

Tyler and Kane County Sheriff will use this SOW as a guide for managing the implementation of the Tyler Project as provided and described in the Agreement. There are a number of assumptions which, when acknowledged and adhered to, will support a successful implementation. Assumptions related to specific work packages are documented throughout the SOW. Included here are general assumptions which should be considered throughout the overall implementation process.

Project

▪ Project activities will begin after the Agreement has been fully executed. ▪ The Kane County Sheriff Project Team will complete their necessary assignments in a mutually agreed

upon timeframe in order to meet the scheduled go-live date, as outlined in the Project Schedule. ▪ Sessions will be scheduled and conducted at a mutually agreeable time. ▪ Additional services, software modules and modifications not described in the SOW or Agreement will

be considered a change to this Project and will require a Change Request Form as previously referenced in the definition of the Change Control Process.

▪ Tyler will provide a written agenda and notice of any prerequisites to the Kane County Sheriff project manager(s) ten (10) business days or as otherwise mutually agreed upon time frame prior to any scheduled on-site or remote sessions, as applicable.

▪ Tyler will provide guidance for configuration and processing options available within the Tyler software. If multiple options are presented by Tyler, Kane County Sheriff is responsible for making decisions based on the options available.

▪ Implementation of new software may require changes to existing processes, both business and technical, requiring Kane County Sheriff to make process changes.

▪ Kane County Sheriff is responsible for defining, documenting and implementing their policies that result from any business process changes.

Organizational Change Management

Unless otherwise contracted by Tyler, Kane County Sheriff is responsible for managing Organizational Change. Impacted Client resources will need consistent coaching and reassurance from their leadership team to embrace and accept the changes being imposed by the move to new software. An important part of change is

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ensuring that impacted client resources understand the value of the change, and why they are being asked to change.

Resources and Scheduling

▪ Kane County Sheriff resources will participate in scheduled activities as assigned in the Project Schedule.

▪ The Kane County Sheriff team will complete prerequisites prior to applicable scheduled activities. Failure to do so may affect the schedule.

▪ Tyler and Kane County Sheriff will provide resources to support the efforts to complete the Project as scheduled and within the constraints of the Project budget.

▪ Abbreviated timelines and overlapped Phases require sufficient resources to complete all required work as scheduled.

▪ Changes to the Project Schedule, availability of resources or changes in Scope will be requested through a Change Request. Impacts to the triple constraints (scope, budget and schedule) will be assessed and documented as part of the change control process.

▪ Kane County Sheriff will ensure assigned resources will follow the change control process and possess the required business knowledge to complete their assigned tasks successfully. Should there be a change in resources, the replacement resource should have a comparable level of availability, change control process buy-in, and knowledge.

▪ Kane County Sheriff makes timely Project related decisions in order to achieve scheduled due dates on tasks and prepare for subsequent training sessions. Failure to do so may affect the schedule, as each analysis and implementation session is dependent on the decisions made in prior sessions.

▪ Kane County Sheriff will respond to information requests in a comprehensive and timely manner, in accordance with the Project Schedule.

▪ Kane County Sheriff will provide adequate meeting space or facilities, including appropriate system connectivity, to the project teams including Tyler team members.

▪ For on-site visits, Tyler will identify a travel schedule that balances the needs of the project and the employee.


Facilities

▪ Kane County Sheriff will provide dedicated space for Tyler staff to work with Kane County Sheriff resources for both on-site and remote sessions. If Phases overlap, Kane County Sheriff will provide multiple training facilities to allow for independent sessions scheduling without conflict.

▪ Kane County Sheriff will provide staff with a location to practice what they have learned without distraction.

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Glossary

Word or Term Definition

Acceptance Confirming that the output or deliverable is suitable and conforms to the agreed upon criteria.

Accountable The one who ultimately ensures a task or deliverable is completed; the one who ensures the prerequisites of the task are met and who delegates the work to those responsible. [Also see RACI]

Application A computer program designed to perform a group of coordinated functions, tasks or activities for the benefit of the user.

Application Programming Interface (API) A defined set of tools/methods to pass data to and received data from Tyler software products

Agreement This executed legal contract that defines the products and services to be implemented or performed.

Business Process The practices, policy, procedure, guidelines, or functionality that the client uses to complete a specific job function.

Business Requirements Document A specification document used to describe Client requirements for contracted software modifications.

Change Request A form used as part of the Change Control process whereby changes in the scope of work, timeline, resources, and/or budget are documented and agreed upon by participating parties.

Change Management Guides how we prepare, equip and support individuals to successfully adopt change in order to drive organizational success & outcomes

Code Mapping [where applicable] An activity that occurs during the data conversion process whereby users equate data (field level) values from the old system to the values available in the new system. These may be one to one or many to one. Example: Old System [Field = eye color] [values = BL, Blu, Blue] maps to New Tyler System [Field = Eye Color] [value = Blue].

Consulted Those whose opinions are sought, typically subject matter experts, and with whom there is two-way communication. [Also see RACI]

Control Point This activity occurs at the end of each stage and serves as a formal and intentional opportunity to review stage deliverables and required acceptance criteria for the stage have been met.

Data Mapping [where applicable] The activity determining and documenting where data from the legacy system will be placed in the new system; this typically involves prior data analysis to understand how the data is currently used in the legacy system and how it will be used in the new system.

Deliverable A verifiable document or service produced as part of the Project, as defined in the work packages.

Go-Live The point in time when the Client is using the Tyler software to conduct daily operations in Production.

Informed Those who are kept up-to-date on progress, often only on completion of the task or deliverable, and with whom there is just one-way communication. [Also see RACI]

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Infrastructure The composite hardware, network resources and services required for the existence, operation and management of the Tyler software.

Interface A connection to and potential exchange of data with an external system or application. Interfaces may be one way, with data leaving the Tyler system to another system or data entering Tyler from another system, or they may be bi-directional with data both leaving and entering Tyler and another system.

Integration A standard exchange or sharing of common data within the Tyler system or between Tyler applications

Legacy System The software from which a client is converting.

Modification Custom enhancement of Tyler’s existing software to provide features or functions to meet individual client requirements documented within the scope of the Agreement.

On-site Indicates the work location is at one or more of the client’s physical office or work environments.

Organizational Change The process of changing an organization's strategies, processes, procedures, technologies, and culture, as well as the effect of such changes on the organization.

Output A product, result or service generated by a process.

Peripheral devices An auxiliary device that connects to and works with the computer in some way. Some examples: scanner, digital camera, printer.

Phase A portion of the Project in which specific set of related applications are typically implemented. Phases each have an independent start, Go-Live and closure dates but use the same Implementation Plans as other Phases of the Project. Phases may overlap or be sequential and may have different Tyler resources assigned.

Project The delivery of the software and services per the agreement and the Statement of Work. A Project may be broken down into multiple Phases.

RACI A matrix describing the level of participation by various roles in completing tasks or Deliverables for a Project or process. Individuals or groups are assigned one and only one of the following roles for a given task: Responsible (R), Accountable (A), Consulted (C), or Informed (I).

Remote Indicates the work location is at one or more of Tyler’s physical offices or work environments.

Responsible Those who ensure a task is completed, either by themselves or delegating to another resource. [Also see RACI]

Scope Products and services that are included in the Agreement.

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Solution The implementation of the contracted software product(s) resulting in the connected system allowing users to meet Project goals and gain anticipated efficiencies.

Stage The top-level components of the WBS. Each Stage is repeated for individual Phases of the Project.

Standard Software functionality that is included in the base software (off-the-shelf) package; is not customized or modified.

Statement of Work (SOW) Document which will provide supporting detail to the Agreement defining Project-specific activities, services and Deliverables.

System The collective group of software and hardware that is used by the organization to conduct business.

Test Scripts The steps or sequence of steps that will be used to validate or confirm a piece of functionality, configuration, enhancement, or Use Case Scenario.

Training Plan Document(s) that indicate how and when users of the system will be trained relevant to their role in the implementation or use of the system.

Validation (or to validate) The process of testing and approving that a specific Deliverable, process, program or product is working as expected.

Work Breakdown Structure (WBS) A hierarchical representation of a Project or Phase broken down into smaller, more manageable components.

Work Package A group of related tasks within a project.

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Part 4: Appendices

No Conversion - Intentionally left blank.

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Additional Appendices

Brazos Appendix

Items included in Project

RMS - New World Device Level - New World IDOT - State of Illinois

Brazos Key Project Assumptions

▪ The Kane County Sheriff and Tyler shall review their responsibilities before work begins to ensure that Services can be satisfactorily completed.

▪ The Kane County Sheriff will provide Tyler with access to its equipment, systems, and personnel to the extent needed to complete the defined Services.

▪ The Kane County Sheriff will provide work space for Tyler Services for work completed on Kane County Sheriff premises.

▪ Tyler shall initially implement the most current version of the Tyler software at the time of the contract signing. During the implementation, Tyler will provide newer releases of the software that meet or exceed the version available at contract signing.

▪ The Kane County Sheriff will maintain primary responsibility for the scheduling of Kane County Sheriff employees and facilities in support of project activities.

▪ The Kane County Sheriff shall provide Tyler with network access for remote installation and testing through industry standards such as Virtual Private Network (VPN) or other secure access methods.

▪ The Kane County Sheriff will allow users unauthenticated access the following web addresses to ensure adequate access to system resources:

o 72.32.135.120 (syncsvc.brazostech.com) (ports 80 and 443) o 72.32.135.125 (syncsvc2.brazostech.com) (ports 80 and 443) o 98.129.131.213 (Reports2014.brazostech.com) (ports 80 and 443) o 72.32.135.124 (www.brazostech.com) (ports 80 and 443) o 72.32.135.122 (my.brazostech.com) (ports 80 and 443) o 207.182.213.55 (brazossupport.tylertech.com) (ports 80 and 443)

▪ The Kane County Sheriff will provide/purchase/acquire the appropriate hardware, software and infrastructure assets to support all purchased Tyler software products in both support/testing and production environments.

▪ The Kane County Sheriff is responsible for proper site preparation, hardware, software, and network configuration in accordance with Tyler specifications.

▪ The Kane County Sheriff has, or will provide, access licenses and documentation of existing system to any 3rd party system software which Tyler will be required to read, write or exchange data.

▪ The Kane County Sheriff has, or will provide, a development/testing environment for data conversion and interface testing as they are developed by Tyler.

▪ Tyler shall be responsible for implementing a functioning version of the application software (assuming the Kane County Sheriff has installed the proper hardware, software, and networking devices).

▪ All deliverables and timelines assigned to the Kane County Sheriff will be held to the same standards of delivery as those assigned to Tyler Technologies.

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http://www.brazostech.com/


▪ Installation of Hardware required in County Vehicles shall be completed by the participating agencies Personnel and facilities. They may decide to purchase mounts on their own or opt to purchase from Tyler.

▪ The Kane County Sheriff will deploy initially on 88 MDT’s and 0 PDA. ▪ Deployment of the Tyler Brazos ECS for the Kane County Sheriff will utilize the existing Tyler hosted

server environment. ▪ All Kane County Sheriff personnel involved in the Project will participate fully in the training provided

by Tyler Technologies. ▪ Setup of 3rd party hardware (printers) will be handled by the participating agency staff and Tyler will

provide the initial documentation/training. (If necessary) ▪ If an Interface to any CMS / RMS / Device systems are included in this Phase of the project, it should

be reflected in the contract, and will include the synchronization of tables/files.

Out of Scope

▪ Custom interfaces. Custom interfaces involve the development of a standard, repeatable process for transferring information into or out of the Tyler software. These interfaces may take the form of a user-initiated import/export program, an API, or a web service. There are no custom interfaces included in the scope of the agreement unless detailed in the included Investment Summary.

▪ Custom reports. Custom reports involve the development of new reports that are not offered as part of the standard reporting package and modifications to existing reports. There are no custom reports included in the scope of the agreement unless detailed in the Investment Summary.

▪ Undocumented requirements. Undocumented requirements include requirements not specified in this Statement of Work and associated attachments.

▪ Post System Acknowledgement Configuration. System Acknowledgement requirements are met at the completion of End User Training and User Acceptance Testing stage. Any changes requested of the Tyler implementation team to alter the configuration, post acknowledgement of these milestones, must be documented through a Change Order and may incur additional time and/or costs. The Kane County Sheriff may have access to built-in configuration tools, so, when available, is free to reconfigure or create a new configuration as required or desired. If assistance using these tools is required, additional change orders may apply.

Project Timeline


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Wf, Y"Y,,y1y{lg;;;rvr** rus

Document #:'l 305-1 3L7B

September 27,2013

ADDITIONAL SOFTWARE LICENSE AGREEMENT

Mr. Roger FahnestockDirector of lnformation Technologies

Kane County719 S. Batavia AvenueGeneva, lL 60134

Dear Mr. Fahnestock:

New World Systems agrees to provide the software changes per your request as reflected in the attached

Proposal Summary.

The attached forms (Exhibit AA and Proposal Summary daled 912712013) are to be reviewed and approved

by you and/or your authorized representative. They describe the additional software and services you have

requested along with the related fees.

Other than for the purposes of internal review, we ask that you treat our fees as confidential information.

This is due to the competitive nature of our business.

The General Terms and Conditions from our original License Agreement are incorporated and continue to

apply. Any taxes or fees imposed from the course of this Agreement are the responsibility of the Customer.

We thank you for your continued business with New World Systems. We look forward to working on this

project with you.

ACKNOWLEDGED AND AGREED TO BY:

NEW WORLD SYSTEMS@ CORPORATION KANE COUNry.IL

(Gustomer)

By:

D,u": () 6 -3O - l3 Date: ?-zz-/3

Each individual signing above represents that (s)he has the requisite authority to execute this Agreement on

behalf of the organization for which (s)he represents and that all the necessary formalities have been met.

The "Effective Date" of this Agreement is the latter of the two dates in the above signature block.

PRICING VALID FOR 30 DAYS FROM DATE REFERENCED ABOVE.

Corporate: 888 West Big Beaver Road, Suite 600, Troy, Michigan 480U4749 248-269-1000 www.newworldsystems.com1 305-1 3L7B 0927 swap for Dshbds

Title

CEo

Page 1

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EXHIBIT AATOTAL COST SUMMARY AND PAYMENT SCHEDULE

L Total Costs Summary: Licensed Standard Software and lmplementation Services

DESCRIPTION OF COST COST

A. LICENSED STANDARD SOFTWARE as further detailed in the Proposal Summary $20,440

B. IMPLEMENTATION AND TRAINING SERVICES as further described in the 4,800Proposal Summary

ONE TIME PROJECT COST: $25-Zr0

ll. Payments for Licensed Standard Software and lmplementation Services

DESCR]PTION OF PAYMENT COST

A. ONE TIME PROJECT PAYMENT:

1. Amount due upon the Effective Date (100o/o) $25,240

ONE TIME PROJECT PAYMENT: $25-Zt0

B. TRAVEL EXPENSES'l . I trip is anticipated, to be billed at actual cost for reasonable expenses incurred

for airfare, rental car, lodging, tolls, mileage, and daily per diem expenses' All

travel costs will be billed weekly for services provided in the previous calendar

week.

lll. Standard Software Maintenance Services $4'672

Standard Software Maintenance Agreement (SSMA) fees for the above software

will be added to Customer's current SSMA fees and will commence 90 days after

delivery of the software; year one cost to be prorated to run concurrently with

Customer's existing SSMA. Subsequent year SSMA fees for the above software

will be consistent wlth the SSMA agreement currently in effect.

ALL PAYMENTS ARE DUE WITHIN FIFTEEN (15) DAYS FROM RECEIPT OF INVOICE

NEW WORLD SYSTEMS,LOgOS PUBLIC ADMINISTRATION SOFTWARE

CON F] D ENT I A L AN D P ROP N ETA RY

1 305-1 3L7B 0927 swap for Dshbds Page 2

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KANE COUNTY. IL

Proposal Summarv

September 27. 2013

DELETED STANDARD SOFTWARE

PAYROLL & HUMAN RESOURCES SUITE

1. Logos.NET Additional Payroll & HR Modules- Applicant Tracking

eSUITE2. eHR

- eRecruit

ADDED STANDARD SOFTWARE

DECISION SUPPORT SOFTWARE

3. Dashboards for Financial Management

4. Dashboards for Human Resources

IMPLEMENTATION

1. Up to 4 days of lmplementation and Training Services are included for:

- Software Tailoring and Set UP

- User Education and Training- Other Technical SuPPort- Travel Time* Assumes train-the-trainer approach

Kane Couny, ILNEV ttORLD SrSTEMS'lngos PUBUC ADMINISTMTION SOFTIyARE

CON FI DENTI,IL AN D P RO P RI ETARYI 305-l 3L7B 0927 waPJor Dshbds

$lpeql

Page 3

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STANDARD SOFTWARE MAINTENANCE AGREEMENT (SSMA) (Per Year Cost)

Annual SSMA to begin at the end of the warranty period; year one cost to be prorated to run concurrently

with customer's existing SSMA.

90-Day Warranty from Date of Delivery

Year 1 SSMA

1. TMVEL EXPENSES (estimate)

1 trip anticipated- lncludes airfare, car rental, hotel accommodations' and per diem.

Kare CouolY, ILNEv V1RLD SLSTEMS'Logos PUBLIC ADMNTSTMTION SOF|VARE

CONFI D ENTI AL AN D P RO P N ETARY

No Charge

94,672

PRICING VALID FOR 30 DAYS FROM DATE REFERENCED ABOVE.

ENDNOTES

personal Computers must meet the minimum hardware requirements for New Wortd Systems' Logos'NET product' Microsoft

Windows Xp or greater with tE T.O or greater is the require:d operating sysfems for atl client machines. Windows 2008 Server is

required for the Application Server(s), Web Server(9 and Database Seruer. Microsofr SQL Seruer 2008 is required for the

Database Server.

New Wortd Sysfems, Logos.NET product requires Microsoft Wndows 2008 Server and Microsoft SQL Server 2008 including

required Ctieit Accessllcenses iCAtsl ana Wndows Server 2008 Externat Connector (EC) /lcenses for applicable Microsoft

products. Seryers must meet minimum hardware requirements provided by New World Systems'

suggested minimum: 100M8 Ethernet Network. |OMB CATS Ethemet Netwofi< may have /ess fhan adequate response time'

Fudher consultation woutd be required to assess your network'

Prices assume that all software proposed is licensed.

Licensed software, and third party software embedded therein, if any, wilt be delivered in a machine readable form to Customer

via an agreed upon network connection. Any taxes or fees imposed are the responsibitity of the purchaser and will be remitted

when imposed.

Travet and expenses are described in Secfion llB of Exhibit AA'

I 305-l 3L7B 0927 eaPfor Dshbds

C. MAINTENANCE

D. TRAVEL AND LIVING EXPENSES (estimate)

Packet Pg. 128

fllx#y#MtemtSTANDARD SOFIWARE LICENSEJ,ND SERVICES +GREEMENT

SePtember ll' 21106

T\is Standard fufiware License and Sentices Agremtenr wtrich includes the attachcd Exhibib ("this Agreemeof) is

between New lVorld Sydemc'Cotaoredon('New Wortd"), a Michigan Corporation-d_gluotY of -Ke19"

Illinol* ('Curtome/). -tnir

^lgreenrent sets forth Ori terrrs and conditions under which New Wortd will fimish

the Licensed Products and will provido certain s€rvices described herein to Customer.The attached Exhibits include:

Erhlblt A ....................... LICENSED STANDARD SOFTWARE AND FEESE$iblt 8........................ TNSTALLATION AND TRAINING SUPPORT SERYICES AND FEES

EXhIbTt C....................... STAIYDARD SOFTWARE MAINTENANCE AGREEMENTEXhibit D...................... NON.DNICLOSURE AND SECTIRITY AGREEMENT FOR TIIIRD PARTIES

Exhibit 8........................ DEMONSTRATION SITE DISCOIINTExhiblt F........................ DATA FILE CONVERSION ASSISTANCEExhlbit G....................... ESCROW OF SOFTWARE SOURCE COIIEExhiblt H ....................... CIIANGE MANAGEMENTExhtbtt r......................... INCORPORATION BY REFEREI\ICE OF NEW WORLD'S RESPONSE To

CUSTOMER'S RFP SOFTWARE SPECIFICATIONSExhlbltJ .. ACCEPTANCETESTINGAppendir I .................... AGREEMENT AryD AUTHORIZATTON FOR PROCUREMENT OF THIRI)

PARTY PRODUCTS AND SERVICETI

(New World)couNTY oF EANE. ILLINOIS

By ggnlng below, each of us cgroel to the terms and condifions of thls Agreemglt togelher wlth the rttached

Exhibitr. Eech lndlvlduU rifnhg below rqrresents that (s)he has the requlrlte authorlty_io execute thls

Agreement on behelf of th. o{"nirUon for whtch (c)he repreccntc and that alt the necerrary formetltlel heve

Uin met If the lndtvtduel ls not so authorlzed then G)he rs$umee personal [ebtltty for compllencc under

thie Agreement.

ACKNO}YLEDGED AND AGREED TO BY:

Aw,t*t

orr", 0 ?t|-o,Q o** Q.{Ll ob -This Agreement is effective upon the last dato as shown on this cover page'

Corporate: ggg l(at Big geaver Road. Suite 600, Troy. Michigan 480844719. 248-2691000'www.nevvworldsyskms.com

By: . =,- AutdffiStgtrtture Tlde

Packet Pg. 129

L DEFINTTIONSThe following t€rms as defined below are used throughout this Agreement:

l. allcctwdStandadfufiwon":.ltre cuntot vcrsion of New WorH siandard and dwelopment application softsrrc Psckag{s) (1n maotry ga*t code) listcd ou

Exhibit A. ..ocvelopmeit Softr.*;il rt ra"ri.peii*t-'iit* o*!r'rro{or.acv$o9mm!lI,-N:: worH which" if

"ppUoaUte wltt te coiplited *d d"tiro.d to Curtomi. as Liccnscd Stadsrd Softwarc durin8 ftc tcrm of this Agreemcot'

2. nUpgudes":

Any enhancod aad/or improved vcrsims of the Uceoscd Standsrd Software provirLd as Liccnscd St nderd Softrrare under Exhibit C

ofthis Agreement and rclcased after the ecrecutioo ofthis Agrtcment'

3. "IlcenscdCusoaSofitwn":Any softwarc (prosrEms or portions of programa) dcvelopcd by Ncw World cpeciffcrlly for Curtomlr't owr uEc'

4. "Iben*dsofrtwrc":The Licarsed StEndard Software (including auy Developmcnt Softuarc), Upgrada, aad Uccnsed Custom Sofipare provided undet

this Agrecment'5. ilicct**dl)*unenldionr:

New World User Manuals which includB tbe cur€ot speoifications for the Liccnsed Standard Softwarc and other writt'co instructions

relating to the Lic*J-Softrr"r. fr*tt as }toduct Bulletirg installatioD instructims, rnd training matefisls)'

6. 'AathorhcdCqia":Excrpt as provided in Socdon Il, gubparsgrsph 1.3, the only autho{za c+.lcs :ftte Licenecd softw&t atrd Lioens€d Docuffnution

arc tfic copies of each application soliwarc packagc dcfincd in this Paragnph. Thcy arc:

(i) the singlc copy of the Lic€mcd son*ure ana me related iicimseo Docume'ntation delivcrcd by Ncw world uoder thig

Agreement; and(iu ;] addi;;al coples rnaae uy curtomr as autlrorized ia scction II, zubporagraph 1.2.

1, qlbcnsed Pmdads":Thc Liocnscd Software, tho related Liccnscd Documentation, and the Authorized Copic ofthe forcgoiap

8.'Delioeryollicens€d&arul4tdSofiwan't -.Uccnsed Studald Softrvare will bo delivcrcd in a maohine resdable form on ttrc appropriate modia or via an agreed upon network

oonnection as soon as the software is avail&le after this Agreement is signed'

9. "Instalhtioa of Hcerccd Standard Sofiinn":Installation of the r-ioc";-SuriirO Software shall be deerned to ocarr upon tlre earlicr ofi

f"l O. t *"f.r or loading of the LiceNcd Stardad SoftffarE o,nto a Cuitomcr 8€rver or computer' or

1Ui tf*ty 1:01 auy" aftcr-<telivery of the Lice'nsed Stardard Softwart'

'o' 't*'*n*'-*

oror.. assigncd to act as liaison bctweo curtomr and Ncw world for the duration of this Agreemnt within ten

(10) days of executioo of thir Agrcenrcnt, Curtomcr eUtf oo-tify X"* World of the name of the Customer Uaison

II. "SSMA,:The New world standard software MaiaEnance Agrccurrot 8s sd forth in Exhibit c.

12. sCompulcrn:

The .NET Serveds), to be locatcd at:

CoantY of Katte719 ktaviaAverueGeneva, Illittois 601 i4

"' """"K#:l:{'m#;obainod

by onc party in oonnection with, end d,riag the term of' this Agrecnont ihat can reasonably be

assuned to be .sonfidential', by ite nature .r *t uiof prili.ry *;*r9rg. Ninrithsunding anytling to the cmtrary' all cuetomer

data is cotrfid€ntial Iilfomation. confidential hro;u;ol-aoes'nor includc any infonnatloo-wtriitt *"tpt"viously known to the other

party withort obtigation of confidence or witnort'ffiii.ii[i.igror",t'it ilfii il'i;fu.:**tl": & subsoqueot no thc

orhcr party's receipt of euoh informgtiotr, o, i. ig[lilrry;;;;fity *'"tr'Io p"tty from a third putv witt'out obligation of

confideace.

14. "AnlalhodzdUserQ:The numbcr ofusers is specified in Exhibit A'

rI. GENERAL TERMS AIID CONDITIONS

1,0 SINGLE USE UCENSE1.1 New \ilorld grants Customer a nontrausferable and nonoxclusivo license to use the Licensed Software

only for its internal processhg o""0"' The number of Authorized Users is sP€cified in Exhibit A'

customer shall have the right and liconse to use, enhance, or modify the Licensed Softrvare only for

Customer,c own uso. New Woda wil deliver to Customer one copy of eaoh application of the

Licensed Software (in rrachinc rcJable form conrpatible wth ttre spetified operating environment)

and on€ copy of the related l,i.eorea -no"urootntioo.

If Customer fails to pay 8ll license fces

specified ilE*rriuii.t and the appulute custom softlvare fees, if any, curtomer shall forfeit the rieht

and license to use the Licensed iioducts and shall return them to New World'

CONFIDENTIALPrge 2 of30NWS Agrecment lDll06 ' fnd.doc

County of Kene' IL

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2.0

l.Z ln order to assist Customer in the event of an emergencn Custouer is permitted to make uP to tv{o

(2) back-up copies on magnctic media of each appliiation of the Licensed Softqmre and one back-up

copy of thi reiated l-icensed Documentation. Ti,i* Authorized Copies may tre stored off-site away

from Customer'c premises as specificd in the Definitions so long as they are kcpt in a locadon s€cure

from unauthorized use. Customer or anyone obtaining access through Customer shall .not copy,

distribute, airr"mrnate, or otherwise disclosc to any thM-party the Licensed Produsrs or copies thereof

in whole or in part, in any form or mcdia. This rcstricti-on on making and disributing tlre Licensed

products o, copics of *y Li".nr.d Produc! includes without limitation, copies of the following:

(D Program libraries, either source or object code;

(ii) Operating control language;(iii) Test data, sample files, or file layouts;

(lv) Programlistingp;and(v) LicensedDocumentation.

1.3 Upon written request by Customer, and with written permission by New World' additional

Authorized Copies may be made for Customer's interDal use only'

OWNERSI-ilP2.1 The Licensed Products and all copynchL tade sccrets and other proprietary rig4tsfitle and interest

therein, remain tf," t"i" p*p.rty of ffI,n World or its licenson, and -Customer

shall obtain no rieht

titlc or interest in the Licensed Products by virtuo of this Agreement othcr than the nonexclusive'

nontansferable license to use the Licensed Products as reshicted hcrcin.

Z.Z The license to o* *iii"o"rd Curto. S;ft*; provided under this Agreement, if any, is included

in this license, New World shall have the right to llse 8ny daa processing idoas' techniques'.concepts'

and/or know-ho* ""qoir"J

by it in the perflrmancc of iervicoi under this Agreement inoluding the

development of Licenssd Cusiom Sot**" 16,iifte adva,csment of its own technical exp€rtise and the

p"rfo*una. of other Software License and Service Agreemcnts or any other lfnticpt^e sgreem€nts'

New World shall have, without r"rrictioo, tn" rigrrt t"-r* all programs, procedures, information, and

rechnigues that gt;-;;li"fv uruifuUf", oUt"in.a? obtainabli from third parties and/or dcveloped

independently by New Worid without specific reference to Customer's organization'

coRREcTIoNANDS1FTWAREMANTENAN1EoNSTANDARDSoFTWARE3.1 During tU" *u*nty p"rioa *Jaoting the term of Cuetomer's SSMA (see Exhibit C)' New World

shall provide somLl correction serd"" -Jmaint"*o"" for the Licensed Standard Software' See

Exhibit C for a description of Ur" wu,,unty piri"a, the services available, the applicable fees and

procedures, and the SSMA start date'

WARRA NTI E 8 AND REP RE SENTATIO N S

4.1 New World warrants that the Liceused standard Software will perform as specified in its user manuals

basedonthethen-currentreleaseofthcLicensedSandsldSoftware.4,2 New \ilorld warrants that it possesstt tn" *"oruty intellechEl rights to license to customer the

Liccnsed Software provided hereunder'

The forcgoing warranties do not apply if the Licensed Produc(s) have been modified by any party other than

New \Morld. As qrratified io pifriUit f, n"w WoitO reprisents that the Licensed Software will meet

Cugtomer's requirement* iicppr AS sPEctFrcer,rv inovIDED IN THIS PARAGRAPH 4'0' NEw

WORLD MAKES NO WARRANTIES, EXPRESa6nnApf,fgp,INCLUDING BUT NOT LIMITED TO'

THE LICENSED PRODUCTS' CoNDITION;-mS GRCHar'TTABILITY' ITS FITNESS FOR A

pARTICT LAR pURPosE, oR ANY nrrPiED- Wlnnqxry ARISING FRoM col'RSE oF

PSRFORMANCE, COURSi OF DEALING OR USAGE OF TRADE'

3.0

4.0

5.0 INSTALb4NON AND TMINNG SUPPORT SERWCESyi'*#{::#{{",,I1'ff ffi ;"ff ;"!ii:I;1}tuYTTff5:-1"1X?:,'-u-'11l3;1#:3lg:ff d;ilffi,'fi #'H#;ffi d;."diil;;'f p'";fi ;;t+f g':T9^qi-,':Yfli,fl-r:Sfl::H',#il.T*:ffiiff.,iffiH.filt",*J;ji;;,fi ;;. ffiibtt B ior a description of the services

providii and the applicablc fees and proccdurcs'

CONFIDENTIALPage 3 of30NrilS Agrecment 091106 - finrl.doc

Couuty of Krng lL

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6.0 CUSTOMER UAISON AND CUSTC)MER KESPONSIBIUTIESThe successful inplementation of the Licens€d Pro&ch into Curtouer's environment requires Cultomer's

commitment to and cooperation in the irylementation prcoess. Accordingly, Customer hereby agrees to the

following:6.1 Customer mderstands that ths Licensed Software is designed to run in a specified operating

environment which includcs hardware, software and related equipment not provided by New VYorld'

Customer is resporsible for assuring that the appropriate hardware equipmont -related

components

and all cabling are installed timely aud are suitable- for the successful installatioo of thc Licensed

Software.6.2 Customer agrees to provide the uranagement interface and support nec€ssary to successfully colnplete

ttre implementatio, of th" Licensed SJftware. This supportincludes upper level management priority

setting and timely involvement during and after a change in Customer'e organization, Customer's

op"*iio* and/or after changes in Cuiomer's intemal poti"ies or procedures which directly a{Tect the

software implementation.6.3 Customer shall assign an upper level eryloyee to serve as the Customer Liaison for the duration of

the Licensed Softwal icrplimentation ti Customer must replace the Customer Liaison for reasons

beyond its control, Customer will assign a new Customer Liaison as soon as reasonably possible'

Njw World is noi responsible for any J'ehy caused directly or indirectly by the reassignment of the

Customer Liaison. tn addition to other duties and responsibilities, the Customer Liaison shall:

(l) provide timely answers to New \ilorld's requests for information;(iD ioordinate a mutually agreeable implementation and raining schedule;

(iir) have authority to sign 6r and oUligatc Cu$omer to any Eatterc relating to service requ€sts,

design documents, pirformance tesi documents and/or delivery and service dates; ^(rv) in sitrntions wheri Customer participation is require4 provide tirrcly input for systems

definition, detail design, and use of the softrvare system'

6.4 Customer is resplnsible foicre,atirg and maintaining itt matt€, files, tables and the like which

includes accurate data entry, accuratehe editing and overall file contol io assurE successful systems

performance.

6.5 Lustomer shall provide qualified personnel with sufficient backup to be trained to use tle Licensed

Software and to interpret it. output. Applyrng the ou$ut information in Customer'c environment is

Customer's sole responsibilitY.6.6 In situations where Customer believes that the New World personnel provided

_are not. qualificd,

Cuetomer shall inform the New lYorld Professional Services Manager anilor the New- World Vice

president of Operatio* in writing (or via email) to include some rcason for their dissatisfaction'

possible remedies are replacemlni of the New Wortd person providing the sewice and/or

supplementing 6re p".ro" iroviding ttre training with anothei tainer' If a supplomental person is

added by xew Woia, Coiomer r-nuU ooty paifor onc person unless oth€rwise agreed upon by the

parties.

BILUNG AND ADDITIONAL AUTTTOREED USER CHARGES,t.l The attached Exhibits set forth the mannei in which fees and payments shall be allocated and made

under this Agreement. Past due amounts are subject to a service charge of l-5o/o per monttr, wtrich

charge Custora, ug*"* to pay. To the eitent C'ustoner inposes addrtional requirements on New

\ilorld for services other thau those expressly provided in this ,l,greement, New Wortd retains t]le

right to make additional price adjustments *dlor uny othel adjujtments that may be necessitated'

Before p".forming the*" fiaitioout sorvices, New Woild will notifo Customer that the services are

zubject to additional charge(s).

7.2 lf Customer wishis to aia'iaoitonat Authorized Users or Liceosed Standard Software beyond those

specified on Exhibit A Customer agrees to pay the- additional License fees at the discount rate

established in Bxr,iuit e. ssMA rees iuarue iror*"d according 0o the upgraded Licensed Software

fees on the nu*t *oJUiffing aate after the additional Licensed StanAara softqrare is added' With said

payments, the liconso provided in Sedion flJaragrapn 1.0 permits Customer's use of the Licensed

Softwarc for the specifred number of Authorized Users'

7.3 customer rnarr iotiii xutr *orfA if aaditionat Authorized Users need to be added io acccss thc

Licensed Sonwar"-u# *iff pay the additional Authorized User fces prooptty when invoiced'

7.0

CONFIDENTIALPage 4 of30NwS Agreeocnt 091106 -fiurl.doc County of Kane' IL

. I rl rlr' I

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r

8.0

7 .4 Any taxes or fees imposed from the course of this Agreement arc th€ responsibility of the Customer

and Cuctomer agreJs !o rcmit whcn imposcd. If an cxernption is claimed by the Customer, an

exemption certifioate must be submitted to New rilorld.

N O N-RE CRUIT ME NT OF PERSONNEL8.1 During the term of this Agreement and for trventy-foru (24) months thereafter, cach party agrees not

to solicit current or fornrer employees of the other without the other's prior written consent.

CONFIDENTUL INFORMATION / NON.DISCLOSURE AGREEMENT9.1 Subject to the requiremenb of the Statc of Illinois Frcedom of Infonrntion Act (FOIA) and/or other

cornparable applicable state law, each party shall hold all Conlidential Information in uust and

confidcnce for the party claiming confidentiality and not use such Confidential Information other than

for the benefit of ttrat party. Thi other party agrees not to disclose any such Confidential Information,

by publication or othirwiie, to any otler p"rroo or organization. Customer agrees to timcly notifyNew World of any request(s) made for disclosure of confidential information.

9.2 Customer hereby acknowledges and agrees that alt Licensed Products are Confidential Information

and proprietary io X"* Woila. n adAition to the other restrictions set forth elsewhere in this

Agreement or otherwise agreed to in writing Customer agrees to implemeut all reasonable.measiures

to safeguard New World'c proprietary rights in the Licensed Products, including without limitation the

following measures:(i) Customer shall only permit access to the Licensed Products to those employees, agencies,

authorizcd agenr of the County, component units and temporary employccs who require

access ("Authorized Users") and only to the extent necessary to perfiorm Customer's

internal processing needs.(ii) With reipect to agents or third parties, Customer shall permit access to the Licensed

Products only afteiNew rilorld has received approved and returned a fully executed Non-

Disclosue Agreement to Customer (see Exhibit D). New World rescryes the right to

reasonably r"fuse ac""ss to a third party after it has evaluatcd the request. Curtomeragr€es to provide information reasonably requested by New World to assist New World inevaluating Customer's request to permit third party access to the Licensed Products. [n

addition ti any other remedi"r, New Wortd may recover tom Customer all damages and

legal fees incurred in the enforcement ofthis provision on third party access;

(iii) Cistomer shall cooperate with New World in the enforcement of the conditions set forth

in the attached Non-bisclosure Agreement or any other reasouable restictions New Worldmay specifu in writing in order to permit access;

(ir) Customer-shall not lermit r.moval of copyright or confidentiality labels or notifications

from its proprietary materials; and(v) Customer rnil nit attempt to disassemble, decompile or revefiie eogineer the Licensed

Software.9.3 Both Customer and New World agreee that in addition to any other remedies that may be available at

law, equity or otherwise, the otheiparty shall be entitled to seek and obtain a temporary restraining

order, injunctive relief, or other equitaUte relief against the continuance of a breach or threatened

breach oithis paragraph 9.0 on Coniidentiality and Non-Disclosure without the requirement of posting

a bond or proof of injury as a condition for fte relief sought.

CONFIDENTIALPage 5 of30

9.0

IO.O UMITANON OF I,IABILITY AND RECOTERABLE DAMAGESNew World,c entire liability and Customer's exclusive remedies are set forth below:

10'l For any claim relating to the non-conformance or imperfection of any licensed software provided

under this Agreementl New World will conect the defect so that it couforms to the wananties set

forth in Section II, subparagraph 4.1; or if after repsated attempts to correct the non-conformity, New

Wortd is unable to correct the non+onformity, then Customer may recover its actual damages subject

to the timits set forth in subparagraph 10.2 bilow. For any other claim arising undcl or in connection

with this Agreement, Cusiomer may recover its actual damages subject to the limits set forth in

subparagraph I 0.2 below.

l\IwS Agrecmcnt 091106 - fnel.doc County of Kane' IL

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10.2 New World's liability for damages, rcgnrrdless of form of lctioq is limited to-the recovery of direct

dqmnges up to I .5 times the Exhibit A iicensed Standard Softuare fees paid to New World'

10.3 In no event shall New lyorld * fi$fc foi any damages relating to Customer'c failwe to perforrr its

responsibilities or for loss of use, ,"r"o* ot ptonfs,l, fo1 aoy inciaental or -consequential

damages'

even if New World has been advisJ of ttre possiblHty of such damages- lf it js detErmined that a

limiration of liability or a remedy contained herein fails of its essential pupose' then the parties agree

that the exclusion oiincia*tul and/or consequential damages is still effective.

II.O NTEGMTION WITH U,S, COPYNGHTACTI l.l In addition to all other provisions provided under this Agreement, Cuctomer agrees to be borurd by

and to compiy;th any aod all piovisions of the U.S. -Copy"eht Act (!p Copyight Act of 1976'

(J.S.C. Sections l0l-810 (1976) as iiiia"O 16 a proviiion-of the U'S' Copynght Act and this

Agreement conflict, the more ,"rt iJire of ttt t*o applies. If it canmt be determined which is the

morerestictive,thentheprovisionwithinthisAgrecmentshallapply.

I 2.0 INDEPENDENT CONTRACTORl2.l New World is an independent conhactor. Thc personnel of one party shall not in any way be

considered "g;"tr

,a"dloyees of the other. To the cxtent providedfor by law, each party shall be

responsible for the acts of its own employees'

12.2 Each party rnuffu ,"rponsible for dorkers' Compensation cov€rage for its own personnel'

r3.0 INSUMNCE REQUIREMENTSNew World shall not comm€ncc work under this Agreement until it has obtained the insurance required

under this PamSaPh.l3.l Workers, Comoensatron Insurance: New lVorld shall procure and maintain during the term of this

Agreement, Worters' Compensatioi Insumnce for all ofits employees who engage in the work to be

performed.13.2 Liability and Propertv Insurance - qg4,pleheqslve Forq: New world shall procure and rnaintain

during the term of this Agreement,@amage Insurang€ lo-1lamount not less

than $1,000,066 on account for each accident; and in an-amount not less than $1,000,000 for each

accident for damage to Pro'PertY.13.3 Autosobile Lirbilitv Insur|nce: New World shall procure and maintain during the term of this

Agreement, Hired and Non-Ovmctship Motor Vehicl. Pg9ity Injury an! ro?"tty Damage Insurance

in an amount not less than $600,00dfo, ial*ies, includini actialnrat -&ath"

to each person; and'

subject to the same limit for r""r, p*", i" "i ".o-t not leis than $5fi),000 for each accident; and in

an amount not less than $600,000 on account for each accident for damage to prop€rty' prwided

frowerrer tnai*r".ornbio"d single limiifor all automotive related claims shall not exceed $1,000,000'

I4,O DISPWE RESOLUNON PROCEDURE

14.1 Except for matters which relate to prompt payment, or- which are enforccable by injunction and/or

other equitable remedies, o, -" i"lut"d io -the

employee, conlidentiality and/or nondisclosure

paragraphs (paragaph 9.0 and its sriuparagraphs thgrein),.ag dispute.or ".oo1o-rTl

*sing out of or

iehttgto tfrs {reement, or breach ther€of, shall be settled by the following procedure'

Level l: Before entering into Levei i or Level 3 of this Dispute Resolution Procedure (DRP)' the

customer shall enter into a series of management mietings for the purpose of resolving thc

dispute or conffov€rsy td"gh normal blrsiness mana[emen1 practices' The series of

.""iingr, consisting if *t 6rr than three face-to-face meetings, must be held between

upper-level managerc of both customer and New world. Bottr parties agpe !o put forth

their best efforts in these meetings. The first mecting shall-be l"I q customer'e offices

and subsequent meetings,*ilt attir*te between New\ilorld and Customer's offices' The

Level I period shall U"gio rnUen on€ palty gives notice to the other by certified mail that it

is entering into this Level I procedure to resolve the dispute'

Level2: o.rv "rui

the parties r,ur" "o.pr"t"d

Level I olthe DRP withoot resolving the dispute or

"""i"""*y uni Uufo."

"n1"ffiioio l*vcl I of the DRP, the Customer^ and New World

*t^ti"ot".Lto a mediation prol"rr. The mediation process is defined as follows:

CONFIDEI{TIALPage 6 of30

NIVS Agreement (D1106 - f,oal.docCounty of Kane' IL

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The parti* slull selecl a mutually agreuble mediator from the Americon

Arbitration Association lists or any other agreeable list to aid the parties in

resolvlng the dlspute or contoversy. The mediator shall not be an employee or

former imptoyee-ofeitho parly. Tlrcfirst meeting shall be held in Northern lllinois.-At

the meitings, each party mry present naterials and/or arguments to the mediator.

Lcvel 3: Only after the corpletioo of Uoth I*vels I and 2 above without a satisfactory resolutior ofthe iispute or *otoveoy, either party may bring suit in a U.S. Distict Court, Northern

Districi of Illinois. The-trial shait be held without a jury, which after consulting with

counsel of its choice, each party hereby'knowingly and voluntarily waives. Each party shall

bear thc cost of thcir own lcgal experuies if Level 3 is used'

I5.O TBRMINATIONI 5. I Bv Customer: If New World fails to provide the Licensed Software as warranted in accordance with

tt e, te-r.s .f Ois Agreement or fails tofulfill its responsibilities, Customer rnay at its option teminate

this Agreement with ninety (90) days written notice as follows:(i)- Tte termination notice shall provide a detailed description (with examples) of any wartanty

defects claimed or failed responsibilities;(i0 New World shall have ninity (SO) days from receipt of said notice to correct any warranty-

defects or deficiencies in its feribnnanie ofits responsibilities in order to satisfy the terrrs ofthis Agreemert;

(iii) Durinf the ninety (90) day oure period, Customer shall apply sound managcment practices

and use its bcst efforts to resolve any iisues or obstacles - including cooperating with New

\ilorld and reassigning petsonnel if nlcessary to improve the working relationship;

(iv) At the end of otai tSOi days unless thi termination has been revoked in writing by

Customer, the Agreement ierminates'

lS.Z nv Uew Woria: IiCustimer fails to make prompt paymflts for Licensed Software to New World

when invoifii-as provided in this Agreemint, or lf Customer fails to fulfiU its responsibilities

outlined in Section'Il, Paragraph 6.0, then New World may at its option terminate tlris Agreement

with written notice as follows;(i) The termination noticc shall define the reason for termination;

firl If the cited reason for termination is Customerts failure to make prompt paymenl Curtomer

shall have sixty (60) days from recetpt of said notice to make payment in full for all

outstanding invoiced payments due:

(iii) tf Ure citJd reason foi termination is Customer's failure to fulfill its responsibilities,

Customer shall have nincty (90) days from receipt of said notic€ to correct 8ay actual

deficiencies in order to satisfy the terms ofthis Agreement;(iv) During the applicable .*r p!.ioa, New \ilortd t"it1 ur" sound management practices and its

besr e-fforts to'resotve any issues or obstacles - including cooperating with the customer and

reassigrring personnel if necessary to improve the working relationship;

(v) At the end of the applicable cure perioqunfess the temrination has been revoked in writing by

New World, the Agreement terminates'

15.3 tn the eveni oii"riirutlon"by either party, New World_shall continue to provide its services, as

previously scheduled, through Orc termination dare and the Customer shall continue to pay all fees and

it arges incurrea through thJtermination date as provided inlhe artached Exhibits'

15.4 Upoi termination under subparagraph 15.2, as itiesults solely on failure to pay, Customer shall return

to New World all copies oT iach application of Licensed Software and related Licensed

Documenhtion provided to Customer under this Agreement'

15.5 Nothing in tfris 'paragrapn on termination is intendid to infer that either party has or does not have a

claim for damages.15.6 The Terms and conditiOns relating to ownership, warranties, non-recruitment of personnel,

- confidentiality and non-disclosure, Hfiitation of liability and recoverable damages, Copyriglt Act,

dispute ,"rol,itioo and the Ceneral provisions (18.0), survive termination.

CONFIDENIIALPage 7 of30IYIWS Agr€enrcot 0!rU06 - find.doc County of Krne' IL

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16.0 PATENT AND TMDEIULARK INDEMMFICATIONNew World agrees to indemniry, defend, and save the Customer hamrless Aom and against any and alljudgments, suits, costs, attomeys fees, and expens€s resulting from any alleged infringemcnt of any

traderrark, patcnt or copyriCht arising from the liccnsing of 0re Licenscd Standard Softwre pursuant to this

Agreement, provided that Cuctomer has notified New World in writing of such allegation within thirty (30)

days of the date upon which the Customer first receives notice thereof. New World's obligation toindemniff, defend against, and save Customer hamrless under this paragraph is void if the claim ofinfringement arises out of or in connection with any modification made to the Licensed Standard Software or

any use of the Licensed Slandard Software not specifically authorized in writing by New World,

I7,O NOTICESl7.l Notices to Customer shall be deemcd effective when sent by Registered or Certified U.S' Mail to the

following address:Cheryl PattelliFinance DirectorCounty of Kane

. 719 Batavia AvenueGcneva, IL 60134

17.2 Notices to New World shall be deemed effective when scnt by Registered or Certified U'S. Mail to the

following address (or to any other address so specified by New World):New World Systems Corporation888 West Big B€aver, Suite 600Troy, Michigan 48084Attention: Prcsident

I8.O GENEML18.1 This Agreement is the entire agreement b€tween tlre parties superseding all other coltmunications,

written or oral, between the partils relating to the subject matter of this Agreement. This Agreement

18.2

18.3

18.4

18.5

may be amended or modified only ln wrtdrrg rigled by both partiee.this Agreement is governed by the laws o}ttre State of lllinois and it shall be binding on the

succ€ssots and assigns ofthe parties.

Failure to enforce any provision of this Agreement shalt not be deemed a waiver of that provision or

any other provision of this Agreement.No actior\ regardless of form, arising out of the ssvices performed or Licensed Producrc delivered

hereunder, uray b€ brought by either party, after the time proviaca in aocordance with Iilinois law end

after the causj of action ha"-o"*rr"d eicept that an action for non-paym€nt of fces may be brought

within one (l) year of the date thc payment was due.

ffre paragraph t""airrgs which apffi herein arc inctuded solely for convenience and shall not be used

in tUi interpi'cation oittris Agrcement. Any provision of this Agreement detrermined to be invalid or

otherwise unenforceable shal-i not affect ttre other provisions, which other provisions remain in full

force and effect.In those situatiors where Customer r€quests New World to provide a Performance Bond, New World

will provide a Performance Bond for tirc cost of the LicensidStandard P.m"* [sted on Exhibit A,

B, F, H, and Appendix I at Customer'e expense. The cost of thc bond will be billed to Customer and

Customer agrcis to pay p'romptly for the Psrformance Bond when invoiced'

r 8,6

CONFIDENTIALPege t of30NWSAgrceuent 091106 - flnaldoc County of Kene' IL

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EXIIIBITALrcEllisu! $IANDARII SOFIWARE AND FEES

Llcense Fee for Llcenrcd Stendrrd Softwerc :

FINANCIAL MANAGEMENTl. LogorNET Financial lllanagement Base Sultc

- General Lcdger- Budget Management- Annual Budgct Preparation- Accounts Payable Module- Revenue/Cash ReceiptingLogos.ItlET Additionel Financlel lVlanagement Software- Asset Management- Grant Management- Project Accounting- Misc. Billing & Receivables- Bank Reconciliation- Finanoial Repon WritcraLogor.NET Procurement Management Sulte- Purchasing Base- Requisition Processing- Bid & Qus16 l\a[nnagement

- Conhact

pAyBoLL -&,rruMAll REsouRcEs SUITEd Logos.NET Human Resources Management Base Suite

- Payroll Processing- Personnel Management

5. Logos.NET Benefits Management- Benefi ts Administration- COBRA Billing Administration

6. Logos.NET Additlonal Payroll & HR Modulet- Applicant Tracking- Position Budgeting- Position Control- Time & Attendance/Kronos Interface5

s130,000

14,00014,00014,00014,0009,0009,000

31,00014,000t4,00014,000

15,00015,000

20,00020,00020,00016,00018,000

70,000

CONFIDENTIALPage 9 of30I\N[S Agrocmcnt 001106 - fiDrldoc County of Kaner IL

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l.(x;()s.\l l s l \\l) \lll) \l'l'l.l( ,\ I l()\ s()l:'l \\.\lll'.r'r'.'

SUB.TOTALPAYROLL/HUMANRESOURCESMODULES 194.OOO

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GSUITE7, esulte Base Software8. eFinance

- eSupplier+- eBid*

9. elIR- cPersonal- ePayroll- cTimcsheets- eBenefits Administration- eRecruit

AUTHORIZED USERS

10. Site Licensc for up to 5fi) Authorized Users 6

* Denotes software to be released withiu 12 months

NEW WORLD STANDARD SOFTWARE LICENSE FEE

LESS: Demonstration Site Discount

3l,o0o

12,00012,000

626,000

(143,980)

20,00020,00020,00020,00020,000

Note;

Note:

A Site License is included for this solution. This Site License entitles Kane County to 500

Authorized Users for the Standard Software licensed in Exhibit A. The Site License is

available to only the affiliated Public Administation agencies and component units that are

part of Kane County, lllinois.

New World will allow Customer the ability to test the security provisions of eSuite forninety (90) days from delivery of the eSuite software. If Customer believcs the security is

not sufficienf they must document the reasons to New \torld in writing aod provide New

World a sixty (60) day cure period. lf New World camot cure the documented reasons to

Customer's satisfaction, Customer may notify New World in writing that they want the

eSuite Standard Softvrare to be removed from the Licensed Standard Software license. Ifthe esuite Licensed Standaxd Software is removed, any amounts paid by Cuctomer will be

crediled to Customer's next annual SSMA invoice.

Licensed Standard Software to be supplied for "Go Live" shall be at release level 5'0 or the

release which is current at the time of "Go Live."

CONFIDENTIALPage I0 of30II]WS A$cement 091llb - find.doc County of Kene' IL

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TOTAL SOFTWARE LICENSE FEE ;., $482,020

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Exhibit A / LICENSED STANDARD SOFTWARE AND FEES

ENDNOTES

' Personol Computers must meet the niilimum htdware requirementslor New World Systems'Lagos.NETproduct. Microsofi Windows 2000 or lfindows0tP with IE 6.0 ore the required operating systems/or all clientmachines. Windows 2003 Server is requiredfor the Application Server(s), lYeb Server(s) and DatabaseSenter- SQL Server 2000 is reqairedfor the Datqbase Seryer,

' New World Slsterus Logos.NET product reqltires Microsofi Windows 2003 Server and SQL Server 2000including required Client Access Licenses (CAl,s)for applicable Microsofi products, Sertters must meetminimum hardware requirements provided by Nevrt World Systems.

3 Suggested minimum: lhLIuIB Ethernet Network. t LMB CATS Ethernet Network moy have less than adequateresponse time. Further consultation would be required lo assess your network.

a Requires a Third Party writing tool. Nw World recommends Crystal Reports 8.5 or greater, included in

Section C. Howanr, several other tools may be utilized that support an ODBC conneclion.

5 Kronos Time &Attendance interface is a one-way interface. Additionat support mqy berequiredfor Kronos

changan; not included in SSMA.

6 Additional cost per group of5 Authorked (Jsers is $5,000.

7 Prices assume that all software proposed is licensed,

u Any taxes or fees imposed are the respowibitity of the purchaser and will be remitted when imposed.

CONFIDENTIALPage 11 of30IYWS Agreement (D1106 - flnrl.doc County of Kano, IL

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Exh|bitA / LICENSED STANDARD SOF-TWARE AFID FEES

License Fee Pavment Schedule for Llcensod Strndard Software and Documentatlon

a) DOWNPAYMENT20% of the total cost of Exhibit A modules

[lnvoiced upon delivery of Standard Software.]

b) PAYMENTTWO30% of the total cost of Exhibit A modules

flnvoiced 60 days from delivery ofsiandard Software]

c) PAYMENT THREE30% ofthe total cost ofExhibit A modules

finvoiced 220 days from delivery ofStandard Software]

d) FINAI- PAYMENT20% of thc total cost of Exhibit A modules

[Invoiced 330 days from delivery ofStandard Software]

$961M

$ltgr606

$144,606

$96,404

TOTAL LTCENSED STATTDARD SOFTWARE PAYMENTS DUE............................$1S2p2A

ALL PAYMENTS ARE DIIE WTTHIN THIRTY (30) DAYS FROM RECETPT OF rI\ryOICE

COI{FIDENTIALPage 12 of30hNt/S Agr€enrent lX,U06 - fiErl.doc County of Kane, IL

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EXIIIBIT BPROJECT MANAGEMENT. INSTALLATION AND

l. Proiect Manaqement Servicer

New World shall act as Project Manager to assist Customer's managem€nt in implementing tbe Exhibit Asoftware. This responsibility will include documeuting, coordinating and managing tha overall Implementation Plan

with Customer'r management and the Customer Liaison. Project Management Services includc:

a) KickoffMeeting: targeted to take place within four (4) weeks of this Agreement beingexecuted by both parties.

b) a summary level lmplementation Plan;c) a detail level Implementation Plan;d) revised Implementation Plans (if reqututd);e) monthly project status reports; and

D project status meetingsr a project review ftickoff) meeting at Customer's location. progress status meeting(s) will oocur druing implementation via telephone confer€nce or at

Customertg location; andr a project close-out meetiug at Customer's location to conclude the project.

To implement the Exhibit A applications, the Project Management fee will be $ZL09L

2, Imolementation and Trainins Suouort Hours Recommended

It is recommended that appropriate support hours are allocatcd for all License Standard Softrrare listed in Exhibit Ato insure successful implementation of and taining on each application package. Based on the Licensed StrndardSoftware listed on Exhibit A,.I1!Q0 hours of New World implementation and training support services have been

allocated. Avoiding or minimizing custom or modified featrues witl aid in keeping the support costs to the amountallocated. Customer agrees to reimburse New World for support trips canceled by Customer less than ten (10)

days before the scheduled start date to cover New World's out-of-pocket costs and lost l€venues. The

recommended implementation and training support services include;

a) implementation of each package of Licerued Standard Software; andb) Customer training and/or assistance in testing for each package of Licensed Standard Software.

The project msnagement, implementation and training support services are performed at Cuctomer's premiscs

and/or at New \ilorld national headquarters in Troy, Michigan (e.g., portions of project management are performed

in Troy).

3. Interfrce Instrllation Service Fecs

A flat rate fee is charged for the installation of selected interfaces on Exhibit A. This fee does not include hardware

and/or third party product costs. Whenever possible, this work will be donc remotely, resulting in savings in taveloosts. If on-site installation and training is required, Customer will bc responsible for the actual travel costs'

Installation includes the following interfaccs with thcse corresponding fees.

a) Bank Reconciliation $5,000

TOTAL TNTERFACE TNSTALT,ATTON SERVICE FEES........ --.-.--$!eru

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Exhlblt B /PROJECT MAI{AGEMENT,INSTALIIITION AND TRNNING SUPPORT SERVICES ANDFEES

4. Other Ingtatlstion Service Fees

A flat rate fee is charged for quality altsurance of the Customer's existing .Net Serve(s). This fec does not includehardware and/or third-parly product costs. Whencver possible, this work will be done remotely, resulting in savings

in travel costs. If an on-site installation review is required, Customer will be responsible for the actual travel costs.

a) Hardware Quality Assurance Fee

TOTAL QUALITY ASSURANCE SERYICE FEES

s7,000

$zJ)00

5. Suooort Servlce Fees Ertimate

The L3@ hours ofinstallation and training support serviccs cost has been calculated usrng a ratc ofSI$ pcr hour.Additional services are also available at the rate of $145 per hour. This rate is protected for one year from the date

New World executes this Agrccment. After one year, Curtomer shall pay the thcn-currcnt hourly rate for allExhibit B support scrvices rendcred.

Based on the services suggested above, the Project Management, lnstallation and Training Support Services,Interface Installation Services and Quality Assuance Seryices costs will b€ a total of $25{,9@. (Plus all actual and

reasonable ffavel expenses incwred by New World divided pro,portionately betwecn all New World customcrg

visitcd on a single tip and actual employee travel time for Installation and Training up to but not exceeding four (4)

hours per Customer visit.)

6. Additional Services Available

Other New World services may be required or requested for the following:

a) additional softvare training;b) tailoring of Licensed Standard Software by New \ilorld technical staffand/or consultation with

New World &chnical staff;c) New World consultation with other vendors or third parties;

d) modifying the Licensed Standard Software;e) designing and programming custom software; and

0 mainaining modifred Licensed Standard Software and/or custom software.

Customer may request thesc additional services in writing using New lVorld's Rcquest For Service (RFS)procedure (or other appropriate procedures mutually agreed upon by Customer and New World).

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Erhibtt B / PRO.IECT IUANAGEMENT,INSTALIITTION AND TRAINING SUPPORT SERYICES ANDFEF"S

7, Pavments for Prolect Manaeement Services

Project Management Services will be billed as follows:

a) Upon Agreement executionb) Upon completion of a detailed Implementation Planc) Upon Go-Live ofFinance Base Package, or

nine (9) months from Agreement execution whichever comes Iirstd) Upon Go.Live of Payroll Base Package, or

twelve (12) months from Agrecment execution whichever comes firste) Upon Go-Live of Human Resourccs Base Package, or

a) 50% of the total amount is due upon Agreement being signedb) 50% ofeach Intcrface.amount is duc upon conrplction ofths individual

$14,fi)014,00014,000

14,000

14,000fifteen (15) months from Agreement execution whichever comcs first

TOTAL PROJECT MANAGEMENT SERVrCESFEE........ ...................$Z@0

8. Psvments for Interface Installation Servics?s

Interface Installation Services will be billed as follows:

$2,5002,500

installation

TOTAL TNTERFACE INSTALLATION SERVTCES FEE........ ................$EJl00

9. Pavments for Other Installation Serviq-e,!

Hardware Quality Assurance Services will be billed as follows:

a) 50% of the total amount is due upon Agreement being sigred $3,500b) 50% of the total amount is due upon completion of Quality Assurance $3,500

TOTAL HARDWARE QUALrry ASSURANCE SERYICES F88................................$zJl!10

10. Pavments for InEtallatlon and Tralnine Suonort S€rvlces and Travel Costs

All hours for installation and training support services and all tavel costs will be billed wcekly for services provided

in the previous calendar week.

Note: Any taxes imposed from the p6urss sf .his Agreement are the responsibility of thc Customer and Customeraglees to remit when imposcd. If an exemption is claimed by the Curtomer, an excmption certificate must be

submitted to New World.

ALL PAYMENTS AREDUE WITIIIN THIRTY (30) DAYS FROM R-ECETP/I OF INVOICE

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EXHIBITCSTAIIDARD SOFTWARE MAINTENAI\CE AGREEMENT

This Standard Softqxare Maintenance Agrcement (SSMA) bctweeu New World Systems Corporadon (NewWorld) and County of Kane, trIluoig (Curtomer) sets forth the standard software maintenaoce support senicesprovidedby New World.

1. Warrantv Period and Service Period

The warranty period shall begiu on the delivery datc ofthe Licensed Standard Software and end on September 30,2007.

This SSMA shall remain in effect for a pcriod of seven (7) years beginning on October 1,2007 (the stari date) andending on the same calendar dats seven (7) years after the start date.

2. Services Included

The following services or featurcs are available under this SSMA:

a) upgrades, including new releases, to tho Licensed Standard Software furior releases ofLicensedStandsrd Software application packages are supported no longer than fifteea (15) months after anew release is announced by New World);

b) temporary fixes to Licensed Standard Software (see paragraph 6 below);

c) revisions to Licensed Documentation;

d) reasonable tel€phon€ support for Licensed Standard Software on Monday through Friday from8:00 am. to 8:00 p.m. (Eastern Time Zone); and

e) invihtion to and participation in user group meetings.

Items a, b, and c above will be distributed to Customer on appropriate media or other means.

Additional support services are available as requested by Cuctomer usiag the then-current houdy rates or ap,plicablefees. Exhibit B has a description of support services available.

New Wortd repr€sents to Customer that the Licensed Standard Softrrare is in compliance with applicable federal

and state regulations and New World shall maintain the Licensed Standard Software in compliance with applicablefederal and stats regulations. All subsequent applicable federal and state statutory or regulatory requirements shallbe addressed in the Licensed Standard Software and delivered to Customer, by way of upgrades or new releases, ina manner that Customer shall be in timcly compliance with such statutes and regulations.

CONFIDENTIALPege 16 of30hllYS Agreement 091106 - final.doc County of Kane' IL

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Exhlbtt C / STANDARD SOFTwARE MAINTENANCE AGREEMEIIT

3. Maintenance for Modilied Licensed Standrrd Softwareand Su$tom Software

Customer ls advlscd thst if lt reqrcrtr or mrker chenger or modilicationc to the Llcenced Strndard Softwere'them changcr or mo'dllicadonc (no matter who makec them) makc the nodlfted Llcencod Standrrd Softweremore dlfllcult to malntaln. If New World agrees to provido maintenance support for Custom Software orLicensed Strandard Software modified at Curtomer'r request, or for prior releascs of New World'c softwart, thcnthe additional New Wortd maintenance or support scrviccs provided shall be billed at the then-current Exhibit Bhourly fees plus reasonable exp€nses.

4, Billine

Maintenance costs will be billed annually, beginning on Octobet 1,2007, and on the same day each year thereafterfor the term of the SSMA (Any Exhibit B support or service hours and tavel costs incurred are billed weekly forthe previous calendar week.)

5. Addltlons and Removal of Software to Mrlntenance AsJeement

Additional Licensed Standard Software licensed from New World will be addcd to the SSMA ninety (90) days afterit is delivered to Customer's location. Costs for the maintenance for the additional software will be billed toCustomer on a pro rata basis for the remainder of the maintenance year and on a full ycar basis thereafter. Asremovals are confumed in writing, costs for the renroval of Licensed Stadard Software will be reduced on I prorata basis for the remainder of the maintenance year and on a full year basis thereafter.

6. Reouests for Software Correctlon on Licensed Strndard Software

At a$y timc during the warranty period or during the SSMA pcrioq if Customer belicves that the LicensedSbndard Softwarc does not conform to the currcnt specifications set forth in the user manuals, Customer mustnotify New World in writing tbat there is a claimed defect aud specifu which feature and/or report it believes to bedefective. Before any notice is sent to New World, it must be rcviswod and approved by the Customer Liaison.Documented examples of the claimed defect must accompany each notice. New rilorld will review the documentednotice and when a feature or report does not conform to the publishcd spccifications, New World will providcsoftware correction service at no charge. (See paragraph 4.0 of the General Terms and Conditions of thisAgreement for the New Wodd warranties provided). A non-warranty request is handled as a billable Request ForService (RFS) (see Exhibit B),

The no-charge software correction service does not apply to any of the following:

a) sihrations where the Licensed Standard Software has been changed by anyone othsr than NewWorld personnel;

b) sifuations where Custom€r's use or operations error causes incorrect inforrration or reports to begenerated; and

c) requests that go beyond the scope of the specifications sct forth in the current User Manuals,

COIYFIDENTIALPage l7 of30I\IWS Agreement (Dllll6 - flnrldoc County of Kene, IL

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Exhibit C/ STAIYDARI} SOFTWARE MAINTENAITCE AGREEMENT

7, Maintensnce Costs for Licensed Standard Softwere Packrsep C.gver"g4 for .NET Server{s)

New World agrees to provide software maintenance st thc costs listed belowLicensed Sundard Software packagos installed at Customerrr location:

Aoolication Packeqesl) Logos.NET Financiat Management Base Suitc2) Logos.NET Additional Financial Management Software3) Logos.NET Procurement Management Suits4) t ogos.NET Human Rcsourccs Managemcnt Base Suite5) Logos.NET Bcncfits Management6) Logos.NET Additional Payroll & HR Modules7) eSuite Base Software8) eFinance9) eHRl0) Site License for up to 500 Authorized Users

NEW WORLD LICENSED STANDARD SOFTWARE LIST COST

Annual Maintenance Cost (7-Year Plan. Bllled AnnualM

for the following New lYorld

Number of Mqdules5

64225

I25

nla

$@,0@

Waxranty PoriodYear IYear2Year 3Year4Year 5

Year 6Year 7

End Date: September 30, 20Q7$73,900

$100,160$106,420,$l12,680$l18,940$tzs200$ 131,460

Note: for years 8 through 10, the SSMA cost shall be priced not to exceed 5% over the prior year.

ALL PAYMENTS ARE DUE WITHIN THIRTY (30) DAYS FROM RECETPT OF INVOICE

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F)UIIBITD_ _ IY:EI yYORLp SySTBMS.9ORPoRATON

r,tox-orscLosuRn aNu sncuRrry@ pARTrrs

This Agreement, when acc€lled and executed by New World, graots the undersiped thc permisrion to uso ard/or have limitedacccss to cerain New World Sy:temro Corporadon (New World) proprietary and/or coonacntiut infomration.

Installed At: Countv of KrneCustomer Nane

Authorized Signature of Custom€r:

Located At 719 Betevle AvenueGeneve, Illinols 60134

Name @leasc Print or Typc) Title Signahre

In cxchange for tho permission to use or have access to New World proprictary and/or confidential infonnation, includingwittrout limitation, New Wortd goftware and,/or documentation, the organization

"rrd individual whosc names appear belowl

&grcc to the following:

7, No copies in any form will be made of New Vforld proprictary or confidontial information without the expressed writtcnconsent of New world's Prcsident including without limitatiofl, the following:

Program Libraries, whother sourcc code or object code;Operating Conuol t anguage;Test or Sample Files;Program Listings;Record layouts;All.writtcn confidential orproprietary information originating from New World including witlroutIimihtioa, documentation, guch as usermanuals and/or Bystem manuals; and/orAll New world Product Bulletins and/or other New world Product related materials.

2. New lilorld software, New World documentation, or other proprietary or confidcntial information shall not be used forany purposc other than processing the records ofthe Customer identified above as permitted in firo Customer,c StandardSoftware Llcense ud Services Agreement with New World.

a)b)c)d)e)

D

8)

The undersiqrcd agree(s) that this Agrcemcnt m8y be onforccd by injrurction in addition to any other appropriateremodies available to New VYorld. tf it is deiermined thst the money damages caused by the uadirsigncd'sfailure tocomply with the foregoing terms are difficult to ascertain, they are hercby estimated at liqui-datcd damag* of no less thanthree times ttre then-current Liceuse Fees for the Licens€ Software provided to Cuetoner uodcr thc Standod SofiwareLicense and Seryice AgreenentbhttecnCustomer Etrd New Wor{d.

Agreed ond Accepted by Third Party (Orgsoizotion) Agreed and Accepted by Third Party (Individrral)

Organization:

BytBy;

Title:

Dete:

Titlcl

Date:

By:

Title:

Date:

CONFIDENTIALPrge 19 of30llWS Agreement (D1106 - trnd.doc County of Kane, IL

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EXIIIBIT EpEMONSTRATTON SITE DTSCOUNT

New World has provided Customer a significant discount in exchange for the privilege of using Cuetomer's sitefor demonshation purposes. Accordingl5 after the Licensed Software has been delivered aud installed, Customeragrees to act as a demonshation site for prospectivo New World customers. Customer also agrees to serve as areference or remote demonshation sitc on the telephone for prospective New World customsrs. By agreeing to be ademonstration site, Customer is not necessarily endorsing the New World software and Customer will not activelyparticipate in any type of marketing and advertising campaign for or on behalf of New Wortd,

Demonstrations will be coordinated with the appropriate Customer personnel and will be scheduled to minimize theintemrption to Custom€r's operations. New World will provide Customer rcasonable notice for preparation andno more than four (4) demonstations shall be scheduled in any l2-month period unless otherwise mutually agreedupon by both parties.

CONFIDENTIALPage 20 of30lflWS Agr.rmcot 0!1t105 - finel.doc County of Kane, IL

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EXHIBITFDATA FILE COI\MERTiION ASSISTANCE

New World will provide conversion assistance to Customer to help convert the existing data files spccified below.If additional files are ideutified after Agreement execution, estimates will be provided to Customer prior to NewWorld beginning work on those newly identified files.

General

l. This conversion effort includes data coming fiom one unique databasc or sourcc, not multiple sources.

2. No data cleansing, consolidation of records, or editing of data will be part of thc data conversion effort.Any data cleansing, removal of duplicate records, or editing must take place by Customer prior toproviding the data to New World.

New World Resoonsibilities

l. New World will provide the data conversion programs to convert Customers data from a single datasourc€ to the New World Licensed Standard Software for the specified files that contain 500 or morerecords.

2. New World will provide Customer up to 2 test sets of the converted daa. Additional test sets r€questedmaylwill require additional conversion costs.

3. As provided in the approved project plan for convercions, New World will schedule a convercionanalysis trip and a separate data conversion testing trip to Cu$omer,s location. The conversion testinghip will be part of delivering tho conversion programs to Customer.

4, New World will create and provide Customer with a conversion design document for signoffprior tobeginning development work on the data conversion. No conversion programming by New World willcommence until Customer approves this dosument.

Customer Responsibilities

l. Up to 3 discrete data files from Customer'e current databas€ are included in this conversion. Customerwill provide a list of discrete data files with descriptions of fields or data elements in each file ,

2, Data will be submitted to New lYorld in EBCDIC or ASCII format with a fixed field, fixed record Iengthand fixed block format, with coma delimiters on the following media types; DVD, CD,3 Y2inch dish or8 mm tape.

3. Data files submitted must include an accurate count of records contained in the file. Customerunderstan& that files or tables containing less than 500 records or table entries will not bc convorted.

4. A data dictionary (data descriptors) containing all data clemenb must be providod to New rfforld foroach file submitted with the media.

5. As provided in the project plan for conversions, Customer will provide a dedicated resource in eachapplication area to focus on convcrsion mapping and testing. This includes dedicating a supportperson(s) whenever New lYorld staffis on site regarding conversions. Roughly I one to one ratio existsfor Customer commitment and the New \ilorld commitnrent Cultomer understands that thorough andtimely testing of the converted data by Customer personnol is a key part of a successful data convenion.

6. Cuctomer agrees to prorrptly review and signoff on both the conversion design documen! and on theIinal conversions after apprqrriate review

CONFIDENTIALPage 2l of30IYTWS Agrcemcrt Ulll06 . fllrl.doc County of Kene, IL

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Exhlblt F / DATA F'ILE CONYERSION ASSTSTANCE

Files to be converted:

Financlrl (From a single source)o General Ledger Tlansaction File

Payroll (From a single source)o Employee Inlormqtiono Employee Detail Check History

Customer Investment

a) DOWNPAYI\,IENT(40% - due upon execution ofAgreement)

b) ANALYSIS PAYMENT(30% - due upon delivery of conversion design document to Customer)

c) DELIVERY PAYMENT(30o/" - due upon accepbnce ofconverted dataas defined in Exhibit I)

Ecdmated Record Count500,000

Ecflmated Record Count500,000500,000

$7,200

$5,400

$5,400

TOTAL PAYMENTS DUE FOR DATA FILE COI\.YERSION (Erhibit F).................$l!&_0

Note: Where applicable, fravel costs for Nelv World employees to compleie the trsks for Exhibit F services arebilled under the provisions of Exhibit B services. AII tavel to be mutually agreed upon by Customer andNew World.

ALL PAYMENTS ARE DUE WITITTN THTRTY (30) DAYS FROM RECEIpT OF TTyVOICE

lN[SAgrecrrnt lDtl06 - 0orldocCONFIDENTIAL

Page 22 of30 County of Kene,IL

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EXHIBITGESCROW OF SOFTWARE SOITRCE CO.4p

New World stipulates that the source code for the Licensed Standard Software, togcther with the relatedDocumentation as it is or becomes available, will be deposited in an escrow account maintained at a suitable Agentpursuant to an agreement between the Agent and New World (the 'Escrow Agreement''). The one-time set-up fecwill b€ $3.000. The Annual Administative Fcc for the first 12 months after contact signing will be gt.Ooo.Subsequent year's Annual Administrative Fees will not increaso more than 5olo over the previous yiar's Fee.

New World will from time to time deposit into the escrow accounl copies of source code for Releases and Versionsof the Licensed Standard Software and related Documentation.

New World or New \[orld's trustee in bankruptcy sball authorize the Agent to make and release a copy of theapplicable deposited materials !o Cugtomer upon the occurrence of any of the following evcnts: (r) The existenceof any one or more of the following circumstanccs unconected for more than thirty (301days: entry of an order forrelief under Title l1 of the United Sates Code; the making by New \ilorld of a geueral assignment for the benefit ofcreditors; or action by New \ilorld under any state insolvency or similar law for thc purpose of its bmkruprcy,reorganization, or liquidation; unless within the specilied thirty (30) day period, New lYorld provides to Cuctorneradequate assurances, reasonably acceptable to Customer of its continuiug ability and willi"'gness to fulfill itsmaintenance obligations under this Agreemen( (ii) New World or its successor or assigns has ceased its on-goingbusiness operations or that portion of its business operations relating to the sale, licensing and maintenance of theSoftware.

In the event of release under this Agreement, Customer agrees that it will feat and preserve the deposited materialsas a tade secret of New World in accordance with generally accepted standards utilizcd to safeguard hade secretsagainst unauthorizcd use and disclosure. This means their use is for intemal processing needs only and no additionalcopies will be provided to any third parties.

IrIWS Agreerncnt 1D1106 - firrl.docCONFIDENTIAL

Page 2ii of30 County of Kane, IL

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a

EXIIIBIT HcqANcE MAN r GEMENT REVTEW AlyD PI"ANNING PROJECT

l. Scope and Purroce

The desired outcomc of this process will be a final Change Management Recommendations Documcnt (CMRD) thatwill allow the Customer to adapt existing internal p.ocesses to make befier utilization of the new softwatc solutiou.The approach to Change Management is very objective based. New World will work closely with the Customerand their managemert team to make specific recommendations. Working together, the New World projectrrumager, assiped application consultants, Customer'r projeot manager and Customerrr designated applicationowners will complete the Change Management process. The applications to be reviewed are:

a) FinancialManagement

b) Payroll and Human Resources

2. ProiectDeliverables

As part of completing the Change Management Review and Planning Process, the following items will beconsidered de liverable items :

a) Draft Change Managemenr Recommendaiions Document (CMRD)

b) Updated Summary Level Implementation plan

c) Final CMRD delivered and presented

General Chanse ttanaqemcnt Revtew rnd Plannine proces$ Timeline

a) Kickoffmeeting ..... Day I

b) krtemal rcviews completed..... ....... Day 35

c) DeliveryandpresentationofCMRD Day50

d) Customcr review and documentation of requested changes to CMRD........,,.. Day 50 to Day 75

e) New World delivery and presentation of final CMRD Day 90

0 Project implemcntation and training begins........... Day 120

IttWS Agreenent 091106 - fiorldocCONFIDENTIAL

Page 24 of30 County of Kang IL

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Erhiblt H/ CIIANGE MANAGEMENT REvIEw AND PLIINNING PROJECTPuge 2

4, New \ilorldls Rgrponslbllltles

Using a consulting staffof two to three team members including the New World project maoager, New World willperform the following:

a) Process Initiation: Conduct application intcrviews and site reviews with Customer'r managersand end users, including senior level managemenl AII applicable sites will be visited.

b) Aoolication Area Reviews: Observe existing conrputer syslcms aod related manuat procedures,including collection of existing documentation.

c) Process Reviews: Review existing Customer documentation to gain a morc thoroughunderstanding of the client's operatiorul. Documents to be rsviewed would include the following:

0 Smrcgic Plans and Mission Statements

(2) OpsratingPoliciesandProccdures

(3) ProcessiFunctional descriptions, &y handbooks or procedural manuals

(4) Worftflow documentation and flowcharts

O Employee job descriptions

(6) Statc and tocal Requirements documents relative to thc project

(7) Network diagmms and network topology

(8) Technologyplansandprocedures

(9) Organizatiooalchafls

(10) Current opcrating budget detail, purchasing plans for any related technology, etc.

d) Software Reviews: Conduct softwaro reviewVdemonshations of the proposed software withsenior managers and key users.

e) Implementation Rollout Planning: Confirrr order/timelino for implementation of applications.

D Trainine Change.llanning: Review training requiremenb with Customer's managers and./or endusers.

g) lmolementation Plan Ippact Prepare an updated summary level irnplementation plan

h) CMRD Develooment: Prepare a list of process changes and recommendations (ChangeManagement Recommendations Document or CMRD) that would be benefioial wheninplemented in conjunction with the New World software solution These recommendations willtypically be both short-term and long-term rccommendations. The short-term recomrnendationswould be those process improvements that New lYorld suggcsts should, or could, be implementedduring the initial software rollout. The more long-term recommendations may involve motpcomplex hardware, or personnel deployment decisions and will be considered for futureimplementation Dclivery of the CMRD is targeted for forty-five days from tho start ofthe ChangeManagement Review and Planning Process.

i) CMRD RevieWl Review CMRD with Customer'c managemeut team-

j) Final Publication and CMRD Presentation: Make any requested adjustnents to the CMRD andpresent to Customer's management tcam as rcquestcd.

CONFIDENTIALPage 25 of30NIVS Agreerreat (D1106 - fiud.doc County of Kang IL

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Erhlbit H / CI{ANGE MANAGEMENT REVTEWAND pLlt"I\NrNG pRoIEcrPage 3

5. CustorEer's Respondbltltv

Customer will perform the following

a) llentify a project manager and individual application change nunagers to work with New Worlddurhg the Change Management Review and planning prociss.

b) Consult with New World and prepare a mutually agreeable schedule to include participation andafiendance by key Customer staff members at mectinp, site reviews, and demonstations.

c) Respond promptly to all document requests submitted by New World and/or requests forinformation and clarification of existiag Customer methods, poticy, or procedures.

d) Following rcceipt from New World of the CMRD specified above, Customer shall have a periodof twenty-five (25) days to review the documents. Once the review is completed, Customei mayeither;

(1) issue a uritten Order to Proceed with the project utilizing the recommcnded changes,

(2) instruct New World as to any deficiencies or clarifications that Customer would like tohave New World address in the CMRD, or

(3) reject the recommcndations of the CMRD and rnove forward with a StaodsrdIrylementation of the New World Solution.

6. Comoletion Crite{ia

This task will be considered complete when the Change Management Review and planning process has beenconducted and the CMRD has been conpleted and delivcred o Cuitomer,s project menager o, it the end of the 120days whichever oocurs first. Customer and New World agree that it is muiuaily benefiJial to both parties to workquickly during this phase of the implementation proc€ss. The standard inrptemenatiotr process wlil begin at the endof the 120 day Change Management Reyiew and planning process.

7, Povment Schedute for Change Manasement Review and Plannins Proiect ls as follows;

a) DowNPAYMENT(40% - due upon execution of Agreement)

b) CMRDPAYMENT(50o/o -- due upon delivery of the initial CMRD)

$16,000

$20,000

c) FINAL PAYMENT $4,000(l0o/o - due upon delivery of final CMRD or ninety (90) days afterexecution of Agreement)

TOTALLICENSID STANDARD SOFTWARE PA.YMENTS DUE...........-.................$40JNO

ALL PAYMENTS ARE DUE WITHIN TIIIRTY (30) DAYS FROM RECEIPT OF IT,IVOICE

CONFIDENTIALPage 26 of30IYWS Agrccmcnt (Dll06 . f,neldoc County of Kane, IL

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EKHIBITJACCEPTAIICE TESTING

Each application of Licensed Software shall be deemed to have been accepted upon the successful completion ofeither Criteria I or Criteria 2 (listed below) whichever occurs first. Acceptance Tcsting is successful under eilherCritcria I or Criteria 2 unless the Liceused Software application contains a warranty defect which substantiallyiqlairs the value and Customer's use of the Licensed Software. Any claimed defects must be documenrcd inwriting as set forth in Exhibit C,

Crlterla 1:

Using Exhibit B suppod service hours, New Wortd shall assist Customer in conducting thc following softwareAcceptance Test.

Following published specifications using established procedr.ues and contols, the tcst criteria includes:

1. the successful enlering and editing of a representative sample of hansactions;2. the successful processing of a representative sarrple of file maintennnc€ ransactions for the

master file transactions; and3. the successful generation ofstandard outputreports.

Testing under Criteria I rhay be complctcd before Customer has gone "livc" on the application. If Criteria I isused, Customer agrees to provide the requisite rcsources to timely complete the Acceptance Test procedure. IfCustomer umeasonably delays the start of the Criteria I test procedure for more than fourtccn (14) calendar daysbeyond the designated test date, then successful software acc€ptance shall be deemed to have occrrred for thatapplication of Licensed Softwarc on the fifteenth (l5u) day afler the dosigrr,atcd test date.

Critefia 2:

Successful acceptance ofeach application ofliceused Software delivered shall be deemed to have ocourred at thetime Customer begins using the application of Licensed Software to produce data or output which is distributed foractual use and/or otherwise used as "live data".

CONFIDENTIALPage 28 of30 County of Kane,IL

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xfNewWofld Swtems"ftc ntMk Sector hfiMv C*riorrt

APPENDIX IAGREEMET.{T AND AUT#ORTZATION FOR PROCUREMENT

oF TrrrRr) paRTy. pRopucTg-ANp sERvrcEq

SeoteuFer t1.2006

This agreement (Agreement) between County of Kane, Ilttnols, (Customer) and New World Systemsc Corporatlon, (Newr#orld) is to cover the procurement of Third Party products and scrvices by New World for Cuctomer.

The attachcd configr.uation (Exhibit l) describos the Third Perty products and eerviccs that Customer will be obtaining throughNew \Yorld. By thcir written approval below, Curtomer authorizes New World to order thc Exhibit I products for dclivery to:

Comty of Kane719 Batqvia AvenueGeneva, Illinois 601i4

U,pon delivery ofThird Party products, 100% ofthe Exhibit I cost is due. Curtomer agrees to pay all applicable financc chargcs(if any) promptly.

Customer is responsible for the sito prcparation and related costs to install the Exhibit I prodrrcts. Customer is responsible forany returned product charges, including rc-stocking and shippiag fees, for all Third Party products ordered by Nm, World on theCustomerrs behalf. Actual rnd rcasonable travcl expenses incurrcd by New World and actual employee travel time up to butnot to exceed four (4) hours per Cuttomer visit are in addition to the Exhibit I cost and will bc billed weekly as incurred.

Afly taxes or fees imposed Aom thc course of this Agreement are thc responsibility of the Customer and Customer agrees toremit whcn imposed. If an cxemption is claimcd by the Customer, an exemption certificate must bc submitted to New tJYorld,

After exccution of this Agreement, the Exhibit I componcnts and cost may be changod by mutual agrecment ofboth parrics. If achange order in the coufiguration rcquires additional costs, New World shall notif, Cuitomer ofihe additional coitu and *ithCustomerts approvd these costs shall be bomc by Customer. Without such epproval, the change ordcr will not be processed.

Customer shall or may bc rcquired to exccute setected Agreemmts with vendors and New World shall not confirm the orderingof any Exhibit I products without Customer's authorized sigrature oo the Agreements. Customer shall receivc the bEoefit of allwarranties, services, etc, provided for in the Agreements.

ACKNOWLEDGED AND AGREED TO BY:

NEW WORLD SYSTEMSO CORPORATION COI,]NTY OF KAI{E. ILLINOIS

lw*

orrr, C g'/T 4- 6

Each individual sigring above represenls tbat (s)he has the requisito authority to execute this Agreement on bchalfofthe organization for which (s)ho represents and that all the necessary forrralities have been met.

CONBIDENTIALPage 29 of30ITIWS Agreement 091f 06 - fioeldoc County of Kane, IL

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AGREEMENT AI{D AUTHqRIZATION FOR PROCUREMENToF,THrRp pARTy PR,QpUCTS ANp SERyTpES

Seotember 11.2006

EXHtDrrrcoNFIGpRATTON

l. Crystal DecisiondCrystai Reports (Version 10)r

1 Training and Supportfor Crystal Reports is not provtded by New l{orld Systens.

COI{FIDENTIALPege 30 of30

THIRD PARTY COSTS

lTEttl DESGRIPTION INVESTMENT

49s

TOTAL THIRD PARTY COSTS $495

MS Agrcedent @1f06 - flnrl.doc County of Ksne, IL

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Resolution: No.

Approving A Software Conversion from Granicus MinuteTraq Agenda and Minutes Software to the Granicus Legistar Platform


Budget Information:


If not budgeted, explain funding source: Riverboat Fund

Summary:

The Information Technologies Department supports County Departments and the County Board by provided minute and agenda management software using the MinuteTraq platform provided by Granicus Software. The current platform is no longer being upgraded and will eventually no longer be supported. The IT department recommends converting to the newer Legistar platform also provided by Granicus Softwarde. The Granicus Legistar system is available through the OMNIA government Joint Purchasing Agreement.

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STATE OF ILLINOIS

COUNTY OF KANE

RESOLUTION: NO.

APPROVING A SOFTWARE CONVERSION FROM GRANICUS MINUTETRAQ AGENDA AND MINUTES SOFTWARE TO THE GRANICUS LEGISTAR PLATFORM

WHEREAS, the Kane County Information Technologies Department is a member of the OMNIA Joint Purchasing Agreement which offers a discounted price for the Granicus Legistar Agenda and Minutes platform ; and

WHEREAS, the Kane County Information Technologies Department currently contracts with Granicus Software for the MinuteTraq Agenda and Minutes platform which is no longer being upgraded and enhanced by the provider; and

WHEREAS, the Information Technology Department recommends that the County transition to the newer Granicus Legistar platform; and

WHEREAS, the contract calls for the use of funds for this and additional budget years and Kane County acknowledges the necessity of the appropriation of such funds; and


Granicus Legistar Software $24,380 One-Time Fee $24,045 Annual Fee

NOW, THEREFORE, BE IT RESOLVED that the Kane County Board Chairman is authorized to sign contract amendments as needed for the replacement software module, and the Information Technologies Department is hereby authorized to expend funds starting in fiscal year 2022 not to exceed Forty-Eight Thousand, Four Hundred Twenty-Five Dollars ($48,425) and a not to exceed increase of eight percent (8%) per year over the prior year through FY 2026 for Granicus Legistar from Insight Public Sector through the OMNIA government Joint Purchasing Agreement.



budget revision?



line item?




390.060.337.50340 River Boat Fund Yes Yes N/A



Vote:

22-01 Granicus Software

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HTTP://WWW.INSIGHT.COM

Page 1 of 3INSIGHT PUBLIC SECTOR SLED6820 S HARL AVETEMPE AZ 85283-4318Tel: 800-467-4448

SOLD-TO PARTY 10249167

KANE COUNTY719 S BATAVIA AVEGENEVA IL 60134-3077

SHIP-TO

KANE COUNTY719 S BATAVIA AVEGENEVA IL 60134-3077

We deliver according to the following terms:

Payment Terms : Net 30 daysShip Via : Insight Assigned Carrier/GroundTerms of Delivery: : FOB DESTINATIONCurrency : USD

Quotation

Quotation Number : 224340928Document Date : 05-NOV-2021PO Number :PO Release :Sales Rep : Bob ErwinEmail : [email protected] : +14803667058Sales Rep 2 : Lia ParedesEmail : [email protected] : +14809021145

In order for Insight to accept Purchase Orders against this contract and honor the prices on this quote, your agency must be registered with OMNIA Partners Public Sector (formerly U.S. Communities). Our sales teams would be happy to assist you with your registration. Please contact them for assistance -- the registration process takes less than five minutes. In order for Insight to accept Purchase Orders against this contract and honor the prices on this quote, your agency must be registered with OMNIA Partners Public Sector (formerly U.S. Communities). Our sales teams would be happy to assist you with your registration. Please contact them for assistance -- the registration process takes less than five minutes.

Material Material Description Quantity Unit Price Extended Price

LEG-GR-246CS GRANICUS LEGISTAR ANALYSIS, CONFIGURATION,AND IMPLEMENTATION SERVICES: ACCESS TO AMULTI-DISCIPLINARY TEAM PER ONE (1) HOUR TOCONDUCT NEEDS ANALYSIS, CONFIGURATION, ANDIMPLEMENTATION SERVICES FOR LEGISTAR

75 200.38 15,028.50

OMNIA PARTNERS IT PRODUCTS & SERVICES(# 4400006644)

ONS-GR-300T GRANICUS LEGISTAR - ONSITE TRAINING 4 2,087.22 8,348.88


ONL-GR-300T GRANICUS ADVANCED PACKAGE - ONLINE TRAINING 4 250.46 1,001.84


LEG-GR-246OP-1Y GRANICUS LEGISTAR OPEN PLATFORM PACKAGEANNUAL SUBSCRIPTION

1 24,044.88 24,044.88

-Coverage Dates: 05-NOV-2021 - 05-NOV-2022OMNIA PARTNERS IT PRODUCTS & SERVICES(# 4400006644)

Product Subtotal 33,395.60Services Subtotal 15,028.50TAX 0.00

Total 48,424.10

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https://www.insight.com/insightweb/quoteDetails?quoNum=224340928

http://www.insight.com/en_US/search.html?qtype=all&q=LEG-GR-246CS

http://www.insight.com/en_US/search.html?qtype=all&q=ONS-GR-300T

http://www.insight.com/en_US/search.html?qtype=all&q=ONL-GR-300T

http://www.insight.com/en_US/search.html?qtype=all&q=LEG-GR-246OP-1Y


Page 2 of 3Document Date 05-NOV-2021

Quotation Number 224340928

Thank you for considering Insight. Please contact us with any questions or for additional information about Insight's complete IT solution offering. Sincerely,

Bob [email protected]

Lia [email protected] 4807608347

OMNIA Partners (formerly U.S. Communities) IT Products, Services and Solutions Contract No. 4400006644 Insight Public Sector (IPS) is proud to be a contract holder for the OMNIA Partners Technology Products, Services & Solutions Contract. This competitively solicited contract is available to participating agencies of OMNIA Partners. OMNIA Partners assists local and state government agencies, school districts (K-12), higher education, and nonprofits in reducing the cost of purchased goods by pooling the purchasing power of public agencies nationwide. This is an optional use program with no minimum volume requirements and no cost to agencies to participate. Regarding tariff impacts on IPS contract quotes, Insight is communicating with the contracting officials on the contracts held by Insight to minimize the impact of tariffs to our clients. Thanks for choosing Insight! OMNIA Partners (formerly U.S. Communities) IT Products, Services and Solutions Contract No. 4400006644 Insight Public Sector (IPS) is proud to be a contract holder for the OMNIA Partners Technology Products, Services & Solutions Contract. This competitively solicited contract is available to participating agencies of OMNIA Partners. OMNIA Partners assists local and state government agencies, school districts (K-12), higher education, and nonprofits in reducing the cost of purchased goods by pooling the purchasing power of public agencies nationwide. This is an optional use program with no minimum volume requirements and no cost to agencies to participate. Regarding tariff impacts on IPS contract quotes, Insight is communicating with the contracting officials on the contracts held by Insight to minimize the impact of tariffs to our clients. Thanks for choosing Insight!

Insight Global Finance has a wide variety of flexible financing options and technology refresh solutions. Contact your Insight representative for an innovative approach to maximizing your technology and developing a strategy to manage your financial options.

This purchase is subject to Insight’s online Terms of Sale unless you have a separate purchase agreement signed by you and

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Page 3 of 3Document Date 05-NOV-2021

Quotation Number 224340928

Insight, in which case, that separate agreement will govern. Insight’s online Terms of Sale can be found at the “terms-and-policies” link below. Effective Oct. 1, 2018, the U.S. government imposed tariffs on technology-related goods. Technology manufacturers are evaluating the impact on their cost and are providing us with frequent cost updates. For this reason, quote and ecommerce product pricing is subject to change as costs are updated. If you have any questions regarding the impact of the tariff on your pricing, please reach out to your sales team. SOFTWARE AND CLOUD SERVICES PURCHASES: If your purchase contains any software or cloud computing offerings (“Software and Cloud Offerings”), each offering will be subject to the applicable supplier's end user license and use terms ("Supplier Terms") made available by the supplier or which can be found at the “terms-and-policies” link below. By ordering, paying for, receiving or using Software and Cloud Offerings, you agree to be bound by and accept the Supplier Terms unless you and the applicable supplier have a separate agreement which governs.https://www.insight.com/terms-and-policies

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Resolution: No.

Authorizing an Emergency Purchase Affidavit for Adult Justice Center Remediation Project

Committee Flow: Administration Committee, Finance and Budget Committee, Executive Committee, County Board Contact: Chris Allen, 630.762.2174

Budget Information:


If not budgeted, explain funding source: Capital Improvements - Contingency Fund

Summary:

Kane County is required to provide suitable living quarters to the detainees of the Kane County Adult Justice Center that are essential to the wellness of the detainees, as well as to meet or exceed applicable standards set forth by the Illinois County Jail Standards.

Current assessments have determined that mold is present in certain areas of the Adult Justice Center. Mold can affect the health and safety of County personnel, visitors and the detainees and needs be addressed immediately without delay. Therefore, this mold remediation project was assigned emergency priority status.

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STATE OF ILLINOIS

COUNTY OF KANE

RESOLUTION: NO.

AUTHORIZING AN EMERGENCY PURCHASE AFFIDAVIT FOR ADULT JUSTICE CENTER REMEDIATION PROJECT

WHEREAS, the Adult Justice Center, located at 37W755 Rt 38, St. Charles, IL 60175, has recently had environmental assessments done which determined that mold is present in certain areas of the facility. These findings necessitate that immediate additional assessments be performed in conjunction with mold remediation services as the presence of mold poses a threat to the health and safety of all who do business, work and reside on these premises; and

WHEREAS, the Adult Justice Center authorities are charged with the statutory obligation to

provide a safe and secure atmosphere for the general public, detainees, Kane County officer staff, all County personnel and any/all persons who conduct business at the Adult Justice Center which is a high-traffic volume facility; and

WHEREAS, it is in the best interest of Kane County to approve the emergency mold

remediation services and all associated processes in order to minimize the disruption to County personnel’s working environment, visitor access and inmate’s housing facilities.

WHEREAS, the expertise necessary to perform such specialized work cannot be performed

by in-house staff, requiring that it be outsourced to an independent contractor; and WHEREAS, in recognition of the fact that “time is of the essence”, Building Management

immediately called upon a reputable contractor that has previously performed mold assessment and remediation work throughout a number of County facilities, Midwest Environmental Consulting Services; and

WHEREAS, Midwest Environmental has provided a proposed budget and scope of services

for mold assessment, remediation, project management, post-remediation mold sampling and emergency operation plan development services for the Kane County Adult Justice Center; and

WHEREAS, pursuant to Kane County Code Chapter 2-217, the Executive Director of

Building Management executed an emergency purchase affidavit to engage Midwest Environmental for such services and submitted such affidavit for emergency purchase to the Board Chairman; and

WHEREAS, the entire amount being budgeted is for a cost of $151,650.00. As a

precaution, Building Management also feels that it is advisable to recommend that 20% of this cost, or $30,330.00, be set aside as Project Contingency as mold projects can sometimes prove to more extensive than initial findings reveal. It should be noted that the 20% Project Contingency amount of $30,330.00 will be held by Kane County and is not part of the contract; and

WHEREAS, appropriate funds for this emergency project have been budgeted and are

available in the FY2022 Building Management Capital Improvements-Contingency Fund; and WHEREAS, Building Management is seeking approval for reimbursement of costs

associated with multiple services, including, but not limited to, surface sampling, indoor air quality sampling, remediation, project consultation and emergency operation plan development, to be

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performed by Midwest Environmental Consulting Services, 2552 N. Bridge St, Yorkville, IL 60560.

NOW, THEREFORE, BE IT RESOLVED by the Kane County Board that the Chairman is hereby authorized to approve the emergency purchase of mold remediation services and all associated processes in order to provide minimal disruption to living and working environments at the Adult Justice Center as per Midwest Environmental’s quote of One Hundred Fifty-One Thousand, Six Hundred Fifty Dollars ($151,650) and a 20% recommended Project Contingency of Thirty Thousand, Three Hundred Thirty Dollars ($30,330.00), for a combined cost of One Hundred Eighty-One Thousand, Nine Hundred Eighty Dollars ($181,980.00).


approved in original budget or a

subsequent budget revision?



line item?




500.800.805.72010 Capital Improvements-

Contingency Fund

No Yes N/A



Vote:

22-01 EPA - JC Mold

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Resolution: No.

Authorizing Contract with ESRI (Enterprise Agreement)

Committee Flow: Administration Committee, Finance and Budget Committee,

Executive Committee, County Board Contact: Thomas Nicoski, 630.444.1027

Budget Information:



Summary:

The ESRI Enterprise Agreement (EA) was bid and the ESRI (Environmental System Research Institute, Inc) company was the only company that bid on the annual maintenance of their software.

The Esri Enterprise Agreement (EA) will grant Kane County access to both their ArcGIS for Desktop and Server Products. This includes Advanced (ArcInfo), Standard (ArcEditor), Basic (ArcView) as Single and Concurrent use, and ArcGIS Server Enterprise or Workgroup (Advanced, Standard and Basic) for a period of three years.

This will continue to allow Kane County to consolidate department ArcGIS maintenance cost for most of Esri Desktop and Server maintenance. This will require an annual payment of Two Hundred Thirty Five Thousand Dollars ($235,000) in FY2022, Two Hundred Forty Five Thousand Dollars ($245,000) in FY2023, and Two Hundred Fifty Five Thousand Dollars ($255,000) in FY2024.

2022 2023 2024 Total

Annual EA Fee $235,000 $245,000 $245,000 $735,000

Packet Pg. 183

STATE OF ILLINOIS

COUNTY OF KANE

RESOLUTION: NO.

AUTHORIZING CONTRACT WITH ESRI (ENTERPRISE AGREEMENT)

WHEREAS, the Kane County GIS-Technologies Department supports the Esri (Environmental System Research Institute, Inc.) desktop and server platform; and

WHEREAS, the Kane County GIS-Technologies Department has budgeted to enter into an

Enterprise Agreement (EA) for our ArcGIS Desktop and Server Products with Esri; and WHEREAS, the GIS-Technologies Department recommends entering into an EA with Esri in

order to continue the consolidation of the many current county offices annual Esri software maintenance; and has sufficient budget to fund said Enterprise Agreement. NOW, THEREFORE, BE IT RESOLVED that the Chairman of the County Board is authorized to contract with Esri (Environmental System Research Institute, Inc.) for three years at the cost of Two Hundred Thirty Five Thousand Dollars ($235,000) in FY2022, Two Hundred Forty Five Thousand Dollars ($245,000) in FY2023, and Two Hundred Fifty Five Thousand Dollars ($255,000) in FY2024.

Line Item Line Item Description Was Personnel/Item/Service approved in original budget or a subsequent budget revision?

Are funds currently available for this Personnel/Item/Service in the specific line item?

If funds are not currently available in the specified line item, where are the funds available?

101.060.070.52130 Maintenance - Computers

Yes Yes



Vote:

22-01 ESRI EA (3 Year)

Packet Pg. 184


Resolution: No.

Approving a Contract for a Water Testing Firm for the Judicial Center Campus with Phigenics Independent Water Management of Warrenville, IL

Committee Flow: Administration Committee, Finance and Budget Committee,

Executive Committee, County Board Contact: Jodie Wollnik, 630.232.3499

Budget Information:

Was this item budgeted? no Appropriation Amount: $94,060.00

If not budgeted, explain funding source: Adult Justice 001.080.086.52110, JJC

001.080.082.52110, JC 001.080.52110

Summary:

Phigenics will be implementing the water testing and evaluation measures outlined in the Water Management Plan developed by BRiC at the Adult and Juvenile Justice Centers. Their staff will be performing the required testing and record keeping for the plan as well as recommending response and testing measures for emergency response. This will ensure the health and safety of the drinking water systems in these buildings.

Packet Pg. 185

STATE OF ILLINOIS

COUNTY OF KANE

RESOLUTION: NO.

APPROVING A CONTRACT FOR A WATER TESTING FIRM FOR THE JUDICIAL CENTER CAMPUS WITH PHIGENICS INDEPENDENT WATER MANAGEMENT OF WARRENVILLE,

IL

WHEREAS, the County contracted with BRiC to develop a Water Management Plan for the Adult and Juvenile Justice Center buildings; and

WHEREAS, the Water Management Plan outlines both standard water testing and reporting

requirements as well as emergency response procedures; and WHEREAS, the Purchasing Department issued a Request for Qualifications (22-009) to

solicit qualified Professional Services for Potable Water Testing Services with one response being received; and

WHEREAS, Phigenics has been working with County staff on initial testing and the chlorine

flushing system and they are both qualified for the work and were incredibly responsive when testing services and flushing equipment was specified with very short notice.

NOW, THEREFORE, BE IT RESOLVED by the Kane County Board that the Chairwoman

thereof it authorized to enter into a two year contract with three one-year renewal options (upon approval of the County Board) with Phigenics of Warrenville, IL for Water Testing Services at the Adult and Juvenile Justice Centers with allowable expansion of services to the Judicial Center building (fee increase to be negotiated at that time) on a time and materials basis fee of Ninety-four thousand sixty dollars and zero cents ($94,060.00 = $47,030/year x 2 years).



Vote:

22-01 Water Testing

Packet Pg. 186

County of Kane PURCHASING DEPARTMENT

KANE COUNTY GOVERNMENT CENTER 719 S. Batavia Avenue, Bldg. A. Telephone: (630) 208-3803 Geneva, Illinois 60134 Fax: (630) 208-5107

November 23, 2021

PROCUREMENT SYNOPSIS Requesting Department: Kane County Building Management Department Procurement Name: RFQ 22-009: Potable Water Testing Services Recommended Vendor: Phigenics, LLC

NOTIFICATION AND RESPONSE Public Notices: ● Bidnet Direct ● Daily Herald Advertising Date: November 5, 2021 Notices sent/Plan holder: 70/12 RFQ Due Date: November 22, 2021 Proposal Received: 1

PURPOSE ______________________ Kane County is seeking qualifications from a Potable Water Testing Services vendor to implement the required testing and monitoring of the potable water plumbing systems as required by the Water management Plan located within the Adult and Juvenile Justice buildings. VENDORS Phigenics, LLC Warrenville,IL

Selection Criteria consisted of previous and current implementation of Water Management Plans, lab and technology capabilities relative to the implementation, distance of the office/lab from the site, member of CDC Environmental Legionella Isolation Techniques Evaluation Program (ELITE) and references. The Kane County Building Management Department evaluated the proposal and feel confident that Phigenics, LLC. have a good understanding of the scope of services and meet the criteria requirements listed in the solicitation. Based on this evaluation the Kane County Building Management Department staff is recommending the award of this contract to Phigenics, LLC, Warrenville, IL. This is a one (1) year contract with four (4) one-year renewal options. Submitted By: Karin Kietzman, CPPB Assistant Director of Purchasing

Packet Pg. 187

3S701 West Avenue, Suite 100 | Warrenville, IL 60555 | Telephone 844-850-4087 | Fax 630-717-8528 www.phigenics.com

Page 1 of 2

14 DEC 2021

Jodie L. Wollnik Kane County – Environmental & Water Resources Division 719 Batavia Avenue Geneva, IL 60134 Subj: Budgetary Quote for Water Program Management Operations and Continuous Monitoring Equipment Services for Kane County – Environmental & Water Resources Division Ms. Wollnik: Phigenics is pleased to submit this budgetary quote for the subject services. ITEM NUMBER DESCRIPTION OF SUPPLIES/SERVICES QUANTITY UNIT UNIT PRICE AMOUNT 0001 WMS-350 Water Management

Program – Operations and Validation Services

12 MO $2,000.00 $24,000.00

0002 WMS-1085 PWA Base Monitoring System with Automated Flushing Services 2.0 (unit price is for 2 PWAs)

12 MO $800.00 $9,600.00

0003 MB-1000 Legionella ISO Test - ISO 11731 Spread Plate Method

66 EA $120.00 $7,920.00

0004 MB-1100 Legionella ISO Test with PCR - ISO 11731 with Legionella Molecular Marker Negative Screen

16 EA $185.00 $2,960.00

0005 WMS-800 Water Sample Collection 82 EA $25.00 $2,050.00 0006 WMS-9970 Shipping & Handling 5 EA $100.00 $500.00 Total – 1 Year $47,030.00 Total – 2 Years $94,060.00 This budgetary quote pricing includes WMP operations services, monthly services for two (2) WMS-1085 PWA monitoring systems with automated flushing, Legionella validation testing, a testing allowance for six retests, Phigenics sample collection, transportation of samples to Phigenics laboratory, and test reports. The pricing is valid for 90 days from date of the quote. Our company information is listed below. Company: Phigenics, LLC DUNS: 178038910 Address: 3S701 West Ave Ste 100 Federal TIN: 20-1675205 City/State/Zip: Warrenville, IL 60555 CAGE: 5SF88 Phone: 844-850-4087 Primary NAICS: 561210

Packet Pg. 188

http://www.phigenics.com/

3S701 West Avenue, Suite 100 | Warrenville, IL 60555 | Telephone 844-850-4087 | Fax 630-717-8528 www.phigenics.com

Page 2 of 2

Phigenics sincerely appreciates the opportunity to assist Kane County in achieving its water management goals. If you have any questions, please feel free to contact me at 937-305-3318 or [email protected]. Sincerely,

Carrie Wyrick, P.E. Government Contracts Manager

Packet Pg. 189

http://www.phigenics.com/



Resolution: No.

Authorizing an Expenditure for an Emergency Purchase Affidavit for Chlorine Flushing System at Adult Justice Center

Committee Flow: Administration Committee, Finance and Budget Committee, Executive Committee, County Board Contact: Jodie Wollnik, 630.232.3499

Budget Information:


If not budgeted, explain funding source: Capital Improvements - Contingency Fund

Summary:

Maintenance of chlorine levels in the hot water system at the Adult Justice Center is critical to ensuring safe hot water for the residents. The proposed system will provide continuous monitoring of chlorine levels in both the North and South towers. Due to the critical nature of this work, the project was assigned emergency priority status.

Packet Pg. 190

STATE OF ILLINOIS

COUNTY OF KANE

RESOLUTION: NO.

AUTHORIZING AN EXPENDITURE FOR AN EMERGENCY PURCHASE AFFIDAVIT FOR CHLORINE FLUSHING SYSTEM AT ADULT JUSTICE CENTER

WHEREAS, maintenance of chlorine levels in the hot water system at the Adult Justice Center is necessary to continue to provide safe hot water to the residents; and

WHEREAS, the Water Management Plan that is being drafted by BRiC will require the

addition of this system and the project team has reviewed the consultant's recommendation and is in agreement that the installation of the system as soon as possible is critical; and

WHEREAS, in recognition that time is of the essence, staff called on a reputable vendor that

has been involved with testing related to the Water Management Plan, Phigenics Independent Water Management (Vendor #13301) and Mendel Plumbing & Heating; and

WHEREAS, Building Management is seeking approval for reimbursement to Phigenics in

the amount of $40,250 which included the PWA Base Monitoring System with Automated Flushing, Reagent kit, Tech Support, Startup, Shipping and Handling and reimbursement to Mendel Plumbing & Heating for the associated plumbing work related to the system; and

WHEREAS, appropriate funds for this emergency project have been budgeted and are

available in the FY2021 Capital Improvement - Contingency Funds; and WHEREAS, it is in the best interest of Kane County to approve this expenditure in order to

ensure the health and safety of County personnel and residents in the facility.

NOW, THEREFORE, BE IT RESOLVED by the Kane County Board that the Chairman is hereby authorized to approve the reimbursement of expenditures to Phigenics Independent Water Management for Forty-thousand two hundred and fifty dollars and zero cents ($40,250.00)and Mendel Plumbing & Heating for the actual invoice amount once received ($15,000 plumbing allowance included in EPA).



budget revision?



line item?




500.800.805.72010 Capital Improvements

- Contingency Fund

No Yes



Vote:

22-01 Chlorine Flushing Phigenics

Packet Pg. 191

COUNTY OF KANE

EMERGENCY PURCHASE AFFIDAVIT

Kane County Code Chopter 2, Article Vl, Division 3, Section 2-277 (A) states thot "on emergencypurchose equoling or exceeding 530,000 moy be outhorized ... in certain situations ... where

immediote repoirs ore required to County property to protect or prevent ogoinst further loss ordomage, where immediote oction is required to prevent or minimize disruption to County

Se^,ices ..." ond "An emergency purchose sholl be limited to those moterials, supplies,

equipment, seNices, construction ond construction reloted services necessory to sotisfy the

emergency ond these purchases sholl be mode with such competitive evoluotion os is

procticoble under the circumstonces ."

Kone County Code Chopter 2, Article Vl, Division 3, Section 2-217 (B) further stotes thot "Adeportment seeking an emergency purchose sholl prepare on emergency offidavit documenting

both the existence of on emergency condition and the noture of the emergency. The

deportment head sholl sign the ot'fidovit ond submit to the county boord choirmon the

emergency offidavit requesting authorization to moke the emergency purchose."

Whereas, maintenance of chlorine levels in the hot water system at the Adult

Correctional Facility is necessary to continue to provide safe hot water to the residents; and

Whereas, the hot water system was oversized for a larger population in the facility and

manual monitoring and flushing of the system that has been ongoing for the past 30 days is

labor intensive and hit or miss depending on the daily use of hot water in the facility; and

Whereas, the Water Management Plan that is currently being drafted by BRiC will

require the addition of this system and the project team has reviewed the consultant's

recommendation and is in agreement that the installation of the system as soon as possible is

critical; and

##ffif ol3rlzGo 1E-<,(F!S. t.1..'6../i

Packet Pg. 192

Emergency Purchase AffidavitChlorine Monitoring & Flushing Contract

Whereas, this is something that does affect the health & safety of both Countypersonnel and the public and needs to be taken care of immediately. Since this type of workcannot be performed by in-house staff, it needs to be outsourced to an independentcontractor; and

Whereas, in recognition of the fact that "time is of the essence", Building Managementimmediately called on a reputable vendor that has been involved in testing related to the WaterManagement Plan, Phigenics lndependent Water Management. (County Vendor #13301) withMendel completing the necessary plumbing (plumbing allowance); and

Whereas, Phigenics has provided a quote dated November 04,2O2L in the amount of540,250 which includes the PWA Base Monitoring System with Automated Flushing, Reagent

kit, Tech Support and Startup and shipping and handling. A plumbing allowance of S15,000 is

recommended which would include plumbing into the system and drain piping to the outlet fora total request amount of 555,250.00; and

Whereas, appropriate funds for this emergency project have been budgeted and are

available in the FY2021 Building Management Contingency Funds budget; and

Whereas, Building Management is seeking approval for this reimbursement ofemergency chlorine monitoring and flushing system to Phigenics 35701 West Avenue, Suite

100, Warrenville 60555 with a plumbing allowance for Mendel Plumbing & HeatinS, lnc., 3N640

North 17th Street, St. Charles, lL 60174, for labor and materials costs; and

Whereas, it is in the best interest of Kane County to approve the emergency chlorinemonitoring and flushing system in order to ensure chlorine levels in the hot water system at theAdult Correctional Facility.

Now therefore l, Christopher Allen, affirm that as Kane County Executive Director ofBuilding Management, hereby request authorization for the emergency purchase of a chlorine

monitoring and flushing system the total payment not to exceed the 540,250 for Phigenics ofWarrenville with a S15,OOO plumbing allowance for Mendel Plumbing & Heating, lnc. to hook

up the system. I understand that this emergency procurement of the aforementioned costs

must be ratified by the County Board at the next regularly scheduled County Board meeting'

This affidavit is made pursuant to and in fulfillment of the emergency purchase affidavitprovisions in the Kane County Purchasing Ordinance. I know and understand the contents ofthis affidavit herein are true and correct.

80ovz)Christopher AllenKane County Executive Director of Building Management

Date

2

Packet Pg. 193

Emergency Purchase AffidavitChlorine Monitoring & Flushing Contract

Subscribed and sworn before me this _ day of November, 2021.

Signatu re of Notary PublicMy commission expires:

I agree that this purchase meets the conditions of an emergency purchase and herebyauthorize acceptance of an emergency chlorine monitoring and flushing system estimatetotaling 540,250.00 plus a plumbing allowance of S15,000 for a total project cost of 555,250.00for which funds w\e previously appropriated as part ofthe 2021operating budget.

Signature of AuthorizingCorinne Pierog,

))r**L,n{ aoalDr*

3Packet Pg. 194

@phig-e",nlss04 NOV 2021

Jodie L. WollnikKane County - Environmental & Water Resources Division

719 Batavia AvenueGeneva, lL 50134

Subj: Continuous Monitorint Equipment for Kane County - Environmental & Water Resources

Division

Ms. Wollnik:

Phigenics is pleased to submit this quote for the subiect equipment and services.

mol WME-1085 PwA Base Monitoring 2.00 EA 515,100.00 530,200.00

OOO2 wME-1950 Reagent kit for clx Chlorine 2.00 EA 51,075.00 52,150.00Monitor (12-month suoolv) FRO

0(x)3 WME-9950 Tech Suooort & Sta 2.oo EA S3,soo.oo S7,ooo.oo

0004 WME-9970 Shippins & Hand 2.00 EA s4s0.00 s900.00

This price includes equipment, technical support and start-up, a 12-month supply of reagent, and

shipping. The price provided does not include installation of the equipment, cable, GFCI outlets, surge

protection, piping, wiring, taps, switches, filter assemblies, cellular bridges, sample coolers, or otherancillary items to installsystems within the facility.

The pricing is valid for 90 days from date of the quote.

Our company information is listed below.

Company:Address:

Phigenics, LLC

35701 West Ave Ste 100

DUNS: 178038910

Fede;al TIN: 2O-L6752O5

CAGE: 5SF88

Primary NAICS: 561210City/State/Zip: warrenville,lL60555Phone: 844-8504087

Phigenics sincerely appreciates the opportunity to assist Kane County in achieving its watermanagement Boals. lf you have any questions, please feelfree to contact me at 937-305-3318 orcwvrick@ phiqenics.com.

Sincerely,

U; Lr,,f,LCarrie Wyricl! P.E.

Government Contracts Manager

35701 West Avenue, Suite 100 I Warrenville, lL 60555 | Telephone 844-850-40A7 | Fax 630-717'852awwwphitenics.com

Page I of 1

ITEMNUMBER DESCRIPTION OF SU PPLIES/SERVICES QUANTITY UNIT UNIT PRICE AMOUNT

Total sr10,250.00

Packet Pg. 195


Resolution: No.

Approving 2022 Contracts for Court Appointed Counsel

Committee Flow: Judicial/Public Safety Committee, Finance and Budget

Committee, Executive Committee, County Board Contact: Andrea Obrien, 630.208.5145

Budget Information:



Summary:

It is required by law that when the court determines that the Public Defender has a conflict of interest when representing certain indigent defendants, another licensed attorney must be appointed to represent that defendant. This Resolution authorizes the Chief Judge to contract with and appoint not less than four (4) attorneys to represent defendants in these cases during the 2022 calendar year.

Packet Pg. 196

STATE OF ILLINOIS

COUNTY OF KANE

RESOLUTION: NO.

APPROVING 2022 CONTRACTS FOR COURT APPOINTED COUNSEL

WHEREAS, it is required by law that when the court determines the Public Defender would have a conflict of interest when representing certain indigent defendants, another licensed attorney must be appointed to represent such defendants; and

WHEREAS, it is determined to be economically advantageous and procedurally efficient to

identify such qualified and willing licensed attorneys and enter into a contract at a fixed sum for legal assistance in providing representation in such cases.

NOW, THEREFORE, BE IT RESOLVED by the Kane County Board that the Chief Judge of

the Sixteenth Judicial Circuit is hereby authorized to contract with and appoint not less than four (4) attorneys who are licensed to practice law in the State of Illinois to represent those indigent defendants entitled to appointed counsel and not represented by the Public Defender.

BE IT FURTHER RESOLVED that the compensation paid for each attorney be based upon prior trial experience, and the type, number, and duration of cases appointed. The rates for monthly compensation commencing January 1, 2022, and for the calendar year 2022, are set as follows: two (2) attorneys at Three Thousand Four Hundred Thirty Four Dollars ($3,434.00), one (1) attorney at Three Thousand One Hundred Seventy Five Dollars ($3,175.00), and one (1) attorney at Three Thousand Eighty Three Dollars ($3,083.00).

BE IT FURTHER RESOLVED that there shall be an additional amount of Two Thousand

Two Hundred Twenty Five Dollars ($2,225) available for reasonable and necessary trial expenses to be paid to each attorney during the contract period subject to the order of the Chief Judge.

BE IT FURTHER RESOLVED that the total of said contracts shall be paid from the General

Fund 001, Department 240, Division 240, Line Item 50190 (Court Appointed Counsel).



budget revision?



line item?




001-240-240-50190 Court Appointed

Counsel

yes yes N/A



Vote:

22-01 CrtCounsContracts

Packet Pg. 197


Resolution: No.

Approving Contracts for Drug and Alcohol Evaluation and Referral Services

Committee Flow: Judicial/Public Safety Committee, Finance and Budget Committee, Executive Committee, County Board Contact: Latanya Hill, 630.444.2951

Budget Information:

Was this item budgeted? N/A Appropriation Amount:


Summary:

Court Services will connect clients under its supervision to substance abuse services as required by court order or as the need for substance abuse services is identified by Court Services staff. A fee for service model will be maintained with providers in Kane County for drug and alcohol evaluations and referral services. A Request for Qualifications (RFQ) was issued and a final provider list will be established upon signed agreements with the successful respondents. These services are to be paid from collected probation fees with no impact on the general fund

Packet Pg. 198

STATE OF ILLINOIS

COUNTY OF KANE

RESOLUTION: NO.

APPROVING CONTRACTS FOR DRUG AND ALCOHOL EVALUATION AND REFERRAL SERVICES

WHEREAS, Court Services is mandated by the Administrative Office of Illinois Courts (AOIC) to assess the needs of all offenders placed under its supervision, including the need for substance abuse services; and

WHEREAS, According to 730 ILCS 110/15.1 (b), “…Monies in the probation and court

services fund shall be appropriated by the county board to be used within the county or jurisdiction where collected in accordance with policies and guidelines approved by the Supreme Court for the costs of operating the probation and court services department,” ; and

WHEREAS, The AOIC’s Probation Services Fees Policies and Guidelines establishes

that, “A priority for the expenditure of Probation and Court Services Fund monies should be for the

purchase of services,” including for the evaluation and treatment of substance abuse; and

WHEREAS, Court Services previously entered into agreements with substance abuse

treatment providers located in Kane County to complete drug and alcohol evaluations on offenders referred by Court Services; and

WHEREAS, All agreements will expire on December 31, 2021; and

WHEREAS, Court Services has issued a Request for Qualification (RFQ) seeking all

qualified drug and alcohol providers that serve residents in Kane County and from those responses

will update an established approved Providers List that will include: Tools for Life, Ecker Center for

Behavioral Health (formerly Renz Center), Braden Counseling Center, Mutual Ground (formerly

Breaking Free), Associates in Behavioral Health Care, and Care Clinics; and

WHEREAS, the providers on the list are in the business of offering such services to the

community they serve and are willing to provide such services to offenders referred by Court

Services; and

WHEREAS, Court Services wishes to collaborate with community-based providers of

substance abuse services who agree to collect and report outcome data to enhance services and

support the goals of implementing Evidence-Based Practices to reduce the use of illegal

substances; and

NOW, THEREFORE, BE IT RESOLVED that the Kane County Board is notified that the

Chief Judge is entering into agreements with the above listed providers to provide drug and alcohol

assessments and referral services to clients referred by Court Services, to commence January 1,

2022 through December 31, 2023 with an option to renew for three additional one year periods by

agreement of both parties.

Packet Pg. 199

. Line Item Line Item Description Was Personnel/Item/Service approved


budget revision?



line item?




270.430.460.50

150

Contractual and

Consulting

YES YES N/A



Vote:

22-01 DAE Referral Services

Packet Pg. 200


Resolution: No.

Authorizing FY21 Emergency Management Program Grant for the Office of Emergency Management

Committee Flow: Judicial/Public Safety Committee, Finance and Budget Committee, Executive Committee, County Board Contact: Christie Duffy, 630.208.2001

Budget Information:

Was this item budgeted? Yes Appropriation Amount: N/A


Summary:

This resolution authorizes the Chairwoman to enter into an agreement with the State of Illinois

to accept the FY21 Emergency Management Program Grant not to exceed $217,350.26 of

which $108,675.13 are federal funds.

Packet Pg. 201

STATE OF ILLINOIS

COUNTY OF KANE

RESOLUTION: NO.

AUTHORIZING FY21 EMERGENCY MANAGEMENT PROGRAM GRANT FOR THE OFFICE OF EMERGENCY MANAGEMENT

WHEREAS, the Office of Emergency Management has been awarded and Emergency

Management Program Grant (EMPG) through the State of Illinois funded by the U.S. Department of

Homeland Security; and

WHEREAS, the objective of the EMPG program is to provide financial assistance for the

development of effective, integrated emergency management organizations within the State of

Illinois; and

WHEREAS, the grant award has been set not to exceed $ 217,350.26 of which $108,675.13

are federal funds (IEMA’s share, not to exceed $108,675.13) available for reimbursement of eligible

administrative costs as outlined in the Illinois Administrative Code Title 29, part 301.

NOW, THEREFORE, BE IT RESOLVED by the Kane County Board that the Chairwoman thereof is hereby authorized to enter into said grant agreement with the State of Illinois as part of the Emergency Management Program Grant program.



Vote:

22-01 FY22 EMPG Grant

Packet Pg. 202

Agreement No. 21EMAKANE

State of Illinois INTERGOVERNMENTAL GRANT AGREEMENT FISCAL YEAR 2021/11 10 21

Page 1 of 35

INTERGOVERNMENTAL AGREEMENT

BETWEEN

THE STATE OF ILLINOIS, ILLINOIS EMERGENCY MANAGEMENT AGENCY AND

County of Kane

The Illinois Emergency Management Agency (Grantor), with its principal office at 2200 South Dirksen Parkway, Springfield, Illinois 62703, and County of Kane (Grantee), with its principal office at 719 South Batavia Avenue-Building C, Geneva, Illinois 60134-3077 and payment address (if different than principal office) at 719 South Batavia Avenue-Building C, Geneva, Illinois 60134-3077 hereby enter into this Intergovernmental Grant Agreement (Agreement). Grantor and Grantee are collectively referred to herein as “Parties” or individually as a “Party.”

PART ONE – THE UNIFORM TERMS

RECITALS

WHEREAS, it is the intent of the Parties to perform consistent with all Exhibits and attachments hereto and pursuant to the duties and responsibilities imposed by Grantor under the laws of the State of Illinois 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 010221786 is Grantee’s correct DUNS number, that NA is Grantee’s correct UEI, if applicable, that 36-6006585 is Grantee’s correct FEIN, and that Grantee has an active State registration and SAM registration. Grantee is doing business as a Government Unit. 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.

1.2. Amount of Agreement. Grant Funds shall not exceed $217,350.26, of which $108,675.13 are

federal funds, (IEMA’s share, not to exceed $108,675.13). Grantee agrees to accept Grantor’s payment as specified in the Exhibits and attachments incorporated herein as part of this Agreement. Grantee is required to match these funds with eligible expenses as outlined in Exhibit C.

1.3. Identification Numbers. The Federal Award Identification Number (FAIN) is EMC-2021-EP-00001, the Federal awarding agency is the United States Department of Homeland Security, and the Federal Award date is August 30, 2021. The Catalog of Federal Domestic Assistance (CFDA) Name is Emergency Management Performance Grants and Number is 97.042. The Catalog of State Financial Assistance (CSFA) Number is 588-40-0450.

1.4. Term. This Agreement shall be effective on October 1, 2020, and shall expire on September 30,

2023, unless terminated pursuant to this Agreement.

Packet Pg. 203



Page 2 of 35

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.

1.6. Signatures. In witness whereof, the Parties hereto have caused this Agreement to be executed

by their duly authorized representatives.

ILLINOIS EMERGENCY MANAGEMENT AGENCY County of Kane

By: _ _ By: _ _

Alicia Tate-Nadeau, Director Corinne Pierog, County Board Chairman

Date: _ _ Date: _

By: _ _ By: _ _ Signature of Designee Signature of Designee

Printed Name: _ _ Printed Name: _ _

Printed Title: Printed Title: _ _

Packet Pg. 204



Page 3 of 35

ARTICLE II REQUIRED REPRESENTATIONS

2.1. Standing and Authority. Grantee warrants that:

(a) Grantee is a governmental entity.

(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) 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.

(d) 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 7000.30(b)(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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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. “Allowable Costs” means costs allowable 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 III. Admin. Code 7000.30.

“Close-out Report” means a report from the Grantee allowing the Grantor to determine whether all applicable administrative actions and required work have been completed, and therefore closeout actions can commence.

“Conflict of Interest” has the same meaning as in 44 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

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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.

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

“Obligations” has the same meaning as in 44 III Admin. Code 7000.30.

“Period of Performance” has the same meaning as in 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.

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“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 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. All obligations regarding Grant Funds management shall survive this Agreement’s termination or expiration. See 2 CFR200.343(d); 2 CFR 200.305 (b) (9); 30 ILCS 705/5. 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

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

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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 as an attachment.

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; 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. 2 CFR 200.308.

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 III. 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.

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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.

(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 Government-wide 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 the cost policy statement used to negotiate that rate. 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:

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(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 2CFR 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.

(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.

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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.).

(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).

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(h) Drug-Free Workplace. 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 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).

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(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) Drone Purchase. Grantee certifies that, in accordance with guidelines issued from the

U.S. Department of Home Security, no grant funds will be utilized to purchase an Unmanned Aircraft System (drone) or any components of a drone whose manufactured origin is the country of China.

(s) 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.

(t) 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).

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

is in compliance with the terms and requirements of 31 USC 6101.

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

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)]);

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(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.

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

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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. Quarterly reports must be submitted no later than 30 calendar days following the three-month period covered by the report. Additional information regarding required financial reports may be 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 within 60 calendar days following the end of the period of performance for this Agreement. In the event that this Agreement is terminated prior to the end of the Term, Grantee shall submit a Close-out Report within 60 calendar days of such 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

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immediately submit a refund to Grantor, if applicable. 2 CFR 200.345.

13.3. Consolidated Year-End Financial Reports. (a) This Paragraph 13.3 applies to all Grantees, unless exempted by PART TWO or PART

THREE.

(b) Grantees shall submit Consolidated Year-End Financial Reports, according to the required audit (see ARTICLE XV), namely:

(i) For Grantees required to conduct a single audit (or program-specific audit),

within the earlier of (a) 9 months after the Grantee’s fiscal year ending on or after June 30, or (b) 30 calendar days following completion of the audit; or

(ii) For Grantees required to conduct a Financial Statement Audit or for Grantees not required to perform an audit, within 180 days after the Grantee’s fiscal year ending on or after June 30.

These deadlines may be extended at the discretion of the Grantor, but only for rare and unusual circumstances such as a natural disaster.

(c) The Consolidated Year-End Financial Report must cover the same period the Audited

Financial Statements cover. If no Audited Financial Statements are required, however, then the Consolidated Year-End Financial Report must cover the same period as the Grantee’s tax return.

(d) Consolidated Year-End Financial Reports must include an in relation to opinion from the

report issuer on the financial statements included in the Consolidated Year-End Financial Report.

(e) Consolidated Year-End Financial Reports shall follow a format prescribed by Grantor.

(f) 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.

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

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

ARTICLE XIV PERFORMANCE REPORTING REQUIREMENTS

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

requested and, in the format, required by Grantor. Performance Measures listed in Exhibit E must be reported quarterly, unless otherwise specified in PART TWO or PART THREE. 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

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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 30 calendar days following the period covered by the report. For certain construction-related Awards, such reports may be exempted as identified in PART TWO or PART THREE. 2 CFR 200.328. 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, within 60 calendar days following the end of the period of performance. 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 date); 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 III Admin. Code 7000.90. If Audited Financial Statements are not required, however, then the CYEFR must cover the Grantee’s fiscal year and must be submitted within 6 months of the Grantee’s fiscal year-end.

(c) CYEFR’s must include an in relation to opinion from the auditor of the financial statements included in the CYEFR.

(d) CYEFR’S shall follow a format prescribed by Grantor.

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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). The Audit report packet and all required submissions must be submitted to the Grantee Portal within 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. 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).

(ii) 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.

(iii) If Grantee does not meet the requirements in subsections 15.2(b) and 15.2(c)(i- iii) but is required to have a financial statement audit conducted based on other regulatory requirements, Grantee must submit those audits for review.

(iv) 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 audits required to be performed subject to Generally Accepted Government 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 policy and consequences for late reporting. 44 Ill. Admin. Code 7000.80.

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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,

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 and7000.260.

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16.5. Effects of Suspension and Termination.

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

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

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

(c) Costs to Grantee resulting from obligations incurred by Grantee during a suspension or

after termination of the Agreement are not allowable unless:

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

(ii) The costs result from obligations properly incurred before the effective date of suspension or termination, are not in anticipation of the suspension or termination, and the costs would be allowable if the Agreement was not suspended or terminated. 2 CFR 200.343.

16.6. Close-out of Terminated Agreements. If this Agreement is terminated, in whole or in part, the

Parties shall comply with all close-out and post-termination requirements of this Agreement. 2 CFR 200.340(c).

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. In all agreements between Grantee and its Sub-Grantees, Grantee shall insert term(s) that require that all sub-grantees adhere to the terms of this Agreement. The terms of this Agreement shall apply to all subawards authorized in accordance with Paragraph 17.1. 2CFR 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 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, SAM registration status, Related Parties, or address.

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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.

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.

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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(a). 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 is no longer needed for its original purpose. The Grantee shall properly maintain, track, use, store and insure the equipment according to applicable best practices, manufacture’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

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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.

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.

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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.

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

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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. 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 Administrative Rule(s), the relevant statute(s) or rule(s) shall 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.

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EXHIBIT A

PROJECT DESCRIPTION

The Grantor has been awarded an Emergency Management Performance Grant (EMPG) from the Federal Emergency Management Agency (FEMA). The Grantee will utilize EMPG grant funds in accordance with the Emergency Management Assistance (EMA) program as outlined in the Grantee’s FFY 21 Grant Program Application. The EMA Program will aid the Grantee in the administration of effective emergency management in the areas of personnel and benefits, travel, organization and equipment.

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EXHIBIT B

DELIVERABLES OR MILESTONES

Deliverables are directly related to the successful completion of the approved scope of work.

The FFY 21 Grant Program Application outlines the expenditures for which the Grantee will seek reimbursement. The Grantor will only reimburse those expenditures that are specifically listed in the approved Application.

The Grantee is required to perform each of the following tasks:

1. Timely submission of quarterly reports that include both financial and performance-based information as

set forth in Exhibit E.

2. Required training and exercise participation as set forth in Part III.

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EXHIBIT C

PAYMENT

Grantee’s total compensation and reimbursement shall not exceed the sum of $108,675.13

No costs eligible under this Agreement shall be incurred after June 30, 2022.

The required match for this grant is 50%. All cost sharing or matching funds claimed by the Grantee shall meet the requirements of 2 CFR 200.306. To meet matching requirements, the Grantee’s contributions must be verifiable, reasonable, allowable, allocable, and necessary under the grant program, and must comply with all federal requirements and regulations. Except as provided by federal law, a cost sharing or matching requirement may not be met by other federal funds.

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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 GRANTEE CONTACT

Name: Nina Ricketts Name: Deborah Dortmund

Title: EMPG Grant Program Manager Title: _ Address: 2200 South Dirksen Parkway, Springfield, Address: 719 S. Batavia Avenue, Geneva, IL 62703 IL 60134 Phone: 217/557-4758 Phone: (630) 232-5985

E-mail Address: [email protected] E-mail Address: [email protected]

Additional Information: _

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EXHIBIT E

PERFORMANCE MEASURES

The Grantee shall submit a Quarterly Claims Form to Grantor electronically through the Grantor’s grants Management System no later than 30 days after the end of each Federal Fiscal Year quarter. All claims must be for the quarter in which they occurred.

A Quarterly Narrative must be submitted as a part of the Quarterly Claims Form. In the Quarterly Narrative, the Grantee must include a report for activities completed in the three-month quarter applicable to the claim and progress in achieving the goals and objectives listed in the Annual Work Plan submitted in the Application.

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EXHIBIT F

PERFORMANCE STANDARDS

Performance standards include:

1. Appropriate use of grant funds in accordance with the approved scope of work and budget, and the terms outlined in this Agreement.

2. The timely submittal of required documentation as defined in Exhibit E of this Agreement.

3. Adequate results from grant monitoring conducted by the Grantor.

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EXHIBIT G

SPECIFIC CONDITIONS

NONE

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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:

Pursuant to section 889(b)(1) of the John S. McCain National Defense Authorization Act for Fiscal Year 2019 (FY 2019 NDAA), Pub. L. No. 115-232 (2018), grantee may not use any funds under this grant award to:

i. Procure or obtain any equipment, system, or service that uses covered telecommunications equipment or services as a substantial or essential component of any system, or as critical technology of any system as defined herein;

ii. Enter into, extend, or renew a contract to procure or obtain any equipment, system, or service that uses

covered telecommunications equipment or services as a substantial or essential component of any system, or as critical technology of any system; or

iii. Enter into, extend, or renew contracts with entities that use covered telecommunications equipment or

services as a substantial or essential component of any system, or as critical technology as part of any system as defined herein. Definitions Covered telecommunications equipment or services means:

i. Telecommunications equipment produced by Huawei Technologies Company or ZTE Corporation (or any subsidiary or affiliate of such entities);

ii. For the purpose of public safety, security of Government facilities, physical security surveillance of critical

infrastructure, and other national security purposes, video surveillance and telecommunications equipment produced by Hytera Communications Corporation, Hangzhou Hikvision Digital Technology Company, or Dahua Technology Company (or any subsidiary or affiliate of such entities);

iii. Telecommunications or video surveillance services provided by such entities or using such equipment; or iv. Telecommunications or video surveillance equipment or services produced or provided by an entity that

the Secretary of Defense, in consultation with the Director of National Intelligence or the Director of the Federal Bureau of Investigation, reasonably believes to be an entity owned or controlled by, or otherwise connected to, the People’s Republic of China.

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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:

1. All allocations and use of funds by the Grantee shall be in accordance with the applicable notice of funding

opportunity. The Grantee shall comply with all applicable federal and state statutes, regulations, executive orders, and other policies and requirements in carrying out any project supported by these funds. The Grantee recognizes that laws, regulations, policies, and administrative practices may be modified from time to time and those modifications may affect project implementation. The Grantee agrees that the most recent requirements will apply during the performance period of this Agreement.

2. All personnel who are funded in whole or in part with the funds from this Agreement are required to

successfully complete: (a) specified National Incident Management System (NIMS) courses (IS 100, IS 200, IS 700 and IS 800); (b) either (i) the FEMA Professional Development Series (PDS) (IS 120, IS 230, IS 235, IS 240, IS 241, IS 242 and IS 244) or (ii) the Emergency Management Professionals Program (EMPP) Basic Academy, and (c) FEMA Preparedness Courses PER 376-W Preparedness Actions to Promote Economic Resilience and Recovery, and AWR-357-W Principles of Community Economic Recovery . New employees have 12 months from the date of hire to complete the training requirement. All employees must ensure that their course certificates have been submitted to their respective Grantor Regional Office for entry on their training transcript by June 30, 2022.

3. The Grantee is required to maintain adoption and implementation of the National Incident Management System.

4. If funding will be used to purchase emergency communications equipment or to fund related activities,

the Grantee shall comply with the SAFECOM Guidance for Emergency Communication Grants, including provisions on technical standards that ensure and enhance interoperable communications.

5. The Grantee will provide all necessary financial and managerial resources to meet the terms and

conditions of this Agreement.

6. This Agreement may be amended because of changes in state or federal statutes, regulations, or grant award policies; an extension in the grant award term; an increase in the amount of funds granted; or any other provision requiring a modification. Grantor may remove (or reduce) a Specific Condition included in this Exhibit G by providing notice in writing to the Grantee. All other modifications must be in writing and signed by both parties.

7. The Grantee agrees that funds under this award will be used to supplement, but not supplant, state or

local funds budgeted for the same purposes. The Grantee may be required to demonstrate and document that a reduction in non-federal resources occurred for reasons other than the receipt or expected receipt of federal funds.

8. The Grantee shall not undertake any project having the potential to impact EHP resources or initiate

procurement without the prior approval of FEMA, including but not limited to construction of communication towers, modification or renovation of existing buildings, structures and facilities, or new construction including replacement of facilities. The EHP review process involves the submission of a

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detailed project description along with supporting documentation, so that FEMA may determine whether the proposed project has the potential to impact environmental resources and/or historic properties. In some cases, DHS/FEMA is also required to consult with other regulatory agencies and the public to complete the review process. The EHP review process must be completed and approved before funds are released to carry out the proposed project The Grantee must comply with all conditions placed on the project as the result of the EHP review. Any change to the approved project scope of work will require re- evaluation for compliance with these EHP requirements. If ground-disturbing activities occur during project implementation, the Grantee must ensure monitoring of ground disturbance, and if any potential archeological resources are discovered, the Grantee will immediately cease construction in that area and notify FEMA and the appropriate State Historic Preservation Office. Any activities that have been initiated without the necessary EHP review and approval will result in a non-compliance finding and will not be eligible for FEMA funding.

9. The Grantee completes and submits an updated Training and Exercise Plan, as well as the Illinois Capability and THIRA Tool for their organization to their respective IEMA Regional Office by January 15, 2022.

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Resolution: No.

Authorizing FY2022 Contract With Clean Harbors For Household Hazardous Waste Services

Committee Flow: Energy and Environmental Committee, Finance and Budget Committee, Executive Committee, County Board Contact: Jennifer Jarland, 630.208.3841

Budget Information:

Was this item budgeted? Yes Appropriation Amount: 77,500

If not budgeted, explain funding source: NA

Summary:

This Resolution seeks to establish a contract with a qualified and experienced contractor for the County's residential household hazardous waste (HHW) collection and service program. This is a year-round home collection service program serving residents in towns, villages, and unincorporated portions of the six most northern townships of Kane County: Burlington, Dundee, Elgin, Plato, Rutland, and Hampshire. It also provides service in the Cities of Geneva and Batavia, and the Mill Creek SSA. This is a five (5) year contract with mutual option for three (3) renewable one (1) year periods.

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STATE OF ILLINOIS

COUNTY OF KANE

RESOLUTION: NO.

AUTHORIZING FY2022 CONTRACT WITH CLEAN HARBORS FOR HOUSEHOLD HAZARDOUS WASTE SERVICES

WHEREAS, the Kane County Solid Waste Management Plan, adopted by the Kane County Board in 1992, and most recently updated in 2020 recommends that the county continue to manage existing household hazardous waste (HHW) programs to divert HHW from landfills; and

WHEREAS, under RFP#22-010, the Kane County Purchasing Department has solicited and

received proposals for HHW collection services for residents in towns, villages, and unincorporated portions of the six most northern townships of Kane County: Burlington, Dundee, Elgin, Plato, Rutland, and Hampshire. It also provides service in the Cities of Geneva and Batavia, and the Mill Creek SSA; and

WHEREAS, Clean Harbors submitted the successful proposal as described in the

procurement synopsis issued by the Kane County Purchasing Department; and WHEREAS, the 2022 budget for the Enterprise Surcharge Fund (650) includes Seventy-

seven Thousand, Five Hundred Dollars ($77,500) funding for this HHW program; and WHEREAS, municipalities in eligible service areas contribute a total amount of Seventy-

three Thousand, Seven Hundred and Eighty Dollars ($73,780) annually, which offsets the cost of this program; and the program cost is not to exceed Seventy-seven Thousand, Five Hundred Dollars ($77,500) per year in costs; and

WHEREAS, the Division of Environmental and Water Resources, and the Purchasing

Department, recommend awarding this contract to Clean Harbors.

NOW, THEREFORE, BE IT RESOLVED by the Kane County Board that the Chairman is hereby authorized to enter a five (5) year contract with an option for three (3) one-year renewals, with Clean Harbors to provide HHW services as described above, invoiced on a per use basis, in an amount not to exceed Seventy-seven Thousand, Five Hundred Dollars ($77,500) annually.

Line Item Line Item Description Was Personnel/Item/Service approved in original budget or a subsequent budget revision?

Are funds currently available for this Personnel/Item/Service in the specific line item?

If funds are not currently available in the specified line item, where are the funds available?

650-650-670-50150 Consulting Services Yes Yes NA



Vote:

22-01 HHW Collection

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County of Kane PURCHASING DEPARTMENT

KANE COUNTY GOVERNMENT CENTER 719 S. Batavia Avenue, Bldg. A. Telephone: (630) 208-3803 Geneva, Illinois 60134 Fax: (630) 208-5107

December 6, 2021

PROCUREMENT SYNOPSIS

Requesting Department: Kane County Division of Environmental and Water Resources

Procurement Name: RFP 22-010 Household Hazardous Waste Collection Service

Recommended Vendor: Clear Harbors Environmental Services, Inc

NOTIFICATION AND RESPONSE Public Notices: ● Bidnet ● Daily Herald Newspaper

Advertising Date: November 15, 2021 Notices sent/Plan holder: 11/11

RFP Due Date: November 29, 2021 Proposal Received: 2

PURPOSE

This proposal seeks to establish a contract with qualified and experienced Contractor for the County’s year-round door to door residential household hazardous waste (HHW) curbside collection and service program. This is a five (5) year contract with mutual option for three (3) one-year renewal periods if agreed upon by both parties. The Kane County Department of Environmental and Water Resources evaluated all proposals per specifications, contract requirements and scored them based on the criteria important to the required services, and determined that Clear Harbors Environmental Services, Inc was the most qualified and responsive to the RFP. Selection Criteria: ● Qualifications = 35% ● Offer, Project Approach and Capacity = 25% ● Service Fee = 20% ● RFP Compliance, Documentations = 10% ● References = 10% SCORING SUMMARY

Vendor

Proposed Service Fee Per Stop Evaluated

Score Recyclable HHW Only/Stop

Mix or Non-HHW Recyclable/Stop

Clean Harbors Environmental Services, Inc. – Dalton, IL $165.00 $165.00 95.0%

EQ Industries Services, Inc ( US Ecology) – Livonia, MI $225.00 $225.00 85.0%

Base on Vendor’s qualifications, experience, offers per scope of service, compliance and proposed service fee, Environmental and Water Resources recommends awarding of contract to Clear Harbors Environmental Services, Inc of Dalton, IL pending approval by committee and the Kane County Board. Submitted By: Timothy Keovongsak

Tim Keovongsak, CPPB Kane County Purchasing Department

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Resolution: No.

Authorizing Amendment to Financial Policy Regarding Procurement Cards

Committee Flow: Finance and Budget Committee, Executive Committee, County Board Contact: Joseph Onzick, 630.208.5113

Budget Information:

Was this item budgeted? N/A Appropriation Amount:


Summary:

This resolution authorizes amending the Financial Policy regarding procurement cards.

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STATE OF ILLINOIS

COUNTY OF KANE

RESOLUTION: NO.

AUTHORIZING AMENDMENT TO FINANCIAL POLICY REGARDING PROCUREMENT CARDS

WHEREAS, the Financial Policy regarding the use and administration of Kane County Procurement Cards has been reviewed by the Finance Department, Auditor’s Office, State’s Attorney’s Office and several changes have been recommended in order to add clarity and strengthen internal financial controls regarding the program.

NOW, THEREFORE, BE IT RESOLVED by the Kane County Board that section 12 (a) of the Kane County Financial Policies be replaced with the following policy statement: 12. Other Financial Policies

a) Departmental Credit Cards Issued by the County

1) Purpose of Procurement Card Policy a) The County recognizes procurement cards are an essential tool for facilitating the

purchase of certain goods and services, especially those that may only be procured online, or those required during travel or emergencies.

b) The County also recognizes procurement cards are beneficial for promoting competitive selection by expanding the range of vendors from which quotes may be solicited to include vendors that only accept credit card payments.

c) At the same time the County recognizes procurement cards may increase the possibility of unauthorized purchases or payments. Therefore it is the intent of the County to minimize this risk by limiting the number of procurement cards issued to each office and department or group of departments to the fewest number as is practical and by setting individual and monthly transaction limits for each card to the lowest levels that reasonably accommodate the procurement needs.

d) Appropriate internal controls must be established to assure responsible operations. e) Written procedures shall be developed governing all operation issues.

2) Responsibility for Procurement Card Program

a) The overall County procurement card program (commonly known as the “credit card program”) shall fall under the purview of the Finance Committee.

b) The administration of the procurement card program shall be the responsibility of the Executive Director of Finance as executed through the Director of Purchasing and Purchasing Department staff.

c) The Director of Purchasing shall be designated the “system administrator” of the procurement card program for purposes of program maintenance and serving as the interface between the procurement card provider and the procurement cardholders.

d) The Assistant Director of Purchasing shall serve as the backup “system administrator”.

e) Elected officials and department heads shall be accountable for procurement card usage in their areas of responsibility.

f) Each office or department having procurement cards shall appoint a procurement card administrator responsible for the administrative function associated with the procurement cards; the procurement card administrator may not be the same person

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as the department head or elected official. g) Each procurement cardholder is accountable for the use of the procurement card

issued in his or her name.

3) Determination of Number and Limits of Procurement Cards a) Each County department head, with the advice and consent of his/her standing

committee, and each elected official shall determine: 1. the number of procurement cards needed by their office or department, and 2. the single and monthly transaction limits to be set for each card.

b) Each elected official and County department head shall determine the employees within their office or department to whom the procurement cards should be issued.

c) Such determinations should be made with the understanding that the County has no obligation to issue procurement cards in any particular office or County department for use by any particular individual.

d) It is the intent of the County that the number of procurement cards issued and the transaction limits established for each cardholder be reviewed annually by the standing committee to which the cardholder’s office or department reports, and by the Finance Committee.

e) The number of procurement cards issued and the transaction limits established for each County department shall be approved annually by the standing committee to which the department reports and by the Finance Committee.

f) The number of cards issued or the aggregate monthly transaction limit may not be increased above the number and limits approved for each County Department without the approval by the standing committee.

4) Temporary Changes to County Department’s Procurement Card Transaction Limits

a) The single transaction limit of a County Department’s cardholder may be temporarily increased as high as the monthly transaction limit for that cardholder upon written authorization by the Department Head responsible for the cardholder.

b) A standing committee may choose to pre-authorize temporary increases of a single or monthly transaction limit for any County department as deemed appropriate for the anticipated need.

c) When an emergency situation requires the single transaction limit of a County Department’s card to be increased to a higher monthly transaction limit than previously approved by the standing committee and the increase needs to be approved before the next meeting of the standing committee, the single and monthly transaction limits may be increased to the level required by the emergency if in addition to the authorization of the Department Head responsible for the procurement card, approval is also obtained from one of the following individuals, listed in order of preference: standing committee chair, standing committee vice chair, Finance Committee Chair, County Board Chair or County Board Vice Chair.

d) Once the emergency has passed, the single and monthly transaction limits must be reset to limits approved by the standing committee.

5) Temporary Changes to Elected Official’s Office Procurement Card Transaction Limits

a) The single transaction limit of an Elected Official’s Office cardholder may be temporarily increased upon written authorization by the Elected Official responsible for the cardholder.

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6) Restrictions Regarding Issuance of Procurement Cards a) County procurement cards may only be issued to County employees, elected

officials. b) County procurement cards may only be issued to staff upon written authorization by

their department head or elected official to whom they report in accordance with the transaction limits established by their standing committee or the elected official, respectively.

c) A procurement card may only be issued to a department head upon approval by their standing committee.

d) An approved procurement card may not be issued until the prospective cardholder signs the County’s Procurement Card Agreement.

7) Restrictions Regarding Use of Procurement Cards

a) Procurement cards may only be used for allowable Kane County purchases. b) All procurement card purchases must be in compliance with state and county

procurement laws and regulations. c) Procurement cards may not be used to pay invoices that have already been

submitted to the County Auditor’s Office for payment. Such use would circumvent the internal controls in place to authorize payment of invoices.

d) Procurement cards may not be used to purchase services from employees. Such use would circumvent the process for collecting and capturing the required information for W2 reporting purposes.

e) With the exception of an emergency procurement or micro purchase as defined in the Procurement Ordinance, procurement cards may not be used to purchase items that can be purchased at a lower cost through other reasonable means, such as with a purchase order. Use of procurement cards in such cases may result in County payment of the lower amount.

f) Procurement cards may not be used for certain purchases such as cash advances, personal charges, alcoholic beverages and tobacco products.

g) Improper charges to a procurement card must be repaid to the County within the current statement cycle. If this is not done, repayment to the County will be by payroll deduction in accordance with the requirements of state and federal wage laws.

h) Improper use of County procurement cards may result in disciplinary action, up to and including termination.

8) Internal Controls Regarding Procurement Card Program

a) The Kane County Auditor shall be responsible for auditing the internal controls covering the procurement card program. Internal controls within this context are the policies and procedures put in place by management to safeguard County assets, stop fraudulent behavior, promote accountability and increase efficiency.

b) Each procurement card administrator shall receive the procurement card billing statements and collect the procurement card receipts and expense documentation for all procurement cards issued to the office or department which they serve.

c) The procurement card administrator for a County department shall ensure that the County and/or business purpose of each County department expense is clearly indicated on the documentation for each expense, that a department’s food purchases include the number of participants and their relationships (e.g., “self”, “two staff”, “one guest”, and that a department’s conference expense documentation includes the training itinerary and date range.

d) The procurement card statement must be approved (signed) by both the

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procurement card administrator and the elected official or department head (or their designees) as confirmation that the expenses are allowable expenses.

e) The procurement card administrator shall submit the approved procurement card billing statement along with all supporting receipts and expense documentation to the County Auditor’s Office.

f) A report of procurement card transactions shall be included in the financial report package provided by the Finance Department for each standing committee monthly meeting for the offices and departments reporting to each standing committee.

9) System Administration of Procurement Card Program

a) The Director of Purchasing as the procurement card system administrator shall be responsible for the day-to-day administration of the procurement card program, including the issuance and cancellation of cards and the maintenance of transaction limits within the procurement card system.

b) County procurement cards for active employees may only be issued, suspended, cancelled or have their limits changed with prior authorization by the department head, with the advice and consent of the Department’s standing committee, or by the elected official responsible for the current or prospective card holder.

c) County procurement cards for inactive employees must be cancelled by the Director of Purchasing upon confirmation of termination of employment from the Department of Human Resources or upon notification of the elected official or department head.

d) The Director of Purchasing shall review procurement card statements at least weekly, follow up on any suspicious activity with the cardholder and/or the procurement card merchant, and notify the Auditor’s Office if any fraudulent activity was detected.

e) The Director of Purchasing must provide a list of all cardholders and associated limits to the Auditor’s Office.

f) Whenever there is an addition or deletion of a cardholder or change in transaction limit, the Director of Purchasing must notify the Auditor’s Office in writing.



Vote:

Amending Fin Policy - PCards

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Resolution: No.

Approving November 2021 Claims Paid

Committee Flow: Finance and Budget Committee, Executive Committee,

County Board Contact: Penny Wegman, 630.232.5918

Budget Information:

Was this item budgeted? Yes Appropriation Amount: $7,479,273.11


Summary:

According to the Kane County Code Section 2-193 Expenditure of Funds for Settlement of Claims B. Monthly Reports On Claims: The county auditor shall file a monthly report of all claims paid in the prior month to the chairman and all other members of the county board. For each claim paid, the monthly report shall identify the claimant, the nature of the claim and the official or department, if any, against which the claim was made, the fund from which the payment was made, the amount of the payment and the date the check was issued. Similarly according to the Kane County Financial Policies 8. Disbursement Policies b): A report shall be run monthly by the Auditor of all claims paid. Said report shall be available to all members of the County Board in the office of the County Board Chair. For each claim paid, the report shall identify the creditor, the department or official which purchased the product or service, the fund from which the payment was made, the amount of the payment and the date the check was issued. The accompanying Report of Claims Paid is submitted to comply with those requirements, and to document that the County Board has approved the payment of those claims.

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STATE OF ILLINOIS

COUNTY OF KANE

RESOLUTION: NO.

APPROVING NOVEMBER 2021 CLAIMS PAID

WHEREAS, according to the Kane County Code Section 2-193 Expenditure of Funds for Settlement of Claims B. Monthly Reports of Claims: The county auditor shall file a monthly report of all claims paid in the prior month to the County Chair and all other members of the County Board. For each claim paid, the monthly report shall identify the claimant, the nature of the claim and the official or department, if any, against which the claim was made, the fund from which the payment was made, the amount of the payment and the date the check was issued; and

WHEREAS, according to the Kane County Financial Policies 8. Disbursement Policies b): A

report shall be run monthly by the Auditor of all claims paid. Said report shall be available to all members of the County Board in the office of the County Board Chair. For each claim paid, the report shall identify the creditor, the department or official which purchased the product or service, the fund from which the payment was made, the amount of the payment and the date the check was issued; and

WHEREAS, the County Auditor has examined the attached Claims Paid Report for claims

against Kane County totaling $7,479,273.11; and WHEREAS, the County Auditor, in accordance with Ordinance No. 97-56, has

recommended the payment of all claims on the attached Claims Paid Report; and WHEREAS, the claims on the attached Claims Paid Report have been paid; and WHEREAS, the County Board finds all claims on the Claims Paid Report to be due and

payable; and NOW, THEREFORE, BE IT RESOLVED by the Kane County Board that payment of the

claims totaling Seven Million, Four Hundred Seventy-Nine Thousand, Two Hundred Seventy-Three Dollars and Eleven Cents ($7,479,273.11) on the attached Claims Paid Report is acknowledged and approved.



Vote:

22- 01 Claims Paid

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VENDOR NATURE OF CLAIM OFFICIAL/DEPARTMENT FUND AMOUNT PAID DATE PAIDIllinois Department of Revenue Accrued Liabilities Recorder's Rental Surcharge 66,159.00 11/1/2021Illinois Department of Revenue Accrued Liabilities State Real Estate Transfer Tax 518,610.00 11/1/2021 White Castle Systems Inc. Food Permits Health County Health 161.75 11/8/20214Imprint, Inc. Office Supplies County Clerk General Fund 3,162.51 11/8/20214Imprint, Inc. Office Supplies County Clerk General Fund 3,162.51 11/8/20214W Eats dba Papa Saverio's Jurors' Expense Judiciary and Courts General Fund 152.88 11/8/2021About Change Counseling Psychological/Psychiatric Srvs Court Services Probation Services 100 11/8/2021ACME Electric Motor Inc dba ACME Tools/Rentals Tools Transportation Motor Fuel Local Option 1,095.00 11/8/2021Adesta LLC Contractual/Consulting Services Development Mill Creek Special Service Area 1,190.50 11/8/2021Adtalem Global Eductn dba Chamberlain University DT ITA WIOA 20 Workforce Development 425.26 11/8/2021Air Comfort LLC Repairs and Maint‐ Equipment Building Management General Fund 1,335.00 11/8/2021Al Piemonte Cadillac Inc dba St. Charles Chrysler Repairs and Maint‐ Vehicles Sheriff General Fund 363.75 11/8/2021Alfred Benesch & Co Engineering Services Transportation Transportation Sales Tax 4,838.01 11/8/2021Alphagraphics (#344) Operating Supplies Development Growing for Kane 211.36 11/8/2021Alphagraphics (#344) Operating Supplies Development Growing for Kane 116.9 11/8/2021Amanda McDonough Employee Mileage Expense Judiciary and Courts General Fund 8.95 11/8/2021Ambria College of Nursing (Americare Services LLC) DT ITA WIOA 20 Workforce Development 4,591.00 11/8/2021America Business College DT ITA WIOA 20 Workforce Development 349 11/8/2021American Interpreting Services Inc Contractual/Consulting Services Judiciary and Courts General Fund 1,474.96 11/8/2021American Interpreting Services Inc Contractual/Consulting Services Judiciary and Courts General Fund 1,843.70 11/8/2021Ana M Bubalo Contractual/Consulting Services Judiciary and Courts General Fund 874.32 11/8/2021Ana M Bubalo Contractual/Consulting Services Judiciary and Courts General Fund 300 11/8/2021Andrew Smith Internet Other‐ Countywide Expenses General Fund 73.04 11/8/2021Ann Wohlmuth Contractual/Consulting Services Judiciary and Courts General Fund 280 11/8/2021Anthony Bahena Contractual/Consulting Services Judiciary and Courts General Fund 449.6 11/8/2021Anthony Bahena Contractual/Consulting Services Judiciary and Courts General Fund 865.6 11/8/2021Anthony Bahena Contractual/Consulting Services Judiciary and Courts General Fund 416 11/8/2021APC Stores, Inc (Bumper to Bumper) Repairs and Maint‐ Vehicles Sheriff General Fund 43.17 11/8/2021APC Stores, Inc (Bumper to Bumper) Repairs and Maint‐ Vehicles Sheriff General Fund 374.67 11/8/2021Aramark Services, Inc. Food Sheriff General Fund 12,198.73 11/8/2021Aramark Services, Inc. Food Sheriff General Fund 335.06 11/8/2021Aramark Services, Inc. Food Sheriff General Fund 12,169.37 11/8/2021Aramark Services, Inc. Food Sheriff General Fund 11,936.01 11/8/2021Aramark Services, Inc. Public Health Commodities ‐ Coronavirus Sheriff General Fund 126.9 11/8/2021Aramark Services, Inc. Public Health Commodities ‐ Coronavirus Sheriff General Fund 159.57 11/8/2021Aramark Services, Inc. Public Health Commodities ‐ Coronavirus Sheriff General Fund 136.22 11/8/2021Ashland Door Solutions LLC Office Supplies Animal Control Animal Control 4,633.00 11/8/2021Ashland Door Solutions LLC Office Supplies Animal Control Animal Control 1,645.80 11/8/2021AT&T Telephone Other‐ Countywide Expenses General Fund 6,319.01 11/8/2021AT&T Telephone Other‐ Countywide Expenses General Fund 3,359.28 11/8/2021AT&T Telephone Other‐ Countywide Expenses General Fund 172.45 11/8/2021AT&T Telephone Other‐ Countywide Expenses General Fund 23,855.92 11/8/2021AT&T Accrued Liabilities 911 Emergency Surcharge 95.43 11/8/2021Avid Associates LLC DT ITA WIOA 20 Workforce Development 1,704.00 11/8/2021Axon Enterprise Inc Weapons and Ammunition Sheriff General Fund 1,771.20 11/8/2021B&B Holiday Decorating LLC Repairs and Maint‐ Grounds Development Mill Creek Special Service Area 2,954.25 11/8/2021Bakhtavar Press Contractual/Consulting Services Judiciary and Courts General Fund 174.64 11/8/2021Batavia Instant Print Inc General Printing Building Management General Fund 214.4 11/8/2021Batavia Instant Print Inc Operating Supplies Court Services General Fund 163.35 11/8/2021Batavia Instant Print Inc Operating Supplies Court Services General Fund 163.35 11/8/2021Batavia Instant Print Inc Operating Supplies Court Services General Fund 163.35 11/8/2021Batavia Instant Print Inc Operating Supplies Court Services General Fund 163.35 11/8/2021Batavia Instant Print Inc Operating Supplies Court Services General Fund 163.35 11/8/2021Batavia Instant Print Inc Operating Supplies Court Services Drug Court Special Resources 163.35 11/8/2021Battery Service Corporation Vehicle Parts/Supplies Transportation Motor Fuel Local Option 70.95 11/8/2021Battery Service Corporation Vehicle Parts/Supplies Transportation Motor Fuel Local Option 74.95 11/8/2021Baxter & Woodman Inc Engineering Services Transportation Transportation Sales Tax 6,777.89 11/8/2021Benjamin Adam Petschke Employee Mileage Expense Circuit Clerk General Fund 425.04 11/8/2021BLA Inc Engineering Services Transportation County Highway 17,910.08 11/8/2021BLA Inc Engineering Services Transportation County Highway 7,319.02 11/8/2021BLA Inc Engineering Services Transportation North Impact Fees 13,033.34 11/8/2021Black Gold Septic Inc Grease Trap‐ Septic Services Building Management General Fund 180 11/8/2021Blackberry Township Accrued Liabilities Township Bridge 129,006.29 11/8/2021Blade Electric & Technologies LLC Repairs and Maint‐ Comm Equip Information Technologies General Fund 1,800.00 11/8/2021

CLAIMS PAID REPORT NOVEMBER 2021 FOR COUNTY BOARD INFORMATION

Page 1 of 27 Packet Pg. 248

VENDOR NATURE OF CLAIM OFFICIAL/DEPARTMENT FUND AMOUNT PAID DATE PAIDCLAIMS PAID REPORT NOVEMBER 2021 FOR COUNTY BOARD INFORMATION

Blade Electric & Technologies LLC Repairs and Maint‐ Equipment Judiciary and Courts General Fund 5,300.00 11/8/2021BLR (Thompson Information Services) Books and Subscriptions State's Attorney Insurance Liability 536.99 11/8/2021Bob Barker Company Inc Operating Supplies Sheriff General Fund 1,175.10 11/8/2021Bob Barker Company Inc Juvenile Board and Care Court Services General Fund 537.8 11/8/2021Brenda D Gregory Per Diem Expense Judiciary and Courts General Fund 100 11/8/2021Brittany Moore Employee Mileage Expense Judiciary and Courts General Fund 10.44 11/8/2021Brooke Hampel Internet Other‐ Countywide Expenses General Fund 79.9 11/8/2021Buck Brothers Inc Equipment Parts/Supplies Transportation Motor Fuel Local Option 1,250.45 11/8/2021Buck Brothers Inc Equipment Parts/Supplies Transportation Motor Fuel Local Option 21.32 11/8/2021Buck Brothers Inc Equipment Parts/Supplies Transportation Motor Fuel Local Option 147.76 11/8/2021Buck Brothers Inc Equipment Parts/Supplies Transportation Motor Fuel Local Option 63.96 11/8/2021Buck Brothers Inc Equipment Parts/Supplies Transportation Motor Fuel Local Option 129.6 11/8/2021Buck Brothers Inc Equipment Parts/Supplies Transportation Motor Fuel Local Option 1,612.12 11/8/2021Buck Brothers Inc Equipment Parts/Supplies Transportation Motor Fuel Local Option ‐1,612.12 11/8/2021Business and Career Services Incorporated Miscellaneous Contractual Exp WIOA 20 Workforce Development 12,098.13 11/8/2021Business and Career Services Incorporated Work Based Learning Activities WIOA 20 Workforce Development 2,395.67 11/8/2021Byrne Software Technologies Inc Computer Software‐ Capital Transportation County Highway 3,920.00 11/8/2021Candace A Miller Miscellaneous Contractual Exp Judiciary and Courts General Fund 520 11/8/2021Canon Solutions America Inc Office Supplies Circuit Clerk General Fund 40.27 11/8/2021Canon Solutions America Inc Books and Subscriptions Circuit Clerk General Fund 734.17 11/8/2021Carahsoft Technology Corporation Software Licensing Cost Other‐ Countywide Expenses General Fund 1,451.60 11/8/2021Care Clinics Inc Psychological/Psychiatric Srvs Court Services Probation Services 600 11/8/2021Care Clinics Inc Psychological/Psychiatric Srvs Court Services Probation Services 100 11/8/2021Care Clinics Inc Psychological/Psychiatric Srvs Court Services Probation Services 100 11/8/2021Care Clinics Inc Psychological/Psychiatric Srvs Court Services Probation Services 65 11/8/2021Carina Julian Contractual/Consulting Services Judiciary and Courts General Fund 690.72 11/8/2021Carina Julian Contractual/Consulting Services Judiciary and Courts General Fund 345.36 11/8/2021Carina Julian Contractual/Consulting Services Judiciary and Courts General Fund 750.72 11/8/2021Carlos Mata Employee Mileage Expense Treasurer/Collector General Fund 20.16 11/8/2021CCMSI Workers Compensation Human Resource Management Insurance Liability 19,626.50 11/8/2021CDL America Inc DT ITA WIOA 20 Workforce Development 5,800.00 11/8/2021Central States SER Jobs for Progress Inc Miscellaneous Contractual Exp WIOA 20 Workforce Development 16,524.90 11/8/2021Central States SER Jobs for Progress Inc Work Based Learning Activities WIOA 20 Workforce Development 3,394.25 11/8/2021Central States SER Jobs for Progress Inc Youth Supportive Services WIOA 20 Workforce Development 4.8 11/8/2021Central States SER Jobs for Progress Inc Academic/Pre‐Vocational Services WIOA 20 Workforce Development 120 11/8/2021Cerity Partners Retirement Plan Advisors LLC Financial Wellness Other‐ Countywide Expenses Health Insurance Fund 2,500.00 11/8/2021Charm‐Tex Public Health Commodities ‐ Coronavirus Sheriff General Fund 9,775.30 11/8/2021Chicago Hollow Metal, Inc. (The Door Doctors) Repairs and Maint‐ Equipment Building Management General Fund 1,241.00 11/8/2021Chicago Title Company, LLC Highway Right of Way Transportation Motor Fuel Tax 313 11/8/2021Chicago Title Company, LLC Highway Right of Way Transportation Motor Fuel Tax 313 11/8/2021Chicago Title Company, LLC Highway Right of Way Transportation Motor Fuel Tax 313 11/8/2021Chicago Title Company, LLC Highway Right of Way Transportation Motor Fuel Tax 313 11/8/2021Chicago Title Company, LLC Highway Right of Way Transportation Transportation Sales Tax 313 11/8/2021Chicago Title Company, LLC Highway Right of Way Transportation Transportation Sales Tax 235 11/8/2021Chicago Transit Authority Incentives Court Services Probation Services 920 11/8/2021Christine Bousquet dba RCB Enterprises Jurors' Expense Judiciary and Courts General Fund 2,200.00 11/8/2021Christopher McGill SS Transportation Assistance WIOA 20 Workforce Development 190.4 11/8/2021Chronicle Media, LLC Legal Trial Notices State's Attorney General Fund 225 11/8/2021Chronicle Media, LLC Legal Trial Notices State's Attorney General Fund 25 11/8/2021Cigna Health and Life Insurance Company Healthcare ‐ Dental Insurance Other‐ Countywide Expenses Health Insurance Fund 60,726.98 11/8/2021Cindy Martin Employee Mileage Expense Transportation County Highway 36.96 11/8/2021Cintas Corporation Repairs and Maint‐ Vehicles Sheriff General Fund 48.09 11/8/2021Cintas Corporation Repairs and Maint‐ Vehicles Sheriff General Fund 48.09 11/8/2021Cintas Corporation Operating Supplies Transportation County Highway 338.67 11/8/2021Cintas Corporation Uniform Supplies Transportation Motor Fuel Local Option 299.35 11/8/2021Cintas Corporation Uniform Supplies Transportation Motor Fuel Local Option 290.81 11/8/2021Cintas Corporation Uniform Supplies Transportation Motor Fuel Local Option 290.67 11/8/2021City of Batavia Utilities‐ Intersect Lighting Transportation County Highway 35.42 11/8/2021City of Batavia Utilities‐ Intersect Lighting Transportation County Highway 107.01 11/8/2021City of Geneva Utilities‐ Sewer Building Management General Fund 150.03 11/8/2021City of Geneva Utilities‐ Sewer Building Management General Fund 29.49 11/8/2021City of Geneva Utilities‐ Water Building Management General Fund 106.72 11/8/2021City of Geneva Utilities‐ Water Building Management General Fund 493.48 11/8/2021City of Geneva Utilities‐ Water Building Management General Fund 178.79 11/8/2021



City of Geneva Utilities‐ Water Building Management General Fund 49.81 11/8/2021City of Geneva Utilities‐ Water Building Management General Fund 29.03 11/8/2021City of Geneva Utilities‐ Electric Building Management General Fund 11,094.70 11/8/2021City of Geneva Utilities‐ Electric Building Management General Fund 341.32 11/8/2021City of Geneva Utilities‐ Water Building Management General Fund 288.89 11/8/2021City of Geneva Utilities‐ Electric Building Management General Fund 34.56 11/8/2021City of Geneva Utilities‐ Electric Building Management General Fund 1,217.30 11/8/2021City of Geneva Utilities‐ Electric Building Management General Fund 57.72 11/8/2021City of Geneva Utilities‐ Water Animal Control Animal Control 384.24 11/8/2021City of Geneva Utilities‐ Electric Animal Control Animal Control 724.65 11/8/2021City of Geneva Utilities‐ Intersect Lighting Transportation County Highway 36.29 11/8/2021City of Geneva Professional Services Environmental Management Enterprise Surcharge 27.41 11/8/2021City of St. Charles Utilities‐ Water Building Management General Fund 87.65 11/8/2021City of St. Charles Utilities‐ Water Court Services General Fund 1,396.45 11/8/2021Clint Hull Conferences and Meetings Judiciary and Courts General Fund 488.19 11/8/2021Coffman Truck Sales Inc Repairs and Maint‐ Vehicles Building Management General Fund 29.7 11/8/2021Coffman Truck Sales Inc Repairs and Maint‐ Vehicles Sheriff General Fund 7,767.11 11/8/2021Combined Roofing Services LLC (American Roofing) Repairs and Maint‐ Buildings Building Management General Fund 1,911.06 11/8/2021ComEd Utilities‐ Electric Building Management General Fund 3,756.93 11/8/2021ComEd Utilities‐ Intersect Lighting Transportation County Highway 3,221.30 11/8/2021ComEd Utilities‐ Intersect Lighting Transportation County Highway 3,104.29 11/8/2021ComEd Utilities‐ Intersect Lighting Transportation County Highway 3,144.01 11/8/2021ComEd Utilities‐ Intersect Lighting Transportation County Highway 2,980.07 11/8/2021ComEd Utilities‐ Intersect Lighting Transportation County Highway 2,867.59 11/8/2021ComEd Utilities‐ Intersect Lighting Transportation County Highway 828.25 11/8/2021ComEd Utilities‐ Intersect Lighting Transportation County Highway 1,149.38 11/8/2021ComEd Utilities‐ Intersect Lighting Transportation County Highway 23.35 11/8/2021ComEd Utilities‐ Intersect Lighting Transportation County Highway 39.76 11/8/2021ComEd Utilities‐ Intersect Lighting Transportation County Highway 10.67 11/8/2021ComEd Utilities‐ Intersect Lighting Transportation County Highway 43.92 11/8/2021ComEd Utilities‐ Intersect Lighting Transportation County Highway 25.5 11/8/2021ComEd Utilities‐ Intersect Lighting Transportation County Highway 197.51 11/8/2021ComEd Utilities‐ Intersect Lighting Transportation County Highway 29.95 11/8/2021ComEd Utilities‐ Intersect Lighting Transportation County Highway 192.78 11/8/2021ComEd Utilities‐ Intersect Lighting Transportation County Highway 29.03 11/8/2021ComEd Utilities‐ Intersect Lighting Transportation County Highway 6.4 11/8/2021ComEd Utilities‐ Electric Operating Pool Workforce Development 349.5 11/8/2021ComEd Utilities‐ Intersect Lighting Development Mill Creek Special Service Area 29.57 11/8/2021ComEd Utilities‐ Intersect Lighting Development Mill Creek Special Service Area 29.83 11/8/2021ComEd Utilities‐ Intersect Lighting Development Mill Creek Special Service Area 117.16 11/8/2021ComEd Utilities‐ Intersect Lighting Development Mill Creek Special Service Area 76.02 11/8/2021ComEd Utilities‐ Intersect Lighting Development Mill Creek Special Service Area 27.11 11/8/2021ComEd Utilities‐ Intersect Lighting Development Mill Creek Special Service Area 19.67 11/8/2021ComEd Utilities‐ Intersect Lighting Development Mill Creek Special Service Area 59.81 11/8/2021ComEd Utilities‐ Intersect Lighting Development Mill Creek Special Service Area 28.61 11/8/2021ComEd Utilities‐ Intersect Lighting Development Mill Creek Special Service Area 28.64 11/8/2021ComEd Utilities‐ Intersect Lighting Development Mill Creek Special Service Area 19.67 11/8/2021ComEd Utilities‐ Intersect Lighting Development Mill Creek Special Service Area 46.5 11/8/2021Community Contacts, Inc. Miscellaneous Contractual Exp Development Community Dev Block Program 4,500.00 11/8/2021Constellation NewEnergy Inc. Utilities‐ Intersect Lighting Transportation County Highway 66.23 11/8/2021Constellation NewEnergy‐Gas Division, LLC Utilities‐ Natural Gas Building Management General Fund 544.92 11/8/2021Constellation NewEnergy‐Gas Division, LLC Utilities‐ Natural Gas Building Management General Fund 836.63 11/8/2021Constellation NewEnergy‐Gas Division, LLC Utilities‐ Natural Gas Building Management General Fund 301.59 11/8/2021Constellation NewEnergy‐Gas Division, LLC Utilities‐ Natural Gas Building Management General Fund 207.76 11/8/2021Constellation NewEnergy‐Gas Division, LLC Utilities‐ Natural Gas Building Management General Fund 289.37 11/8/2021Constellation NewEnergy‐Gas Division, LLC Utilities‐ Natural Gas Transportation County Highway 212.8 11/8/2021Copenhaver Construction Inc. Bridge Construction Transportation Transportation Sales Tax 28,275.07 11/8/2021COPS Testing Service Inc Medical/Dental/Hospital Services Sheriff General Fund 1,350.00 11/8/2021Copy King Office Solutions Inc Miscellaneous Contractual Exp Coroner Coroner Administration 339.23 11/8/2021Cordogan, Clark & Associates Inc Contractual/Consulting Services Other‐ Countywide Expenses Capital Projects 5,455.00 11/8/2021Cordogan, Clark & Associates Inc Contractual/Consulting Services Other‐ Countywide Expenses Capital Projects 1,040.00 11/8/2021Cordogan, Clark & Associates Inc Contractual/Consulting Services Other‐ Countywide Expenses Capital Projects 100 11/8/2021Cordogan, Clark & Associates Inc Contractual/Consulting Services Other‐ Countywide Expenses Capital Projects 1,100.00 11/8/2021Cordogan, Clark & Associates Inc Contractual/Consulting Services Other‐ Countywide Expenses Capital Projects 1,980.00 11/8/2021



Cordogan, Clark & Associates Inc Contractual/Consulting Services Other‐ Countywide Expenses Capital Projects 9,185.01 11/8/2021Cordogan, Clark & Associates Inc Contractual/Consulting Services Other‐ Countywide Expenses Capital Projects 7,702.50 11/8/2021Cordogan, Clark & Associates Inc Contractual/Consulting Services Other‐ Countywide Expenses Capital Projects 937.5 11/8/2021Cordogan, Clark & Associates Inc Public Health Services ‐ Coronavirus Other‐ Countywide Expenses Capital Projects 880 11/8/2021Cordogan, Clark & Associates Inc Public Health Services ‐ Coronavirus Other‐ Countywide Expenses Capital Projects 5,934.54 11/8/2021Cordogan, Clark & Associates Inc Public Health Services ‐ Coronavirus Other‐ Countywide Expenses Capital Projects 172.5 11/8/2021Cordogan, Clark & Associates Inc Building Improvements Other‐ Countywide Expenses Capital Projects 880 11/8/2021Cordogan, Clark & Associates Inc Building Improvements Other‐ Countywide Expenses Capital Improvement Bond Const 503.25 11/8/2021Cordogan, Clark & Associates Inc Repairs and Maint‐ Grounds Development Mill Creek Special Service Area 3,145.50 11/8/2021Corey Malis Internet Other‐ Countywide Expenses General Fund 50.1 11/8/2021Cornerstone Partners Horticultural Services Co. Repairs and Maint‐ Grounds Development Mill Creek Special Service Area 5,149.50 11/8/2021Cornerstone Partners Horticultural Services Co. Repairs and Maint‐ Grounds Development Mill Creek Special Service Area 4,103.75 11/8/2021Cornerstone Partners Horticultural Services Co. Repairs and Maint‐ Grounds Development Mill Creek Special Service Area 539.93 11/8/2021Correct Electronics Inc Project Administration Services Other‐ Countywide Expenses Capital Projects 4,000.00 11/8/2021Country Auto Glass Inc Vehicle Parts/Supplies Transportation Motor Fuel Local Option 450 11/8/2021Culligan Tri City Soft Water Disposal and Water Softener Srvs Transportation County Highway 90 11/8/2021D Construction Bridge Construction Transportation Motor Fuel Local Option 118,805.03 11/8/2021Dana D. Bollman Court Reporter Costs State's Attorney General Fund 464 11/8/2021Daniel Velasco Contractual/Consulting Services Judiciary and Courts General Fund 1,800.00 11/8/2021Daniel Velasco Contractual/Consulting Services Judiciary and Courts General Fund 1,800.00 11/8/2021Daniela Michelle Gicla Autopsies/Consulting Coroner General Fund 300 11/8/2021Denise C. Murmann Dental Health, PC dba Murmann, DDS Autopsies/Consulting Coroner General Fund 300 11/8/2021DePaul University DT ITA WIOA 20 Workforce Development 6,795.00 11/8/2021DFM Associates Software Licensing Cost County Clerk General Fund 10,075.00 11/8/2021Dina G Mancillas Per Diem Expense Judiciary and Courts General Fund 22 11/8/2021DNM Sealcoating, Inc Building Improvements Other‐ Countywide Expenses Capital Projects 9,995.00 11/8/2021DNM Sealcoating, Inc Repairs and Maintenance‐ Roads Development Mill Creek Special Service Area 785 11/8/2021Document Imaging Services LLC Operating Supplies Judiciary and Courts General Fund 119 11/8/2021Do‐over.me External Grants County Board Grand Victoria Casino Elgin 150 11/8/2021Dreyer Medical Clinic Medical/Dental/Hospital Services Sheriff General Fund 145 11/8/2021Dreyer Medical Clinic Medical/Dental/Hospital Services Sheriff General Fund 648 11/8/2021Dreyer Medical Clinic Medical/Dental/Hospital Services Sheriff General Fund 443 11/8/2021Dreyer Medical Clinic Medical/Dental/Hospital Services Sheriff General Fund 823 11/8/2021Dreyer Medical Clinic Pre‐Employment Physicals Sheriff General Fund 620 11/8/2021Dreyer Medical Clinic Pre‐Employment Physicals Sheriff General Fund 65 11/8/2021Dreyer Medical Clinic Pre‐Employment Physicals Sheriff General Fund 668 11/8/2021Dultmeier Sales Inc Equipment Parts/Supplies Transportation Motor Fuel Local Option 388.46 11/8/2021Dunham Woods Riding Club Miscellaneous Contractual Exp Judiciary and Courts General Fund 1,183.75 11/8/2021DuPage Salt Company Disposal and Water Softener Srvs Animal Control Animal Control 45 11/8/2021DuPage Water Conditioning Co Repairs and Maint‐ Equipment Building Management General Fund 824.64 11/8/2021Dynamic Works Institute DT Job Readiness Training WIOA 20 Workforce Development 1,554.68 11/8/2021Dynamic Works Institute DT Job Readiness Training WIOA 20 Workforce Development 7,590.52 11/8/2021Ecker Center for Mental Health Psychological/Psychiatric Srvs Court Services Probation Services 1,530.00 11/8/2021Elburn NAPA Inc (North Aurora) Repairs and Maint‐ Vehicles Sheriff General Fund 163.06 11/8/2021Elburn NAPA Inc (North Aurora) Repairs and Maint‐ Vehicles Sheriff General Fund 68.97 11/8/2021Elburn NAPA Inc (North Aurora) Repairs and Maint‐ Vehicles Sheriff General Fund 58.56 11/8/2021Elburn NAPA Inc (North Aurora) Repairs and Maint‐ Vehicles Sheriff General Fund 197.48 11/8/2021Elburn NAPA Inc (North Aurora) Repairs and Maint‐ Vehicles Sheriff General Fund 102.96 11/8/2021Elburn NAPA Inc (North Aurora) Repairs and Maint‐ Vehicles Sheriff General Fund 446.78 11/8/2021Elburn NAPA Inc (North Aurora) Repairs and Maint‐ Vehicles Sheriff General Fund ‐108 11/8/2021Elburn NAPA Inc (North Aurora) Repairs and Maint‐ Vehicles Sheriff General Fund 20.88 11/8/2021Elburn NAPA Inc (North Aurora) Repairs and Maint‐ Vehicles Sheriff General Fund 211.65 11/8/2021Elburn NAPA Inc (North Aurora) Vehicle Parts/Supplies Transportation Motor Fuel Local Option 251.8 11/8/2021Elburn NAPA Inc (North Aurora) Vehicle Parts/Supplies Transportation Motor Fuel Local Option 574.21 11/8/2021Elburn NAPA Inc (North Aurora) Vehicle Parts/Supplies Transportation Motor Fuel Local Option 144.6 11/8/2021Elburn NAPA Inc (North Aurora) Vehicle Parts/Supplies Transportation Motor Fuel Local Option 136.08 11/8/2021Elburn NAPA Inc (North Aurora) Vehicle Parts/Supplies Transportation Motor Fuel Local Option 48 11/8/2021Elburn NAPA Inc (North Aurora) Vehicle Parts/Supplies Transportation Motor Fuel Local Option 255.56 11/8/2021Elburn NAPA Inc (North Aurora) Vehicle Parts/Supplies Transportation Motor Fuel Local Option 10.04 11/8/2021Elburn NAPA Inc (North Aurora) Vehicle Parts/Supplies Transportation Motor Fuel Local Option 29.5 11/8/2021Elburn NAPA Inc (North Aurora) Vehicle Parts/Supplies Transportation Motor Fuel Local Option 45.01 11/8/2021Elburn NAPA Inc (North Aurora) Vehicle Parts/Supplies Transportation Motor Fuel Local Option 50.48 11/8/2021Elburn NAPA Inc (North Aurora) Vehicle Parts/Supplies Transportation Motor Fuel Local Option 28.68 11/8/2021Elburn NAPA Inc (North Aurora) Vehicle Parts/Supplies Transportation Motor Fuel Local Option 409.65 11/8/2021



Elburn NAPA Inc (North Aurora) Vehicle Parts/Supplies Transportation Motor Fuel Local Option 137.29 11/8/2021Elgin Community College Miscellaneous Contractual Exp WIOA 20 Workforce Development 1,338.08 11/8/2021Elgin Community College Work Based Learning Activities WIOA 20 Workforce Development 992.89 11/8/2021Elgin Community College Miscellaneous Contractual Exp WIOA 20 Workforce Development 14,149.13 11/8/2021Elgin Community College Work Based Learning Activities WIOA 20 Workforce Development 7,166.23 11/8/2021Elgin Community College Youth ITA WIOA 20 Workforce Development 1,839.51 11/8/2021Elgin Community College Youth Supportive Services WIOA 20 Workforce Development 272.7 11/8/2021Elizabeth Donegan PsyD Psychological/Psychiatric Srvs Judiciary and Courts General Fund 750 11/8/2021Emily Olson Employee Mileage Expense Circuit Clerk General Fund 24.08 11/8/2021Ericka Andrade SS Transportation Assistance WIOA 20 Workforce Development 234.08 11/8/2021Eternally Green Lawn Care Repairs and Maint‐ Grounds Development Mill Creek Special Service Area 5,850.00 11/8/2021Falguni Rubio Contractual/Consulting Services Judiciary and Courts General Fund 407.04 11/8/2021Falguni Rubio Contractual/Consulting Services Judiciary and Courts General Fund 403.68 11/8/2021Family Counseling Services of Aurora Psychological/Psychiatric Srvs Court Services Probation Services 75 11/8/2021Family Counseling Services of Aurora Psychological/Psychiatric Srvs Court Services Probation Services 180 11/8/2021Family Counseling Services of Aurora Psychological/Psychiatric Srvs Court Services Probation Services 135 11/8/2021Family Counseling Services of Aurora Psychological/Psychiatric Srvs Court Services Probation Services 75 11/8/2021Family Counseling Services of Aurora Psychological/Psychiatric Srvs Court Services Probation Services 135 11/8/2021Family Counseling Services of Aurora Psychological/Psychiatric Srvs Court Services Probation Services 75 11/8/2021Family Counseling Services of Aurora Psychological/Psychiatric Srvs Court Services Probation Services 180 11/8/2021Family Counseling Services of Aurora Psychological/Psychiatric Srvs Court Services Probation Services 225 11/8/2021Family Counseling Services of Aurora Psychological/Psychiatric Srvs Court Services Probation Services 135 11/8/2021Family Counseling Services of Aurora Psychological/Psychiatric Srvs Court Services Probation Services 75 11/8/2021Family Counseling Services of Aurora Psychological/Psychiatric Srvs Court Services Probation Services 135 11/8/2021Family Counseling Services of Aurora Psychological/Psychiatric Srvs Court Services Probation Services 225 11/8/2021Family Counseling Services of Aurora Psychological/Psychiatric Srvs Court Services Probation Services 75 11/8/2021Family Counseling Services of Aurora Psychological/Psychiatric Srvs Court Services Probation Services 45 11/8/2021Family Counseling Services of Aurora Psychological/Psychiatric Srvs Court Services Probation Services 135 11/8/2021Feece Oil Company Fuel‐ Vehicles Building Management General Fund 53.85 11/8/2021Fence Connection Inc Repairs and Maint‐ Vehicles Sheriff General Fund 16,850.00 11/8/2021Fidelity Security Life Insurance Company (Eyemed) Healthcare ‐ Vision Insurance Other‐ Countywide Expenses Health Insurance Fund 6,799.38 11/8/2021FleetPride Inc Vehicle Parts/Supplies Transportation Motor Fuel Local Option 214.5 11/8/2021FleetPride Inc Vehicle Parts/Supplies Transportation Motor Fuel Local Option 218.5 11/8/2021Flexible Benefits Service, LLC Accrued Liabilities Flexible Spending Account 4,611.37 11/8/2021Flexible Benefits Service, LLC Accrued Liabilities Flexible Spending Account 5,142.88 11/8/2021Forest Preserve District of Kane County Bridge Construction Transportation Transportation Sales Tax 254,100.00 11/8/2021Fox Valley Internet, Inc. Internet Other‐ Countywide Expenses General Fund 50 11/8/2021Fox Valley Sewer Service Repairs and Maint‐ Buildings Building Management General Fund 230 11/8/2021Fox Valley Sewer Service Repairs and Maint‐ Buildings Building Management General Fund 262.5 11/8/2021Frank McEwen SS Transportation Assistance WIOA 20 Workforce Development 63.84 11/8/2021Fuller's Full Service Car Wash Repairs and Maint‐ Vehicles Building Management General Fund 53.2 11/8/2021Fuller's Full Service Car Wash Repairs and Maint‐ Vehicles Building Management General Fund 53.2 11/8/2021Garcia Clinical Laboratory, Inc. Lab Services Court Services General Fund 70 11/8/2021Gary Erickson Conferences and Meetings Information Technologies General Fund 231 11/8/2021gba Systems Integrators LLC Engineering Services Transportation County Highway 5,365.00 11/8/2021Georgina Lynn McShane Employee Mileage Expense County Clerk General Fund 15.12 11/8/2021Gil Antonio Borjas Contractual/Consulting Services Judiciary and Courts General Fund 440.4 11/8/2021Gil Antonio Borjas Contractual/Consulting Services Judiciary and Courts General Fund 820.8 11/8/2021Gordon Flesch Company Inc Printing Supplies Information Technologies General Fund 76.5 11/8/2021Gordon Flesch Company Inc Printing Supplies Information Technologies General Fund 11.96 11/8/2021Gordon Flesch Company Inc Operating Supplies Judiciary and Courts General Fund 2.29 11/8/2021Gordon Flesch Company Inc Operating Supplies Judiciary and Courts General Fund 57.86 11/8/2021Gordon Flesch Company Inc Operating Supplies Judiciary and Courts General Fund 16.35 11/8/2021Grainger Inc Repairs and Maint‐ Buildings Building Management General Fund 589.42 11/8/2021Grainger Inc Repairs and Maint‐ Buildings Building Management General Fund 114.18 11/8/2021Grainger Inc Repairs and Maint‐ Buildings Building Management General Fund 64.12 11/8/2021Grainger Inc Office Supplies Animal Control Animal Control 852 11/8/2021Grainger Inc Buildings and Grounds Supplies Transportation County Highway 313.75 11/8/2021Green Tree Pharmacy Medical Supplies and Drugs Court Services General Fund 303.03 11/8/2021Grundy‐Kendall Regional Office of Education Miscellaneous Contractual Exp WIOA 20 Workforce Development 2,622.85 11/8/2021Grundy‐Kendall Regional Office of Education Work Based Learning Activities WIOA 20 Workforce Development 3,463.46 11/8/2021Grundy‐Kendall Regional Office of Education Youth Supportive Services WIOA 20 Workforce Development 115.23 11/8/2021Grundy‐Kendall Regional Office of Education Miscellaneous Contractual Exp WIOA 20 Workforce Development 5,827.84 11/8/2021Grundy‐Kendall Regional Office of Education Work Based Learning Activities WIOA 20 Workforce Development 2,051.17 11/8/2021



Grundy‐Kendall Regional Office of Education Youth Supportive Services WIOA 20 Workforce Development 202.86 11/8/2021Hampton Lenzini & Renwick, Inc. (HLR) Bridge Inspection Transportation County Bridge 44,846.40 11/8/2021Havlicek Geneva Ace Hardware LLC Computer Related Supplies Information Technologies General Fund 13.99 11/8/2021Havlicek Geneva Ace Hardware LLC Operating Supplies County Clerk General Fund 15.27 11/8/2021Healy Bender & Associates, Inc Contractual/Consulting Services Other‐ Countywide Expenses Capital Projects 10,125.00 11/8/2021Healy Bender & Associates, Inc Contractual/Consulting Services Other‐ Countywide Expenses Capital Projects 5,300.00 11/8/2021Heartland Business Systems LLC Contractual/Consulting Services Information Technologies General Fund 30,000.00 11/8/2021Heartland Business Systems LLC Telephone Other‐ Countywide Expenses General Fund 40,461.55 11/8/2021Heidi Baxter Employee Training State's Attorney Child Advocacy Center 54.11 11/8/2021Heidi Lichtenberger Conferences and Meetings Transportation County Highway 396.4 11/8/2021Heidi Lichtenberger Employee Mileage Expense Transportation County Highway 172.26 11/8/2021Henderson Products Inc Vehicle Parts/Supplies Transportation Motor Fuel Local Option 64.87 11/8/2021Herman Gomez Tree Service and Landscaping Inc Repairs and Maint‐ Grounds Development Mill Creek Special Service Area 650 11/8/2021Hodges‐Mace LLC Software Licensing Cost Other‐ Countywide Expenses General Fund 10,000.00 11/8/2021H‐O‐H Water Technology, Inc. Repairs and Maint‐ Equipment Building Management General Fund 2,505.00 11/8/2021H‐O‐H Water Technology, Inc. Repairs and Maint‐ Equipment Building Management General Fund 4,509.47 11/8/2021H‐O‐H Water Technology, Inc. Repairs and Maint‐ Equipment Building Management General Fund 1,380.00 11/8/2021HOV Services Inc dba an Exela Technologies Co Operating Supplies Recorder Recorder's Automation 355.47 11/8/2021Howard Medical Co Operating Supplies Coroner Coroner Administration 354 11/8/2021Huff & Huff Inc Engineering Services Transportation County Highway 24,314.12 11/8/2021IL Department of Innovation & Technology (CMS) Operating Supplies Sheriff General Fund 942.4 11/8/2021IL Probation & Court Services Association (IPCSA) Conferences and Meetings Court Services General Fund 720 11/8/2021IL Probation & Court Services Association (IPCSA) Conferences and Meetings Court Services General Fund 75 11/8/2021IL Probation & Court Services Association (IPCSA) Conferences and Meetings Court Services General Fund 1,230.00 11/8/2021IL Probation & Court Services Association (IPCSA) Conferences and Meetings Court Services General Fund 210 11/8/2021IL Probation & Court Services Association (IPCSA) Conferences and Meetings Court Services General Fund 210 11/8/2021IL Probation & Court Services Association (IPCSA) Conferences and Meetings Court Services General Fund 870 11/8/2021ILLCO INC Repairs and Maint‐ Buildings Building Management General Fund 164.81 11/8/2021ILLCO INC Repairs and Maint‐ Buildings Building Management General Fund 214.31 11/8/2021ILLCO INC Repairs and Maint‐ Buildings Building Management General Fund 5.08 11/8/2021ILLCO INC Repairs and Maint‐ Equipment Building Management General Fund 290.59 11/8/2021ILLCO INC Repairs and Maint‐ Buildings Transportation County Highway 76.82 11/8/2021Illini Power Products Contractual/Consulting Services Information Technologies General Fund 1,116.00 11/8/2021Image‐Pro Services & Supplies Inc Conferences and Meetings Circuit Clerk General Fund 2,473.00 11/8/2021Impact Networking, LLC Repairs and Maint‐ Copiers County Board General Fund 29.38 11/8/2021Impact Networking, LLC Printing Supplies Information Technologies General Fund 544.86 11/8/2021Impact Networking, LLC Repairs and Maint‐ Copiers Sheriff General Fund 87 11/8/2021Impact Networking, LLC Repairs and Maint‐ Copiers Transportation County Highway 32 11/8/2021Insight Public Sector Inc Repairs and Maint‐ Computers Information Technologies General Fund 2,692.00 11/8/2021Insight Public Sector Inc Medical/Dental/Hospital Services Sheriff General Fund 863.59 11/8/2021Insight Public Sector Inc Miscellaneous Contractual Exp Other‐ Countywide Expenses General Fund 26,814.91 11/8/2021IT Expert System, Inc. DT ITA WIOA 20 Workforce Development 4,500.00 11/8/2021iTouch Biometrics, LLC Repairs and Maint‐ Comm Equip Sheriff General Fund 990 11/8/2021J Patrick Jaeger Legal Services Transportation County Highway 4,000.00 11/8/2021James A. Filkins Autopsies/Consulting Coroner General Fund 14,400.00 11/8/2021Janet Davis Employee Mileage Expense Circuit Clerk General Fund 61.6 11/8/2021Jeanine Fassnacht Court Reporter Costs State's Attorney General Fund 428 11/8/2021Jennifer Campbell Per Diem Expense Judiciary and Courts General Fund 100 11/8/2021Jennifer L. Joyce Court Reporter Costs State's Attorney General Fund 788 11/8/2021Jensen's Plumbing & Heating Inc Repairs and Maint‐ Equipment Building Management General Fund 209.28 11/8/2021John F. Harahan Accrued Liabilities 911 Emergency Surcharge 877.5 11/8/2021Johnson Controls Security Solutions (Tyco) Repairs and Maint‐ Buildings Building Management General Fund 131.94 11/8/2021Just In Time Coffee LLC Jurors' Expense Judiciary and Courts General Fund 1,053.00 11/8/2021Just In Time Coffee LLC Jurors' Expense Judiciary and Courts General Fund 2,189.00 11/8/2021Just In Time Coffee LLC Jurors' Expense Judiciary and Courts General Fund 1,723.00 11/8/2021Just In Time Coffee LLC Conferences and Meetings State's Attorney General Fund 60 11/8/2021Kane County Juror Payable Clearing Jurors‐ Circuit Court Judiciary and Courts General Fund 1,675.84 11/8/2021Kellenberger Electric, Inc Repairs and Maint‐ Buildings Building Management General Fund 285 11/8/2021Kelsey Spriet Employee Mileage Expense Circuit Clerk General Fund 255.36 11/8/2021Kishwaukee College Miscellaneous Contractual Exp WIOA 20 Workforce Development 15,710.85 11/8/2021Kishwaukee College Miscellaneous Contractual Exp WIOA 20 Workforce Development 8,078.29 11/8/2021Kobald Reporting Inc Per Diem Expense Judiciary and Courts General Fund 100 11/8/2021Kobald Reporting Inc Per Diem Expense Judiciary and Courts General Fund 126.5 11/8/2021Kobald Reporting Inc Court Reporter Costs State's Attorney General Fund 76 11/8/2021



Kobald Reporting Inc Court Reporter Costs State's Attorney General Fund 416 11/8/2021Konica Minolta Business Solutions Repairs and Maint‐ Copiers Public Defender General Fund 21.73 11/8/2021Land‐Code LLC Contractual/Consulting Services Recorder Recorder's Automation 4,850.00 11/8/2021Land‐Code LLC Computer Software‐ Capital Recorder Recorder's Automation 13,750.00 11/8/2021Lazarus House Miscellaneous Contractual Exp Development Community Dev Block Program 19,080.00 11/8/2021Lowes Repairs and Maint‐ Buildings Building Management General Fund 277.04 11/8/2021Lowes Repairs and Maint‐ Buildings Building Management General Fund 47.04 11/8/2021Lowes Repairs and Maint‐ Buildings Building Management General Fund 35.97 11/8/2021Lowes Repairs and Maint‐ Buildings Building Management General Fund 15.93 11/8/2021Lowes Repairs and Maint‐ Buildings Building Management General Fund 42.24 11/8/2021Lowes Repairs and Maint‐ Buildings Building Management General Fund 27.97 11/8/2021Lowes Repairs and Maint‐ Buildings Building Management General Fund ‐2.07 11/8/2021LRD Systems & Forms Legal Printing Treasurer/Collector General Fund 21,041.77 11/8/2021Luetkehans, Brady, Garner & Armstrong LLC Legal Services State's Attorney Insurance Liability 3,038.00 11/8/2021Luetkehans, Brady, Garner & Armstrong LLC Legal Services State's Attorney Insurance Liability 3,237.00 11/8/2021Marberry Cleaners & Launderers Operating Supplies Coroner Coroner Administration 43.5 11/8/2021Marberry Cleaners & Launderers Operating Supplies Coroner Coroner Administration 49.3 11/8/2021Mariann L Busch Court Reporter Costs State's Attorney General Fund 366 11/8/2021Mariann L Busch Court Reporter Costs State's Attorney General Fund 896 11/8/2021Maricela Ibarra Contractual/Consulting Services Judiciary and Courts General Fund 367.08 11/8/2021Maricela Ibarra Contractual/Consulting Services Judiciary and Courts General Fund 387.84 11/8/2021Maricela Ibarra Contractual/Consulting Services Judiciary and Courts General Fund 392.4 11/8/2021Mart Data LLC Highway Right of Way Transportation Motor Fuel Tax 5,000.00 11/8/2021Martha Gerald dba Power Vibes Inc. Contractual/Consulting Services Judiciary and Courts General Fund 365.84 11/8/2021Martha Gerald dba Power Vibes Inc. Contractual/Consulting Services Judiciary and Courts General Fund 731.68 11/8/2021Martina M. Miranda Per Diem Expense Judiciary and Courts General Fund 128 11/8/2021Martina M. Miranda Per Diem Expense Judiciary and Courts General Fund 124 11/8/2021Mary A Trezzo Per Diem Expense Judiciary and Courts General Fund 128 11/8/2021Mary A Trezzo Court Reporter Costs State's Attorney General Fund 588 11/8/2021MaryAnn Kabara Employee Mileage Expense Circuit Clerk General Fund 84 11/8/2021McCann Industries, Inc. Equipment Parts/Supplies Transportation Motor Fuel Local Option 70.32 11/8/2021McCann Industries, Inc. Equipment Parts/Supplies Transportation Motor Fuel Local Option 368.81 11/8/2021McCann Industries, Inc. Equipment Parts/Supplies Transportation Motor Fuel Local Option 767.5 11/8/2021McKesson Medical Surgical Medical Supplies and Drugs Court Services General Fund 16.74 11/8/2021McKesson Medical Surgical Medical Supplies and Drugs Court Services General Fund 9.68 11/8/2021McKesson Medical Surgical Medical Supplies and Drugs Court Services General Fund 36.42 11/8/2021McKesson Medical Surgical Medical Supplies and Drugs Court Services General Fund 62.8 11/8/2021McKesson Medical Surgical Medical Supplies and Drugs Court Services General Fund 26.62 11/8/2021McKesson Medical Surgical Medical Supplies and Drugs Court Services General Fund 10.76 11/8/2021McKesson Medical Surgical Medical Supplies and Drugs Court Services General Fund 57.78 11/8/2021McKesson Medical Surgical Medical Supplies and Drugs Court Services General Fund 12.18 11/8/2021McKesson Medical Surgical Medical Supplies and Drugs Court Services General Fund 123.47 11/8/2021McMaster‐Carr Supply Co Buildings and Grounds Supplies Transportation County Highway 368.94 11/8/2021MDSolutions Inc Sign Material Transportation County Highway 1,050.00 11/8/2021Meagan Carroll Per Diem Expense Judiciary and Courts General Fund 20 11/8/2021Meagan Carroll Court Reporter Costs State's Attorney General Fund 440 11/8/2021Menards, Inc. Repairs and Maint‐ Buildings Building Management General Fund 29.92 11/8/2021Menards, Inc. Repairs and Maint‐ Buildings Building Management General Fund 74.75 11/8/2021Menards, Inc. Repairs and Maint‐ Buildings Building Management General Fund 697.87 11/8/2021Menards, Inc. Repairs and Maint‐ Buildings Building Management General Fund 6.98 11/8/2021Menards, Inc. Repairs and Maint‐ Buildings Building Management General Fund 90.29 11/8/2021Menards, Inc. Repairs and Maint‐ Buildings Building Management General Fund 51.54 11/8/2021Menards, Inc. Repairs and Maint‐ Buildings Building Management General Fund 13.94 11/8/2021Menards, Inc. Repairs and Maint‐ Buildings Building Management General Fund 59.32 11/8/2021Menards, Inc. Repairs and Maint‐ Buildings Building Management General Fund 14.12 11/8/2021Menards, Inc. Repairs and Maint‐ Buildings Building Management General Fund 78.98 11/8/2021Menards, Inc. Repairs and Maint‐ Buildings Building Management General Fund 27.65 11/8/2021Menards, Inc. Repairs and Maint‐ Buildings Building Management General Fund 8.44 11/8/2021Menards, Inc. Repairs and Maint‐ Vehicles Sheriff General Fund 10.76 11/8/2021Menards, Inc. Repairs and Maint‐ Vehicles Sheriff General Fund 127.84 11/8/2021Menards, Inc. Operating Supplies Sheriff General Fund 38.05 11/8/2021Menards, Inc. Buildings and Grounds Supplies Transportation County Highway 290.17 11/8/2021Menards, Inc. Buildings and Grounds Supplies Transportation County Highway 367.4 11/8/2021Menards, Inc. Buildings and Grounds Supplies Transportation County Highway 263.74 11/8/2021



Menards, Inc. Sign Material Transportation County Highway 52.8 11/8/2021Menards, Inc. Road Material Transportation Motor Fuel Local Option 139.9 11/8/2021Menards, Inc. Road Material Transportation Motor Fuel Local Option 184.32 11/8/2021Michael R Lee SS Transportation Assistance WIOA 20 Workforce Development 275.08 11/8/2021Midland Paper Co Printing Supplies Information Technologies General Fund 2,814.40 11/8/2021Midwest Computer Products Inc Repairs and Maint‐ Computers Information Technologies General Fund 225 11/8/2021Midwest Environmental Consulting Services, Inc. Repairs and Maint‐ Buildings Building Management General Fund 840 11/8/2021Midwest Paving Equipment, Inc. Equipment Parts/Supplies Transportation Motor Fuel Local Option 345 11/8/2021Midwest Public Safety LLC Contractual/Consulting Services Sheriff General Fund 18,830.01 11/8/2021Mind, Body, Spirit Healing (MBSH) Psychological/Psychiatric Srvs Court Services Probation Services 100 11/8/2021Mind, Body, Spirit Healing (MBSH) Psychological/Psychiatric Srvs Court Services Probation Services 100 11/8/2021Mitra B. Kalelkar Autopsies/Consulting Coroner General Fund 15,600.00 11/8/2021Mitra B. Kalelkar Autopsies/Consulting Coroner General Fund 16,900.00 11/8/2021Nancy Campeggio Employee Mileage Expense Circuit Clerk General Fund 19.6 11/8/2021Nancy Schmook Internet Other‐ Countywide Expenses General Fund 64.95 11/8/2021NAT Tech Inc. (National Technologies NTI) Communications Equipment Other‐ Countywide Expenses Public Safety Sales Tax 13,818.00 11/8/2021Natalie Hall Autopsies/Consulting Coroner General Fund 600 11/8/2021National Youth Advocate Program Inc Miscellaneous Contractual Exp WIOA 20 Workforce Development 302.38 11/8/2021National Youth Advocate Program Inc Miscellaneous Contractual Exp WIOA 20 Workforce Development 5,745.12 11/8/2021Nickerson & Associates P C Psychological/Psychiatric Srvs Court Services Probation Services 12,155.00 11/8/2021Nicor Gas Utilities‐ Natural Gas Building Management General Fund 43.56 11/8/2021Nicor Gas Utilities‐ Natural Gas Building Management General Fund 221.77 11/8/2021Nicor Gas Utilities‐ Natural Gas Building Management General Fund 46 11/8/2021Nicor Gas Utilities‐ Natural Gas Animal Control Animal Control 182.54 11/8/2021Nicor Gas Utilities‐ Natural Gas Operating Pool Workforce Development 42.25 11/8/2021Nicor Gas Utilities‐ Natural Gas Operating Pool Workforce Development 22.08 11/8/2021Nicor Gas Utilities‐ Natural Gas Operating Pool Workforce Development 41.32 11/8/2021Nicor Gas Utilities‐ Natural Gas One‐Stop shared costs Workforce Development 21.02 11/8/2021Nicor Gas Utilities‐ Intersect Lighting Development Mill Creek Special Service Area 48.47 11/8/2021North Shore College (Northbrook Coll of Healthcar) DT ITA WIOA 20 Workforce Development 1,635.40 11/8/2021North Shore College (Northbrook Coll of Healthcar) DT ITA WIOA 20 Workforce Development 876 11/8/2021Northern Illinois University DT ITA WIOA 20 Workforce Development 1,772.60 11/8/2021Northern Illinois University DT ITA WIOA 20 Workforce Development 527.4 11/8/2021Northern Illinois University DT ITA WIOA 20 Workforce Development 1,136.19 11/8/2021Northern Illinois University DT ITA WIOA 20 Workforce Development 3,115.74 11/8/2021Northern Illinois University DT ITA WIOA 20 Workforce Development 1,569.21 11/8/2021Northern Illinois University DT ITA WIOA 20 Workforce Development 4,963.11 11/8/2021Northern Illinois University DT ITA WIOA 20 Workforce Development 507.12 11/8/2021Northern Illinois University DT ITA WIOA 20 Workforce Development 1,000.00 11/8/2021Northern Illinois University DT ITA WIOA 20 Workforce Development 3,682.75 11/8/2021Northern Illinois University DT ITA WIOA 20 Workforce Development 371.72 11/8/2021Northern Illinois University DT ITA WIOA 20 Workforce Development 2,376.12 11/8/2021Northern Illinois University DT ITA WIOA 20 Workforce Development 937.31 11/8/2021Northern Illinois University DT ITA WIOA 20 Workforce Development 2,980.32 11/8/2021Novatime Technology, Inc Computer Software‐ Capital Other‐ Countywide Expenses Capital Projects 28,445.00 11/8/2021Ottosen DiNolfo, Hasenbalg & Castaldo Ltd Highway Right of Way Transportation Transportation Sales Tax 494 11/8/2021Ottosen DiNolfo, Hasenbalg & Castaldo Ltd Highway Right of Way Transportation Transportation Sales Tax 19 11/8/2021Ottosen DiNolfo, Hasenbalg & Castaldo Ltd Highway Right of Way Transportation Transportation Sales Tax 3,078.00 11/8/2021Ottosen DiNolfo, Hasenbalg & Castaldo Ltd Legal Services Development Mill Creek Special Service Area 450 11/8/2021Paddock Publications (Daily Herald) Repairs and Maint‐ Buildings Building Management General Fund 25.3 11/8/2021Paddock Publications (Daily Herald) Repairs and Maint‐ Buildings Building Management General Fund 39.1 11/8/2021Pathways Community Network Institute Contractual/Consulting Services Development Homeless Management Info Systems 1,213.23 11/8/2021Patson Inc dba Transchicago Truck Group Vehicle Parts/Supplies Transportation Motor Fuel Local Option 454.48 11/8/2021Pearson Assessments (NCS Pearson Inc.) Testing Materials Court Services General Fund 407.04 11/8/2021Peloton Inc dba Frank's Employment Contractual/Consulting Services Judiciary and Courts General Fund 136.5 11/8/2021Penny Wegman Conferences and Meetings County Auditor General Fund 180 11/8/2021Penny Wegman Employee Training County Auditor General Fund 695 11/8/2021PETER J BURGERT Employee Mileage Expense Merit Commission General Fund 168 11/8/2021Peterson Cleaning, Inc. (PCI Services, Inc.) Janitorial Services Building Management General Fund 3,396.98 11/8/2021Peterson Cleaning, Inc. (PCI Services, Inc.) Janitorial Services Building Management General Fund 2,389.89 11/8/2021Peterson Cleaning, Inc. (PCI Services, Inc.) Janitorial Services Building Management General Fund 1,311.47 11/8/2021Peterson Cleaning, Inc. (PCI Services, Inc.) Janitorial Services Building Management General Fund 2,055.89 11/8/2021Peterson Cleaning, Inc. (PCI Services, Inc.) Janitorial Services Court Services General Fund 377.4 11/8/2021Peterson Cleaning, Inc. (PCI Services, Inc.) Janitorial Services Court Services General Fund 391.18 11/8/2021



Peterson Cleaning, Inc. (PCI Services, Inc.) Janitorial Services Transportation County Highway 1,179.38 11/8/2021Peterson Cleaning, Inc. (PCI Services, Inc.) Contractual/Consulting Services Building Management Mass Vaccination Fund 693.35 11/8/2021PetroChoice Holdings Inc Vehicle Parts/Supplies Transportation Motor Fuel Local Option 2,190.50 11/8/2021Petty Cash‐Sheriff Food Sheriff General Fund 96 11/8/2021Petty Cash‐Sheriff Food Sheriff General Fund 235 11/8/2021Petty Cash‐Sheriff Food Sheriff General Fund 23.04 11/8/2021Petty Cash‐Sheriff Food Sheriff General Fund 19.09 11/8/2021Petty Cash‐State's Attorney Repairs and Maint‐ Vehicles State's Attorney General Fund 459.8 11/8/2021Petty Cash‐State's Attorney Conferences and Meetings State's Attorney General Fund 750 11/8/2021Petty Cash‐State's Attorney Office Supplies State's Attorney General Fund 476.9 11/8/2021Pitney Bowes Inc Postage Other‐ Countywide Expenses General Fund 315.12 11/8/2021Pitney Bowes Inc Postage Other‐ Countywide Expenses General Fund 2,417.60 11/8/2021Pitney Bowes Inc Postage Other‐ Countywide Expenses General Fund 421.44 11/8/2021Pitney Bowes Inc Postage Other‐ Countywide Expenses General Fund 210.94 11/8/2021Pitney Bowes Presort Services LLC Postage Other‐ Countywide Expenses General Fund 11.36 11/8/2021Pitney Bowes Presort Services LLC Postage Other‐ Countywide Expenses General Fund 26.6 11/8/2021Pittsburgh Paints (PPG Architectural Finishes LLC) Repairs and Maint‐ Buildings Building Management General Fund 209.28 11/8/2021Plastic Card Solutions, Inc. Operating Supplies Sheriff General Fund 201.23 11/8/2021Police Law Institute Employee Training Sheriff General Fund 8,740.00 11/8/2021Pomps Tire Service Inc Repairs and Maint‐ Vehicles Sheriff General Fund 4,960.33 11/8/2021PRAXIS Consulting, Inc. Miscellaneous Contractual Exp Judiciary and Courts General Fund 4,821.01 11/8/2021Prime Tack & Seal Co (PTS) Road Material Transportation Motor Fuel Local Option 655.72 11/8/2021Prime Tack & Seal Co (PTS) Road Material Transportation Motor Fuel Local Option 544.18 11/8/2021Priority Products, Inc. Equipment Parts/Supplies Transportation Motor Fuel Local Option 79.94 11/8/2021Priority Products, Inc. Equipment Parts/Supplies Transportation Motor Fuel Local Option 334.09 11/8/2021Priority Products, Inc. Equipment Parts/Supplies Transportation Motor Fuel Local Option 499.96 11/8/2021Priority Products, Inc. Equipment Parts/Supplies Transportation Motor Fuel Local Option 499.78 11/8/2021Priority Products, Inc. Equipment Parts/Supplies Transportation Motor Fuel Local Option 499.85 11/8/2021Priority Products, Inc. Equipment Parts/Supplies Transportation Motor Fuel Local Option 494.71 11/8/2021Priority Products, Inc. Equipment Parts/Supplies Transportation Motor Fuel Local Option 24.6 11/8/2021Priscilla Nunez DT ITA WIOA 20 Workforce Development 521 11/8/2021Quill Corporation Office Supplies Sheriff General Fund 326.88 11/8/2021Quill Corporation Office Supplies Sheriff General Fund 52.3 11/8/2021Rachel J. Hess Court Appointed Counsel Judiciary and Courts General Fund 3,333.00 11/8/2021Ralph Helm Inc. Operating Supplies Sheriff General Fund 150.98 11/8/2021Ralph Helm Inc. Operating Supplies Sheriff General Fund 881.96 11/8/2021Ralph Helm Inc. Operating Supplies Sheriff General Fund 287.98 11/8/2021Ralph Helm Inc. Operating Supplies Sheriff General Fund ‐17.6 11/8/2021Rasmussen College DT ITA WIOA 20 Workforce Development 1,243.00 11/8/2021Rasmussen College DT ITA WIOA 20 Workforce Development 2,681.00 11/8/2021Rasmussen College DT ITA WIOA 20 Workforce Development 525 11/8/2021Rasmussen College DT ITA WIOA 20 Workforce Development 923 11/8/2021Ray O'Herron Co., Inc. Uniform Supplies Sheriff General Fund 237.06 11/8/2021Ray O'Herron Co., Inc. Uniform Supplies Sheriff General Fund 135.94 11/8/2021Ray O'Herron Co., Inc. Uniform Supplies Sheriff General Fund 737.7 11/8/2021Ray O'Herron Co., Inc. Uniform Supplies Sheriff General Fund 711.6 11/8/2021Ray O'Herron Co., Inc. Uniform Supplies Sheriff General Fund 550.51 11/8/2021Ray O'Herron Co., Inc. Uniform Supplies Sheriff General Fund 176.98 11/8/2021Ray O'Herron Co., Inc. Uniform Supplies Sheriff General Fund 165.99 11/8/2021Ready Refresh by Nestle (Ice Mountain) Office Supplies State's Attorney General Fund 42.04 11/8/2021Recycle Away LLC Operating Supplies Environmental Management Enterprise Surcharge 145 11/8/2021Recycle Away LLC Operating Supplies Environmental Management Enterprise Surcharge 395 11/8/2021Red Wing Shoe Store Uniform Supplies Transportation Motor Fuel Local Option 281.99 11/8/2021Redwood Toxicology Inc. Lab Services Court Services General Fund 46.25 11/8/2021RES Great Lakes LLC (Applied Ecological Services) Due From 5304‐ Wildwood West SBA SW41 Cost Share Drainage 725 11/8/2021Rhiannon Anderson Employee Mileage Expense Circuit Clerk General Fund 47.04 11/8/2021Riggs Brothers Repairs and Maint‐ Vehicles Sheriff General Fund 325 11/8/2021Robert Enright Internet Other‐ Countywide Expenses General Fund 66.43 11/8/2021Robert J. Sandner Conferences and Meetings County Clerk General Fund 288.15 11/8/2021Rock Gate Capital, LLC (dba 160 Driving Academy) DT ITA WIOA 20 Workforce Development 5,030.00 11/8/2021Rock Gate Capital, LLC (dba 160 Driving Academy) DT ITA WIOA 20 Workforce Development 5,080.00 11/8/2021Rons Automotive Services Inc Repairs and Maint‐ Vehicles Development Mill Creek Special Service Area 572.27 11/8/2021Rosa Meszaros Employee Mileage Expense Circuit Clerk General Fund 59.36 11/8/2021Ruben Rodriguez Contractual/Consulting Services Judiciary and Courts General Fund 874.08 11/8/2021



Runco Office Supply Office Supplies Recorder General Fund 92.11 11/8/2021Runco Office Supply Office Supplies Recorder General Fund 31.98 11/8/2021Rush Truck Centers of Illinois, Inc. Vehicle Parts/Supplies Transportation Motor Fuel Local Option 305.34 11/8/2021Rush Truck Centers of Illinois, Inc. Vehicle Parts/Supplies Transportation Motor Fuel Local Option ‐212.8 11/8/2021Sarah Rubio SS Transportation Assistance WIOA 20 Workforce Development 36.96 11/8/2021Sarah Rubio SS Transportation Assistance WIOA 20 Workforce Development 18.48 11/8/2021SC Auto Inc DBA Midas Auto Service Repairs and Maint‐ Vehicles Court Services General Fund 74.99 11/8/2021Sherwin Williams Repairs and Maint‐ Buildings Building Management General Fund 51.57 11/8/2021Sherwin Williams Repairs and Maint‐ Buildings Building Management General Fund 82.05 11/8/2021Sherwin Williams Repairs and Maint‐ Buildings Building Management General Fund 103.15 11/8/2021SHI International Corp Repairs and Maint‐ Equipment Circuit Clerk Court Automation 77,298.78 11/8/2021SKC Construction, Inc. Repairs and Maint‐ Resurfacing Transportation Motor Fuel Local Option 159,015.58 11/8/2021Special Project Staffing dba The Salem Group Contractual/Consulting Services Information Technologies General Fund 663.39 11/8/2021Special Project Staffing dba The Salem Group Contractual/Consulting Services Information Technologies General Fund 548.1 11/8/2021Special Project Staffing dba The Salem Group Contractual/Consulting Services Information Technologies General Fund 694.58 11/8/2021Special Project Staffing dba The Salem Group Contractual/Consulting Services Information Technologies General Fund 833.49 11/8/2021Special Project Staffing dba The Salem Group Contractual/Consulting Services Other‐ Countywide Expenses American Rescue Plan 598.5 11/8/2021Special Project Staffing dba The Salem Group Contractual/Consulting Services Other‐ Countywide Expenses American Rescue Plan 157.5 11/8/2021Special Project Staffing dba The Salem Group Contractual/Consulting Services Other‐ Countywide Expenses American Rescue Plan 220.5 11/8/2021Special Project Staffing dba The Salem Group Contractual/Consulting Services Other‐ Countywide Expenses American Rescue Plan 677.25 11/8/2021Special Project Staffing dba The Salem Group Contractual/Consulting Services Other‐ Countywide Expenses American Rescue Plan 236.25 11/8/2021Special Project Staffing dba The Salem Group Contractual/Consulting Services Other‐ Countywide Expenses American Rescue Plan 330.75 11/8/2021Special Project Staffing dba The Salem Group Contractual/Consulting Services Other‐ Countywide Expenses American Rescue Plan 378 11/8/2021Special Project Staffing dba The Salem Group Contractual/Consulting Services Other‐ Countywide Expenses American Rescue Plan 425.25 11/8/2021Special Project Staffing dba The Salem Group Contractual/Consulting Services Information Technologies Web Technical Services 705.6 11/8/2021Special Project Staffing dba The Salem Group Contractual/Consulting Services Information Technologies Web Technical Services 1,764.00 11/8/2021Special Project Staffing dba The Salem Group Contractual/Consulting Services Information Technologies Web Technical Services 155.93 11/8/2021Special Project Staffing dba The Salem Group Contractual/Consulting Services Information Technologies Web Technical Services 705.6 11/8/2021Special Project Staffing dba The Salem Group Contractual/Consulting Services Information Technologies Web Technical Services 1,512.00 11/8/2021Special Project Staffing dba The Salem Group Contractual/Consulting Services Information Technologies Web Technical Services 307.13 11/8/2021Special Project Staffing dba The Salem Group Contractual/Consulting Services Information Technologies Web Technical Services 1,764.00 11/8/2021Stantec Consulting Services Inc Engineering Services Transportation Transportation Sales Tax 20,814.24 11/8/2021State Street Collision, Inc. Liability Insurance Human Resource Management Insurance Liability 150 11/8/2021State Street Collision, Inc. Liability Insurance Human Resource Management Insurance Liability 1,257.00 11/8/2021Statewide Publishing, LLC Legal Services Circuit Clerk General Fund 60 11/8/2021Steiner Electric Co Inc Repairs and Maint‐ Equipment Building Management General Fund 122.69 11/8/2021Steven Meyer Employee Mileage Expense Development Homeless Prevention Program 49.95 11/8/2021Strypes Plus More, Inc. Liability Insurance Human Resource Management Insurance Liability 200 11/8/2021Strypes Plus More, Inc. Automotive Equipment Other‐ Countywide Expenses Public Safety Sales Tax 1,230.00 11/8/2021Suburban Teamsters of Northern Illinois Teamsters Contribution Transportation Motor Fuel Tax 56,565.00 11/8/2021Suburban Tire Company Repairs and Maint‐ Vehicles Development General Fund 41.85 11/8/2021Sun Life Assurance Company of Canada Healthcare ‐ Life Insurence Other‐ Countywide Expenses Health Insurance Fund 2,960.34 11/8/2021Susan Marie Kinsey SS Transportation Assistance WIOA 20 Workforce Development 100.24 11/8/2021Sysco Food Services Chicago Operating Supplies Court Services General Fund 136.09 11/8/2021Sysco Food Services Chicago Operating Supplies Court Services General Fund 212 11/8/2021Sysco Food Services Chicago Operating Supplies Court Services General Fund 48.42 11/8/2021Sysco Food Services Chicago Food Court Services General Fund 3,735.15 11/8/2021Sysco Food Services Chicago Food Court Services General Fund 3,372.78 11/8/2021Sysco Food Services Chicago Food Court Services General Fund 40.93 11/8/2021Sysco Food Services Chicago Food Court Services General Fund 3,926.13 11/8/2021Talented Tenth Social Services Contractual/Consulting Services Sheriff Cannabis Regulation ‐ Local 500 11/8/2021Tatiana Okunskaya Contractual/Consulting Services Judiciary and Courts General Fund 171.8 11/8/2021TEC Services Consulting Inc Miscellaneous Contractual Exp One‐Stop shared costs Workforce Development 15,108.63 11/8/2021Telcom Innovations Group LLC Public Health Commodities ‐ Coronavirus Other‐ Countywide Expenses Capital Projects 89,845.00 11/8/2021The IDS Group Aurora Psychological/Psychiatric Srvs Court Services Probation Services 150 11/8/2021The Office Pal Office Supplies Finance General Fund 190 11/8/2021The Sotos Law Firm, P.C Legal Services State's Attorney Insurance Liability 4,571.50 11/8/2021The Tree House Inc Office Supplies Finance General Fund 80.4 11/8/2021The Tree House Inc Operating Supplies Building Management General Fund 1,008.70 11/8/2021The Tree House Inc Computer Related Supplies Court Services General Fund 0 11/8/2021The Tree House Inc Computer Related Supplies Court Services General Fund 0 11/8/2021The Tree House Inc Computer Related Supplies Court Services General Fund 0 11/8/2021The Tree House Inc Computer Related Supplies Court Services General Fund 709.5 11/8/2021The Tree House Inc Computer Related Supplies Court Services General Fund 287.85 11/8/2021



The Tree House Inc Computer Related Supplies Court Services General Fund 219.2 11/8/2021The Tree House Inc Computer Related Supplies Court Services General Fund 160.8 11/8/2021The Tree House Inc Computer Related Supplies Court Services General Fund 339 11/8/2021Theresa Corral DT ITA TAA 20 Workforce Development 63.23 11/8/2021Thomas Engineering Group, LLC Engineering Services Transportation Transportation Sales Tax 9,412.57 11/8/2021Thomson Reuters GRC Inc. (West Government) Books and Subscriptions State's Attorney General Fund 1,876.88 11/8/2021Thomson Reuters GRC Inc. (West Government) Books and Subscriptions State's Attorney General Fund 1,244.67 11/8/2021Thomson Reuters GRC Inc. (West Government) Books and Subscriptions State's Attorney General Fund 3,630.42 11/8/2021Tissue Techniques Pathology Labs LLC Toxicology Expense Coroner General Fund 391 11/8/2021Toshiba America Business Solutions Inc Repairs and Maint‐ Buildings Building Management General Fund 65.47 11/8/2021Toshiba America Business Solutions Inc Repairs and Maint‐ Copiers County Auditor General Fund 8.81 11/8/2021Toshiba America Business Solutions Inc Repairs and Maint‐ Copiers Supervisor of Assessments General Fund 112.35 11/8/2021Toshiba America Business Solutions Inc Repairs and Maint‐ Copiers County Clerk General Fund 1.86 11/8/2021Toshiba America Business Solutions Inc Office Supplies Circuit Clerk General Fund 59.17 11/8/2021Toshiba America Business Solutions Inc Repairs and Maint‐ Copiers Sheriff General Fund 22.9 11/8/2021Toshiba America Business Solutions Inc Repairs and Maint‐ Copiers Court Services General Fund 45.66 11/8/2021Toshiba America Business Solutions Inc Repairs and Maint‐ Copiers Court Services General Fund 32.42 11/8/2021Toshiba America Business Solutions Inc Repairs and Maint‐ Copiers State's Attorney Insurance Liability 72.14 11/8/2021Toshiba America Business Solutions Inc Repairs and Maint‐ Copiers Transportation County Highway 5.02 11/8/2021Toshiba America Business Solutions Inc Repairs and Maint‐ Copiers Transportation County Highway 7.47 11/8/2021Toshiba America Business Solutions Inc Repairs and Maint‐ Copiers Transportation County Highway 16.94 11/8/2021Tower Works, Inc Repairs and Maint‐ Comm Equip Sheriff General Fund 1,780.00 11/8/2021Tracie N. Fahnestock Employee Mileage Expense Public Defender General Fund 274.96 11/8/2021Translation Today Network Inc Contractual/Consulting Services Judiciary and Courts General Fund 371.33 11/8/2021Transystems Corporation Engineering Services Transportation Transportation Capital 14,836.79 11/8/2021Transystems Corporation Engineering Services Transportation Southwest Impact Fees 12,040.53 11/8/2021Trees R Us Inc Repairs and Maint‐ Grounds Development Mill Creek Special Service Area 9,316.66 11/8/2021Tri City Land Management Co., LLC Building Space Rental Development Mill Creek Special Service Area 1,057.12 11/8/2021Tyler Technologies, Inc. (New World) Software Licensing Cost Information Technologies Web Technical Services 29,705.20 11/8/2021University of Florida‐McTrans Center Software Licensing Cost Transportation County Highway 600 11/8/2021Veritiv Operating Company Printing Supplies Building Management General Fund 2,364.00 11/8/2021Veritiv Operating Company Printing Supplies Building Management General Fund 1,182.00 11/8/2021Verizon Wireless Miscellaneous Contractual Exp Public Defender General Fund 289.8 11/8/2021Verizon Wireless Telephone Other‐ Countywide Expenses General Fund 30,036.39 11/8/2021Via Carlita LLC dba Hawk Ford of St. Charles Repairs and Maint‐ Vehicles Sheriff General Fund ‐38.5 11/8/2021Via Carlita LLC dba Hawk Ford of St. Charles Repairs and Maint‐ Vehicles Sheriff General Fund 98.41 11/8/2021Via Carlita LLC dba Hawk Ford of St. Charles Repairs and Maint‐ Vehicles Sheriff General Fund 52.6 11/8/2021Via Carlita LLC dba Hawk Ford of St. Charles Repairs and Maint‐ Vehicles Sheriff General Fund 500 11/8/2021Via Carlita LLC dba Hawk Ford of St. Charles Repairs and Maint‐ Vehicles Sheriff General Fund ‐557.68 11/8/2021Via Carlita LLC dba Hawk Ford of St. Charles Repairs and Maint‐ Vehicles Sheriff General Fund 278.95 11/8/2021Via Carlita LLC dba Hawk Ford of St. Charles Repairs and Maint‐ Vehicles Sheriff General Fund 79.78 11/8/2021Via Carlita LLC dba Hawk Ford of St. Charles Repairs and Maint‐ Vehicles Sheriff General Fund 85.31 11/8/2021Via Carlita LLC dba Hawk Ford of St. Charles Repairs and Maint‐ Vehicles Sheriff General Fund 68.86 11/8/2021Village of Maple Park External Grants County Board Grand Victoria Casino Elgin 1,061.55 11/8/2021Vista Training Inc Employee Training Transportation County Highway 4,019.73 11/8/2021Vulcan Materials Company Crushed Stone Transportation County Highway 657.26 11/8/2021Warehouse Direct Office Products Conferences and Meetings County Board General Fund 42.53 11/8/2021Warehouse Direct Office Products Office Supplies County Board General Fund 28.84 11/8/2021Warehouse Direct Office Products Office Supplies County Board General Fund 154.18 11/8/2021Warehouse Direct Office Products Office Supplies Finance General Fund 10.21 11/8/2021Warehouse Direct Office Products Printing Supplies Information Technologies General Fund 14.97 11/8/2021Warehouse Direct Office Products Repairs and Maint‐ Buildings Building Management General Fund 70.14 11/8/2021Warehouse Direct Office Products Cleaning Supplies Building Management General Fund 733.05 11/8/2021Warehouse Direct Office Products Cleaning Supplies Building Management General Fund 733.05 11/8/2021Warehouse Direct Office Products Cleaning Supplies Building Management General Fund 1,044.67 11/8/2021Warehouse Direct Office Products Office Supplies Human Resource Management General Fund 39.02 11/8/2021Warehouse Direct Office Products Office Supplies Treasurer/Collector General Fund 41.4 11/8/2021Warehouse Direct Office Products Office Supplies Treasurer/Collector General Fund 156.18 11/8/2021Warehouse Direct Office Products Office Supplies Treasurer/Collector General Fund 84.56 11/8/2021Warehouse Direct Office Products Office Supplies County Clerk General Fund 6.72 11/8/2021Warehouse Direct Office Products Operating Supplies County Clerk General Fund 69.39 11/8/2021Warehouse Direct Office Products Operating Supplies County Clerk General Fund 5.65 11/8/2021Warehouse Direct Office Products Operating Supplies County Clerk General Fund 37.17 11/8/2021Warehouse Direct Office Products Office Supplies Judiciary and Courts General Fund 47.16 11/8/2021



Warehouse Direct Office Products Office Supplies Judiciary and Courts General Fund 60.06 11/8/2021Warehouse Direct Office Products Operating Supplies Sheriff General Fund 266.58 11/8/2021Warehouse Direct Office Products Operating Supplies Sheriff General Fund 266.58 11/8/2021Warehouse Direct Office Products Office Supplies Sheriff General Fund 217.98 11/8/2021Warehouse Direct Office Products Office Supplies Sheriff General Fund 930.9 11/8/2021Warehouse Direct Office Products Office Supplies Sheriff General Fund 197.97 11/8/2021Warehouse Direct Office Products Office Supplies Court Services General Fund 65.8 11/8/2021Warehouse Direct Office Products Office Supplies Court Services General Fund 43.27 11/8/2021Warehouse Direct Office Products Office Supplies Court Services General Fund 68.48 11/8/2021Warehouse Direct Office Products Office Supplies Court Services General Fund 1.24 11/8/2021Warehouse Direct Office Products Office Supplies Court Services General Fund 183.03 11/8/2021Warehouse Direct Office Products Office Supplies Development General Fund 97.98 11/8/2021Warehouse Direct Office Products Office Supplies Circuit Clerk Circuit Clerk Admin Services 127.34 11/8/2021Warehouse Direct Office Products Office Supplies Transportation County Highway 5.67 11/8/2021Warehouse Direct Office Products Office Supplies Transportation County Highway 2.35 11/8/2021Warehouse Direct Office Products Office Supplies Transportation County Highway 17.35 11/8/2021Warehouse Direct Office Products Office Supplies Operating Pool Workforce Development 301.07 11/8/2021Warehouse Direct Office Products Office Supplies Operating Pool Workforce Development 11.02 11/8/2021Warehouse Direct Office Products Office Supplies One‐Stop shared costs Workforce Development 4.43 11/8/2021Waste Management of Illinois ‐ West Disposal and Water Softener Srvs Sheriff General Fund 1,056.50 11/8/2021Waste Management of Illinois ‐ West Repairs and Maint‐ Buildings Court Services General Fund 90 11/8/2021Weldstar Company Repairs and Maint‐ Vehicles Sheriff General Fund 18 11/8/2021Wellspring Interpreting Services LLC Contractual/Consulting Services Judiciary and Courts General Fund 1,567.50 11/8/2021West Bend Mutual Insurance Company Liability Insurance Human Resource Management Insurance Liability 20 11/8/2021Wholesale Direct Inc Vehicle Parts/Supplies Transportation Motor Fuel Local Option 494.61 11/8/2021Wholesale Direct Inc Equipment Parts/Supplies Transportation Motor Fuel Local Option 579.62 11/8/2021Wm F Meyer Co Repairs and Maint‐ Buildings Building Management General Fund 197.8 11/8/2021Zahida Fakroddin Employee Mileage Expense County Clerk General Fund 36.96 11/8/2021

Trials and Costs of Hearing State's Attorney General Fund 1,376.00 11/8/2021Trials and Costs of Hearing State's Attorney Insurance Liability 130 11/8/2021

Fifth Third Bank Accrued Liabilities Crane Road Estates SSA 15,149.23 11/15/2021Fifth Third Bank Accrued Liabilities Crane Road Estates SSA 58,417.99 11/15/2021Kane County Juror Payable Clearing Jurors‐ Circuit Court Judiciary and Courts General Fund 901.68 11/16/2021Kane County Juror Payable Clearing Jurors‐ Circuit Court Judiciary and Courts General Fund 4,253.12 11/16/2021Kane County Juror Payable Clearing Jurors‐ Circuit Court Judiciary and Courts General Fund 1,915.12 11/18/2021Kane County Juror Payable Clearing Jurors‐ Circuit Court Judiciary and Courts General Fund 514.4 11/18/2021105 Grove LLC Building Space Rental Court Services General Fund 2,725.12 11/22/2021105 Grove LLC Building Space Rental Court Services General Fund 2,725.12 11/22/2021501 N Randall Road Batavia LLC Contractual/Consulting Services Health County Health 18,333.00 11/22/2021Abacus Corporation Contractual/Consulting Services Health County Health 759.05 11/22/2021Abacus Corporation Contractual/Consulting Services Health County Health 889 11/22/2021Abacus Corporation Contractual/Consulting Services Health County Health 577.85 11/22/2021Abacus Corporation Contractual/Consulting Services Health Mass Vaccination Fund 53.75 11/22/2021Abacus Corporation Contractual/Consulting Services Health Mass Vaccination Fund 889 11/22/2021Abel Screening Inc Testing Materials Court Services Probation Services 79 11/22/2021Abel Screening Inc Testing Materials Court Services Probation Services 79 11/22/2021Abel Screening Inc Testing Materials Court Services Probation Services 79 11/22/2021Abel Screening Inc Testing Materials Court Services Probation Services 79 11/22/2021Abel Screening Inc Testing Materials Court Services Probation Services 79 11/22/2021Abel Screening Inc Testing Materials Court Services Probation Services 79 11/22/2021About Change Counseling Psychological/Psychiatric Srvs Court Services Probation Services 100 11/22/2021About Change Counseling Psychological/Psychiatric Srvs Court Services Probation Services 100 11/22/2021About Change Counseling Psychological/Psychiatric Srvs Court Services Probation Services 100 11/22/2021Accurate Document Destruction Inc (GROOT) Miscellaneous Contractual Exp Human Resource Management General Fund 82.5 11/22/2021Accurate Document Destruction Inc (GROOT) Disposal and Water Softener Srvs Sheriff General Fund 315 11/22/2021Accurate Document Destruction Inc (GROOT) Professional Services Environmental Management Enterprise Surcharge 3,760.00 11/22/2021Ace Hardware‐Aurora/Batavia Repairs and Maint‐ Buildings Building Management General Fund 20.07 11/22/2021Adam Brill Employee Mileage Expense Health County Health 259.84 11/22/2021Advanced Correctional Healthcare Medical/Dental/Hospital Services Court Services General Fund ‐370.67 11/22/2021Advanced Correctional Healthcare Medical/Dental/Hospital Services Court Services General Fund 36,432.78 11/22/2021Affordable Office Interiors LLC Office Supplies Transportation County Highway 1,715.00 11/22/2021African American Men of Unity Miscellaneous Contractual Exp WIOA 20 Workforce Development 780.45 11/22/2021African American Men of Unity Miscellaneous Contractual Exp WIOA 20 Workforce Development 14,828.55 11/22/2021Air Comfort LLC Repairs and Maint‐ Equipment Building Management General Fund 3,204.00 11/22/2021



Air Comfort LLC Repairs and Maint‐ Equipment Building Management General Fund 1,335.00 11/22/2021Airgas North Central, Inc. Operating Supplies Transportation County Highway 85.04 11/22/2021Aldridge Electric Inc Road Construction Transportation Transportation Sales Tax 63,742.41 11/22/2021Alfred Benesch & Co Engineering Services Transportation Transportation Sales Tax 2,063.11 11/22/2021Alfred Benesch & Co Engineering Services Transportation Transportation Sales Tax 1,302.74 11/22/2021All Traffic Solutions Inc Public Health Commodities ‐ Coronavirus Sheriff General Fund 765 11/22/2021Alpha Building Maintenance Service Inc Janitorial Services Building Management General Fund 14,191.00 11/22/2021Alpha Building Maintenance Service Inc Repairs and Maint‐ Buildings Building Management General Fund 250 11/22/2021Alpha Building Maintenance Service Inc Janitorial Services Building Management General Fund 122.66 11/22/2021Alpha Building Maintenance Service Inc Janitorial Services Building Management General Fund 4,974.66 11/22/2021Alpha Building Maintenance Service Inc Janitorial Services Building Management General Fund 3,200.00 11/22/2021Alpha Truck Driving School Inc DT ITA WIOA 20 Workforce Development 5,000.00 11/22/2021Amazon Capital Services Inc Office Supplies Health County Health 19.98 11/22/2021Amazon Capital Services Inc Office Supplies Health County Health 47.97 11/22/2021American Interpreting Services Inc Contractual/Consulting Services Judiciary and Courts General Fund 1,843.70 11/22/2021American Interpreting Services Inc Contractual/Consulting Services Judiciary and Courts General Fund 1,474.96 11/22/2021American Legal Pub Corp dba Sterling Codifiers LLC Legal Printing County Clerk General Fund 2,032.00 11/22/2021Amy O'Brien SS Transportation Assistance WIOA 20 Workforce Development 272.82 11/22/2021Ana M Bubalo Contractual/Consulting Services Judiciary and Courts General Fund 1,066.72 11/22/2021Ana M Bubalo Contractual/Consulting Services Judiciary and Courts General Fund 1,332.40 11/22/2021Ana M Bubalo Contractual/Consulting Services Judiciary and Courts General Fund 532.88 11/22/2021Angela Martin General Association Dues Supervisor of Assessments General Fund 21 11/22/2021Anthony Bahena Contractual/Consulting Services Judiciary and Courts General Fund 416 11/22/2021Anthony Bahena Contractual/Consulting Services Judiciary and Courts General Fund 832 11/22/2021APC Stores, Inc (Bumper to Bumper) Repairs and Maint‐ Vehicles Sheriff General Fund 13.29 11/22/2021APC Stores, Inc (Bumper to Bumper) Repairs and Maint‐ Vehicles Sheriff General Fund 37.09 11/22/2021Applied Controls LLC Repairs and Maint‐ Equipment Building Management General Fund 695 11/22/2021Aramark Services, Inc. Food Sheriff General Fund 12,027.78 11/22/2021Aramark Services, Inc. Food Sheriff General Fund 866.8 11/22/2021Aramark Services, Inc. Food Sheriff General Fund 12,396.85 11/22/2021Aramark Services, Inc. Public Health Commodities ‐ Coronavirus Sheriff General Fund 140.81 11/22/2021Aramark Services, Inc. Public Health Commodities ‐ Coronavirus Sheriff General Fund 183.87 11/22/2021ARC Document Solutions LLC dba ARC Imaging Resourc Operating Supplies Development General Fund 877 11/22/2021Assoc. in Behavioral Health Care ABC ‐ DUI Psychological/Psychiatric Srvs Court Services Probation Services 700 11/22/2021Assoc. in Behavioral Health Care ABC ‐ DUI Psychological/Psychiatric Srvs Court Services Probation Services 150 11/22/2021AssuredPartners Cap. dba Assured Partnrs of IL LLC Contractual/Consulting Services Other‐ Countywide Expenses Health Insurance Fund 8,400.00 11/22/2021AT&T Telephone Health County Health 274.32 11/22/2021AT&T Telephone Operating Pool Workforce Development 55.18 11/22/2021AT&T Mobility Cellular Phone Other‐ Countywide Expenses General Fund 48.83 11/22/2021A‐to‐Be USA LLC Engineering Services Transportation Transportation Sales Tax 401,005.00 11/22/2021Attorney Registration & Disciplinary Commission Attorney Association Dues Public Defender General Fund 13,211.00 11/22/2021Aurora Fastprint Inc Office Supplies State's Attorney Child Advocacy Center 43.56 11/22/2021Aurora Heights Apartments LLC Miscellaneous Contractual Exp Development Homeless Prevention Program 955 11/22/2021Aurora Heights Apartments LLC Miscellaneous Contractual Exp Development Homeless Prevention Program 955 11/22/2021Aurora Heights Apartments LLC Miscellaneous Contractual Exp Development Homeless Prevention Program 477.5 11/22/2021Axon Enterprise Inc Weapons and Ammunition Sheriff General Fund 7,655.00 11/22/2021Axon Enterprise Inc Weapons and Ammunition Sheriff General Fund 7,655.00 11/22/2021Bakhtavar Press Contractual/Consulting Services Judiciary and Courts General Fund 338.08 11/22/2021Batavia Enterprises, Inc Prepaid Expense Workforce Development 19,226.10 11/22/2021Behavioral Interventions, Inc (BI, Inc.) Food Sheriff General Fund 7,453.65 11/22/2021Behavioral Services Center Psychological/Psychiatric Srvs Court Services Probation Services 690 11/22/2021Black Gold Septic Inc Grease Trap‐ Septic Services Building Management General Fund 180 11/22/2021Black Gold Septic Inc Grease Trap‐ Septic Services Building Management General Fund 485 11/22/2021Blade Electric & Technologies LLC Contractual/Consulting Services Judiciary and Courts General Fund 7,700.00 11/22/2021Blu Petroleum Inc Fuel‐ Vehicles Sheriff General Fund 3,611.48 11/22/2021Boys & Girls Clubs of Dundee Township Miscellaneous Contractual Exp WIOA 20 Workforce Development 564.66 11/22/2021Boys & Girls Clubs of Dundee Township Miscellaneous Contractual Exp WIOA 20 Workforce Development 10,728.63 11/22/2021Boys and Girls Club of Elgin External Grants County Board Grand Victoria Casino Elgin 2,653.40 11/22/2021Braden Counseling Center, PC Psychological/Psychiatric Srvs Court Services Probation Services 370 11/22/2021Braden Counseling Center, PC Psychological/Psychiatric Srvs Court Services Probation Services 70 11/22/2021Brandy Turner DT ITA WIOA 20 Workforce Development 501.25 11/22/2021Burnidge Properties Ltd Building Space Rental Health County Health 1,933.13 11/22/2021Burnidge Properties Ltd Building Space Rental Health Kane Kares 828.48 11/22/2021Cam‐Vac, Inc. Other Construction Development Cost Share Drainage 7,400.00 11/22/2021



Canon Solutions America Inc Repairs and Maint‐ Equipment Judiciary and Courts General Fund 68.15 11/22/2021Canon Solutions America Inc Repairs and Maint‐ Equipment Circuit Clerk General Fund 37.73 11/22/2021Canon Solutions America Inc General Printing Circuit Clerk General Fund 734.17 11/22/2021Canon Solutions America Inc Repairs and Maint‐ Copiers Sheriff General Fund 461.11 11/22/2021Cardinal Health 108, LLC (Cardinal Health Inc.) Medical Supplies and Drugs Health County Health 1,227.37 11/22/2021Cardinal Health 108, LLC (Cardinal Health Inc.) Medical Supplies and Drugs Health County Health 343.56 11/22/2021Care Clinics Inc Psychological/Psychiatric Srvs Court Services Probation Services 100 11/22/2021Care Clinics Inc Psychological/Psychiatric Srvs Court Services Probation Services 170 11/22/2021Care Clinics Inc Psychological/Psychiatric Srvs Court Services Probation Services 100 11/22/2021Cargas Systems Inc. Contractual/Consulting Services Health County Health 1,743.75 11/22/2021Carina Julian Contractual/Consulting Services Judiciary and Courts General Fund 1,126.08 11/22/2021Carina Julian Contractual/Consulting Services Judiciary and Courts General Fund 1,126.08 11/22/2021Carmen I Ramos SS Transportation Assistance TAA 20 Workforce Development 90.48 11/22/2021Cassie Design Contractual/Consulting Services Information Technologies Web Technical Services 770 11/22/2021Catilize Health, Inc. dba Catilize Health Healthcare ‐ Health Insurance Other‐ Countywide Expenses Health Insurance Fund 10,322.80 11/22/2021Catilize Health, Inc. dba Catilize Health Healthcare ‐ Health Insurance Other‐ Countywide Expenses Health Insurance Fund 3,237.85 11/22/2021CCMSI Workers Compensation Human Resource Management Insurance Liability 123,266.58 11/22/2021CDL America Inc DT ITA WIOA 20 Workforce Development 5,800.00 11/22/2021CDL America Inc DT ITA WIOA 20 Workforce Development 5,800.00 11/22/2021CDL America Inc DT ITA WIOA 20 Workforce Development 5,800.00 11/22/2021CDM Smith Inc. Engineering Services Transportation Motor Fuel Tax 54,828.79 11/22/2021Central DuPage Hospital Association DBA HealthLab Toxicology Expense Coroner General Fund 810 11/22/2021Century Springs/Ove Water Services Conferences and Meetings County Board General Fund 62 11/22/2021Century Springs/Ove Water Services Office Supplies Finance General Fund 22.5 11/22/2021Century Springs/Ove Water Services Office Supplies Information Technologies General Fund 78.5 11/22/2021Century Springs/Ove Water Services Repairs and Maint‐ Buildings Building Management General Fund 55 11/22/2021Century Springs/Ove Water Services Office Supplies Human Resource Management General Fund 22.5 11/22/2021Century Springs/Ove Water Services Office Supplies County Auditor General Fund 2.5 11/22/2021Century Springs/Ove Water Services Office Supplies Treasurer/Collector General Fund 34.5 11/22/2021Century Springs/Ove Water Services Office Supplies Supervisor of Assessments General Fund 22.5 11/22/2021Century Springs/Ove Water Services Operating Supplies County Clerk General Fund 74.75 11/22/2021Century Springs/Ove Water Services Office Supplies Recorder General Fund 21 11/22/2021Century Springs/Ove Water Services Miscellaneous Contractual Exp Judiciary and Courts General Fund 65 11/22/2021Century Springs/Ove Water Services Miscellaneous Contractual Exp Judiciary and Courts General Fund 18.5 11/22/2021Century Springs/Ove Water Services Miscellaneous Contractual Exp Judiciary and Courts General Fund 46.5 11/22/2021Century Springs/Ove Water Services Miscellaneous Contractual Exp Judiciary and Courts General Fund 30.5 11/22/2021Century Springs/Ove Water Services Miscellaneous Contractual Exp Judiciary and Courts General Fund 2.5 11/22/2021Century Springs/Ove Water Services Miscellaneous Contractual Exp Judiciary and Courts General Fund 28.5 11/22/2021Century Springs/Ove Water Services Office Supplies Circuit Clerk General Fund 85 11/22/2021Century Springs/Ove Water Services Office Supplies State's Attorney General Fund 182.5 11/22/2021Century Springs/Ove Water Services Office Supplies State's Attorney General Fund 375 11/22/2021Century Springs/Ove Water Services Office Supplies Public Defender General Fund 8.5 11/22/2021Century Springs/Ove Water Services Office Supplies Public Defender General Fund 74.5 11/22/2021Century Springs/Ove Water Services Office Supplies Public Defender General Fund 2.5 11/22/2021Century Springs/Ove Water Services Food Sheriff General Fund 8.5 11/22/2021Century Springs/Ove Water Services Food Sheriff General Fund 27 11/22/2021Century Springs/Ove Water Services Food Sheriff General Fund 66.5 11/22/2021Century Springs/Ove Water Services Food Sheriff General Fund 86.25 11/22/2021Century Springs/Ove Water Services Food Sheriff General Fund 14.5 11/22/2021Century Springs/Ove Water Services Office Supplies Sheriff General Fund 29 11/22/2021Century Springs/Ove Water Services Office Supplies Sheriff General Fund 8.5 11/22/2021Century Springs/Ove Water Services Miscellaneous Contractual Exp Court Services General Fund 98.5 11/22/2021Century Springs/Ove Water Services Miscellaneous Contractual Exp Court Services General Fund 36.5 11/22/2021Century Springs/Ove Water Services Miscellaneous Contractual Exp Court Services General Fund 24.5 11/22/2021Century Springs/Ove Water Services Operating Supplies Development General Fund 2.5 11/22/2021Century Springs/Ove Water Services Operating Supplies Development General Fund 10 11/22/2021Century Springs/Ove Water Services Operating Supplies Development General Fund 2.5 11/22/2021Century Springs/Ove Water Services Operating Supplies Development General Fund 2.5 11/22/2021Century Springs/Ove Water Services Office Supplies State's Attorney Insurance Liability 30.5 11/22/2021Century Springs/Ove Water Services Office Supplies Information Technologies Geographic Information Systems 8.5 11/22/2021Century Springs/Ove Water Services Operating Supplies Kane Comm Kane Comm 50.5 11/22/2021Century Springs/Ove Water Services Operating Supplies Kane Comm Kane Comm 27.74 11/22/2021Century Springs/Ove Water Services Operating Supplies Coroner Coroner Administration 26.75 11/22/2021Century Springs/Ove Water Services Disposal and Water Softener Srvs Transportation County Highway 158 11/22/2021



Century Springs/Ove Water Services Operating Supplies Health County Health 20.5 11/22/2021Century Springs/Ove Water Services Operating Supplies Health County Health 100 11/22/2021Century Springs/Ove Water Services Operating Supplies Health Mass Vaccination Fund 387.5 11/22/2021Century Springs/Ove Water Services Operating Supplies Health Mass Vaccination Fund 75 11/22/2021Century Springs/Ove Water Services Operating Supplies Environmental Management Enterprise Surcharge 8.5 11/22/2021Cenveo Worldwide Limited General Printing Building Management General Fund 904.47 11/22/2021Cenveo Worldwide Limited General Printing Building Management General Fund 418.05 11/22/2021Cenveo Worldwide Limited General Printing Building Management General Fund 408.8 11/22/2021Chad's Towing & Recovery, Inc. Contractual/Consulting Services Health County Health 105 11/22/2021Checkpoint Press dba The Blue Line Employment Advertising Merit Commission General Fund 298 11/22/2021Chem‐Wise Ecological Pest Management, Inc. Repairs and Maint‐ Buildings Building Management General Fund 95 11/22/2021Chem‐Wise Ecological Pest Management, Inc. Repairs and Maint‐ Buildings Building Management General Fund 95 11/22/2021Chem‐Wise Ecological Pest Management, Inc. Repairs and Maint‐ Buildings Building Management General Fund 45 11/22/2021Chem‐Wise Ecological Pest Management, Inc. Repairs and Maint‐ Buildings Building Management General Fund 32 11/22/2021Chem‐Wise Ecological Pest Management, Inc. Repairs and Maint‐ Buildings Building Management General Fund 57 11/22/2021Chem‐Wise Ecological Pest Management, Inc. Repairs and Maint‐ Buildings Building Management General Fund 100 11/22/2021Chem‐Wise Ecological Pest Management, Inc. Repairs and Maint‐ Buildings Building Management General Fund 45 11/22/2021Chicago Office Technology Group (COTG) Repairs and Maint‐ Copiers State's Attorney General Fund 17.5 11/22/2021Chicago Office Technology Group (COTG) Operating Supplies Court Services General Fund 839.6 11/22/2021Chicago Parts and Sound, LLC Automotive Equipment Other‐ Countywide Expenses Public Safety Sales Tax 672.25 11/22/2021Chicago Transit Authority Sanction Incentives Court Services Drug Court Special Resources 1,860.00 11/22/2021Chmura Economics & Analytics LLC Software Licensing Cost Operating Pool Workforce Development 8,435.69 11/22/2021Choice IT Global LLC Repairs and Maint‐ Comm Equip Information Technologies General Fund 873 11/22/2021Christopher B. Burke Engineering, Ltd. Engineering Services Transportation County Highway 7,019.33 11/22/2021Christopher R. Hemesath Internet Other‐ Countywide Expenses General Fund 134.99 11/22/2021Christopher R. Manski Operating Supplies Sheriff General Fund 200 11/22/2021Chronicle Media, LLC Legal Trial Notices State's Attorney General Fund 75 11/22/2021Cintas Corporation Repairs and Maint‐ Vehicles Sheriff General Fund 48.09 11/22/2021Cintas Corporation Repairs and Maint‐ Vehicles Sheriff General Fund 48.09 11/22/2021Cintas Corporation Uniform Supplies Transportation Motor Fuel Local Option 287.47 11/22/2021CIORBA Group Inc Engineering Services Transportation Transportation Sales Tax 1,724.44 11/22/2021Cipher Technology Solutions Inc (CTS of Illinois) Repairs and Maint‐ Buildings Health County Health 315 11/22/2021City of Batavia Utilities‐ Intersect Lighting Transportation County Highway 76.72 11/22/2021City of Batavia Utilities‐ Intersect Lighting Transportation County Highway 103.19 11/22/2021City of Batavia Utilities‐ Intersect Lighting Transportation County Highway 94.45 11/22/2021City of Batavia Utilities‐ Intersect Lighting Transportation County Highway 100.41 11/22/2021City of Batavia Utilities‐ Electric Operating Pool Workforce Development 79.13 11/22/2021City of Batavia Utilities‐ Electric One‐Stop shared costs Workforce Development 75.36 11/22/2021City of Geneva Utilities‐ Sewer Building Management General Fund 216.09 11/22/2021City of Geneva Utilities‐ Sewer Building Management General Fund 74.33 11/22/2021City of Geneva Utilities‐ Sewer Building Management General Fund 9.46 11/22/2021City of Geneva Utilities‐ Sewer Building Management General Fund 55.85 11/22/2021City of Geneva Utilities‐ Water Building Management General Fund 356.18 11/22/2021City of Geneva Utilities‐ Water Building Management General Fund 128.66 11/22/2021City of Geneva Utilities‐ Water Building Management General Fund 14.54 11/22/2021City of Geneva Utilities‐ Water Building Management General Fund 98.41 11/22/2021City of Geneva Utilities‐ Electric Building Management General Fund 5,062.50 11/22/2021City of Geneva Utilities‐ Electric Building Management General Fund 511.16 11/22/2021City of Geneva Utilities‐ Electric Building Management General Fund 61.87 11/22/2021City of Geneva Utilities‐ Electric Building Management General Fund 213.27 11/22/2021Clark Dietz Inc Engineering Services Transportation Transportation Sales Tax 1,836.22 11/22/2021Classic Plastics Corporation Body Bags Coroner Coroner Administration 636 11/22/2021Colleen R Nyland Employee Mileage Expense Health County Health 113.12 11/22/2021College of DuPage DT ITA TAA 20 Workforce Development 1,663.50 11/22/2021ComEd Contractual/Consulting Services Kane Comm Kane Comm 30.53 11/22/2021ComEd Utilities‐ Intersect Lighting Transportation County Highway 136.93 11/22/2021ComEd Utilities‐ Intersect Lighting Transportation County Highway 2,902.86 11/22/2021ComEd Utilities‐ Intersect Lighting Transportation County Highway 142.88 11/22/2021ComEd Utilities‐ Intersect Lighting Transportation County Highway 6.23 11/22/2021ComEd Utilities‐ Intersect Lighting Transportation County Highway 90.18 11/22/2021ComEd Utilities‐ Intersect Lighting Transportation County Highway 92.88 11/22/2021ComEd Utilities‐ Intersect Lighting Transportation County Highway 76.44 11/22/2021ComEd Utilities‐ Intersect Lighting Transportation County Highway 8.59 11/22/2021ComEd Utilities‐ Intersect Lighting Development Mill Creek Special Service Area 134.45 11/22/2021



ComEd Utilities‐ Intersect Lighting Development Mill Creek Special Service Area 199.5 11/22/2021ComEd Utilities‐ Intersect Lighting Development Mill Creek Special Service Area 59.86 11/22/2021ComEd Utilities‐ Intersect Lighting Development Mill Creek Special Service Area 24.9 11/22/2021ComEd Utilities‐ Intersect Lighting Development Mill Creek Special Service Area 19.67 11/22/2021ComEd Utilities‐ Intersect Lighting Development Mill Creek Special Service Area 61.15 11/22/2021ComEd Utilities‐ Intersect Lighting Development Mill Creek Special Service Area 29.41 11/22/2021ComEd Utilities‐ Intersect Lighting Development Mill Creek Special Service Area 19.67 11/22/2021ComEd Utilities‐ Intersect Lighting Development Mill Creek Special Service Area 47.33 11/22/2021ComEd Utilities‐ Intersect Lighting Development Mill Creek Special Service Area 28.99 11/22/2021Community Contacts, Inc. Miscellaneous Contractual Exp Development Elgin CDBG 12,635.00 11/22/2021Community Crisis Center Inc Psychological/Psychiatric Srvs Court Services Probation Services 70 11/22/2021Community Crisis Center Inc Psychological/Psychiatric Srvs Court Services Probation Services 140 11/22/2021Community Crisis Center Inc Psychological/Psychiatric Srvs Court Services Probation Services 140 11/22/2021Community Crisis Center Inc Psychological/Psychiatric Srvs Court Services Probation Services 70 11/22/2021Community Crisis Center Inc Psychological/Psychiatric Srvs Court Services Probation Services 100 11/22/2021Community Organizing and Family Issues Contractual/Consulting Services Health County Health 10,000.00 11/22/2021Constellation NewEnergy Inc. Utilities‐ Electric Building Management General Fund 6,633.01 11/22/2021Constellation NewEnergy Inc. Utilities‐ Electric Building Management General Fund 25,929.07 11/22/2021Constellation NewEnergy Inc. Utilities‐ Electric Building Management General Fund 1,822.94 11/22/2021Constellation NewEnergy Inc. Utilities‐ Electric Building Management General Fund 97.18 11/22/2021Constellation NewEnergy Inc. Utilities‐ Electric Building Management General Fund 119.22 11/22/2021Constellation NewEnergy Inc. Utilities‐ Electric Building Management General Fund 32.33 11/22/2021Constellation NewEnergy Inc. Utilities‐ Electric Building Management General Fund 313.99 11/22/2021Constellation NewEnergy Inc. Utilities‐ Electric Building Management General Fund 37.05 11/22/2021Constellation NewEnergy Inc. Utilities‐ Electric Building Management General Fund 27,738.07 11/22/2021Constellation NewEnergy Inc. Utilities‐ Electric Transportation County Highway 1,538.31 11/22/2021Constellation NewEnergy Inc. Utilities‐ Electric Transportation County Highway 67.07 11/22/2021Constellation NewEnergy Inc. Utilities‐ Intersect Lighting Transportation County Highway 215.49 11/22/2021Constellation NewEnergy Inc. Utilities‐ Intersect Lighting Transportation County Highway 150.7 11/22/2021Cooper Construction and Glass Inc Professional Services Operating Pool Workforce Development 49.22 11/22/2021Cooper Construction and Glass Inc Professional Services One‐Stop shared costs Workforce Development 46.88 11/22/2021Cordogan, Clark & Associates Inc Building Improvements Other‐ Countywide Expenses Capital Projects 21,950.10 11/22/2021Cordogan, Clark & Associates Inc Repairs and Maint‐ Grounds Development Mill Creek Special Service Area 6,417.50 11/22/2021Cornerstone Partners Horticultural Services Co. Repairs and Maint‐ Grounds Development Mill Creek Special Service Area 691.15 11/22/2021Cornerstone Partners Horticultural Services Co. Repairs and Maint‐ Grounds Development Mill Creek Special Service Area 455.03 11/22/2021County of Kendall Prepaid Expense Workforce Development 800 11/22/2021County of Kendall Sheriffs Department Adult Prisoner Board and Care Sheriff General Fund 2,170.00 11/22/2021Crawford Murphy & Tilly Inc (CMT) Engineering Services Transportation Transportation Sales Tax 14,727.23 11/22/2021CS Geologic LLC Engineering Services Environmental Management Enterprise Surcharge 1,522.50 11/22/2021Curt Bommelman Employee Mileage Expense Circuit Clerk General Fund 47.6 11/22/2021Daisy M. Robinson Contractual/Consulting Services Judiciary and Courts General Fund 226 11/22/2021Dana Cruz Employee Mileage Expense Circuit Clerk General Fund 228.48 11/22/2021Dana D. Bollman Court Reporter Costs State's Attorney General Fund 468 11/22/2021Dana D. Bollman Court Reporter Costs State's Attorney General Fund 72 11/22/2021Daniel Velasco Contractual/Consulting Services Judiciary and Courts General Fund 1,755.00 11/22/2021Daniel Velasco Contractual/Consulting Services Judiciary and Courts General Fund 1,440.00 11/22/2021Daniela Michelle Gicla Autopsies/Consulting Coroner General Fund 800 11/22/2021Dany Tree Service Inc Repairs and Maintenance‐ Roads Transportation Hampshire Township 8,400.00 11/22/2021Darin P. Earl Internet Other‐ Countywide Expenses General Fund 99.99 11/22/2021Data Clean Corporation Contractual/Consulting Services Kane Comm Kane Comm 610 11/22/2021Data‐Tec Systems, Inc. Contractual/Consulting Services Information Technologies General Fund 399 11/22/2021DAVID C KING Employee Mileage Expense Recorder General Fund 22.62 11/22/2021David Hernandez Contractual/Consulting Services Judiciary and Courts General Fund 120 11/22/2021De Lage Landen Financial Services, Inc. Equipment Rental Judiciary and Courts General Fund 125 11/22/2021Debra P Hogan Court Reporter Costs State's Attorney General Fund 44 11/22/2021Defin.Net Solutions Inc Contractual/Consulting Services Information Technologies General Fund 4,000.00 11/22/2021Defin.Net Solutions Inc Contractual/Consulting Services Other‐ Countywide Expenses Public Safety Sales Tax 8,000.00 11/22/2021Defin.Net Solutions Inc Contractual/Consulting Services Other‐ Countywide Expenses Judicial Technology Sales Tax 8,000.00 11/22/2021Dell Marketing LP Software Licensing Cost County Clerk General Fund 3,788.80 11/22/2021Dennysha Kizer SS Transportation Assistance WIOA 20 Workforce Development 50.4 11/22/2021Diane Dawson Employee Mileage Expense Health County Health 22.4 11/22/2021Diglet LLC Software Licensing Cost Transportation County Highway 191.4 11/22/2021Dina G Mancillas Per Diem Expense Judiciary and Courts General Fund 84 11/22/2021Dina G Mancillas Per Diem Expense Judiciary and Courts General Fund 100 11/22/2021



Dina G Mancillas Court Reporter Costs State's Attorney General Fund 50 11/22/2021DNM Sealcoating, Inc Repairs and Maintenance‐ Roads Building Management General Fund 2,985.00 11/22/2021DNM Sealcoating, Inc Building Improvements Other‐ Countywide Expenses Capital Projects 18,800.00 11/22/2021DNM Sealcoating, Inc Building Improvements Other‐ Countywide Expenses Capital Projects 15,865.00 11/22/2021Dock & Door National LLC Repairs and Maint‐ Buildings Building Management General Fund 372.82 11/22/2021Donna Hubbs Employee Mileage Expense Circuit Clerk General Fund 53.76 11/22/2021Dreyer Medical Clinic Medical/Dental/Hospital Services Sheriff General Fund 2,692.00 11/22/2021Dreyer Medical Clinic Medical/Dental/Hospital Services Sheriff General Fund 777 11/22/2021Dreyer Medical Clinic Medical/Dental/Hospital Services Sheriff General Fund 35 11/22/2021Dreyer Medical Clinic Pre‐Employ Drug Testing and Labs Sheriff General Fund 1,236.00 11/22/2021Dreyer Medical Clinic Pre‐Employment Physicals Sheriff General Fund 159 11/22/2021Dreyer Medical Clinic Pre‐Employment Physicals Sheriff General Fund 189 11/22/2021Dreyer Medical Clinic Employee Medical Expense Animal Control Animal Control 800 11/22/2021Dreyer Medical Clinic Contractual/Consulting Services Health County Health 2,000.00 11/22/2021E J Rohn Company dba Specialty Mat Service Office Supplies Operating Pool Workforce Development 26 11/22/2021E J Rohn Company dba Specialty Mat Service Office Supplies One‐Stop shared costs Workforce Development 24.75 11/22/2021EAGLE FLEXIBLE PACKAGING INC DT OJT (On the Job Training) WIOA 20 Workforce Development 5,917.33 11/22/2021Ecker Center for Mental Health Psychological/Psychiatric Srvs Court Services General Fund 2,500.00 11/22/2021Edgar K. Collison Law Offices, Ltd. Legal Services State's Attorney Insurance Liability 4,000.00 11/22/2021Eduardo Goodall DT ITA WIOA 20 Workforce Development 193 11/22/2021Elburn NAPA Inc (North Aurora) Repairs and Maint‐ Vehicles Sheriff General Fund 78.94 11/22/2021Elburn NAPA Inc (North Aurora) Repairs and Maint‐ Vehicles Sheriff General Fund 25.47 11/22/2021Elburn NAPA Inc (North Aurora) Repairs and Maint‐ Vehicles Sheriff General Fund 7.02 11/22/2021Elburn NAPA Inc (North Aurora) Repairs and Maint‐ Vehicles Sheriff General Fund 107.99 11/22/2021Elburn NAPA Inc (North Aurora) Repairs and Maint‐ Vehicles Sheriff General Fund 113.89 11/22/2021Elburn NAPA Inc (North Aurora) Vehicle Parts/Supplies Transportation Motor Fuel Local Option 70.5 11/22/2021Elburn NAPA Inc (North Aurora) Vehicle Parts/Supplies Transportation Motor Fuel Local Option 239.9 11/22/2021Elburn NAPA Inc (North Aurora) Vehicle Parts/Supplies Transportation Motor Fuel Local Option 141.14 11/22/2021Elburn NAPA Inc (North Aurora) Vehicle Parts/Supplies Transportation Motor Fuel Local Option 162.99 11/22/2021Elburn NAPA Inc (North Aurora) Vehicle Parts/Supplies Transportation Motor Fuel Local Option 64 11/22/2021Elburn NAPA Inc (North Aurora) Vehicle Parts/Supplies Transportation Motor Fuel Local Option 46.15 11/22/2021Elburn NAPA Inc (North Aurora) Vehicle Parts/Supplies Transportation Motor Fuel Local Option 111.77 11/22/2021Elburn NAPA Inc (North Aurora) Vehicle Parts/Supplies Transportation Motor Fuel Local Option 196.31 11/22/2021Elburn NAPA Inc (North Aurora) Vehicle Parts/Supplies Transportation Motor Fuel Local Option 379.85 11/22/2021Elburn NAPA Inc (North Aurora) Vehicle Parts/Supplies Transportation Motor Fuel Local Option 23.4 11/22/2021Elburn NAPA Inc (North Aurora) Vehicle Parts/Supplies Transportation Motor Fuel Local Option 96.91 11/22/2021Elburn NAPA Inc (North Aurora) Vehicle Parts/Supplies Transportation Motor Fuel Local Option 94.38 11/22/2021Elburn NAPA Inc (North Aurora) Vehicle Parts/Supplies Transportation Motor Fuel Local Option 320.63 11/22/2021Elburn NAPA Inc (North Aurora) Vehicle Parts/Supplies Transportation Motor Fuel Local Option ‐55.2 11/22/2021Elburn NAPA Inc (North Aurora) Vehicle Parts/Supplies Transportation Motor Fuel Local Option ‐19.61 11/22/2021Elburn NAPA Inc (North Aurora) Vehicle Parts/Supplies Transportation Motor Fuel Local Option 21.92 11/22/2021Elburn NAPA Inc (North Aurora) Equipment Parts/Supplies Transportation Motor Fuel Local Option ‐191.76 11/22/2021Elburn NAPA Inc (North Aurora) Tools Transportation Motor Fuel Local Option 98.12 11/22/2021Elgin Breakfast Rotary External Grants County Board Grand Victoria Casino Elgin 10,935.65 11/22/2021Elgin Community College Miscellaneous Contractual Exp WIOA 20 Workforce Development 1,443.52 11/22/2021Elgin Community College Work Based Learning Activities WIOA 20 Workforce Development 1,012.56 11/22/2021Elgin Community College Youth Supportive Services WIOA 20 Workforce Development 25.07 11/22/2021Elgin Community College Miscellaneous Contractual Exp WIOA 20 Workforce Development 14,728.74 11/22/2021Elgin Community College Work Based Learning Activities WIOA 20 Workforce Development 6,210.59 11/22/2021Elgin Community College Youth ITA WIOA 20 Workforce Development 3,666.05 11/22/2021Elgin Community College Youth Supportive Services WIOA 20 Workforce Development 1,449.02 11/22/2021Elizabeth Donegan PsyD Psychological/Psychiatric Srvs Judiciary and Courts General Fund 750 11/22/2021Emily Olson Employee Mileage Expense Circuit Clerk General Fund 3.92 11/22/2021Employment & Employer Services Inc Miscellaneous Contractual Exp WIOA 20 Workforce Development 10,281.50 11/22/2021Employment & Employer Services Inc Miscellaneous Contractual Exp WIOA 20 Workforce Development 15,422.25 11/22/2021Enterprise FM Trust Vehicle Lease Transportation County Highway 4,696.16 11/22/2021EQ‐The Environmental Quality Co. (dba US Ecology) Contractual/Consulting Services Environmental Management Enterprise Surcharge 5,065.00 11/22/2021EQ‐The Environmental Quality Co. (dba US Ecology) Contractual/Consulting Services Environmental Management Enterprise Surcharge 5,830.00 11/22/2021ERIN M GAEKE Employee Mileage Expense State's Attorney Insurance Liability 78.5 11/22/2021Erin Rauscher Employee Mileage Expense Health County Health 17.36 11/22/2021FedEx Postage Other‐ Countywide Expenses General Fund 18.03 11/22/2021FedEx Postage Other‐ Countywide Expenses General Fund 188.32 11/22/2021FedEx Postage Other‐ Countywide Expenses General Fund 158.02 11/22/2021FedEx Postage Other‐ Countywide Expenses General Fund 336.97 11/22/2021



Feece Oil Company Fuel‐ Vehicles Building Management General Fund 55.26 11/22/2021Feece Oil Company Fuel‐ Vehicles Health County Health 16.54 11/22/2021Feece Oil Company Fuel‐ Vehicles Health County Health 20.88 11/22/2021Feece Oil Company Fuel‐ Vehicles Health County Health 24.58 11/22/2021Feece Oil Company Fuel‐ Vehicles Health County Health 27.25 11/22/2021Feece Oil Company Fuel‐ Vehicles Health County Health 20.3 11/22/2021Felicia Craig SS Transportation Assistance WIOA 20 Workforce Development 409.36 11/22/2021Fera Consulting Group Professional Services WIOA 20 Workforce Development 1,937.50 11/22/2021First Environmental Labs Inc Contractual/Consulting Services County Board Farmland Preservation 1,740.20 11/22/2021Fleet Safety Supply Operating Supplies Sheriff General Fund 7,360.18 11/22/2021Flexible Benefits Service, LLC Healthcare Admin Services Other‐ Countywide Expenses Health Insurance Fund 916 11/22/2021Flexible Benefits Service, LLC Accrued Liabilities Flexible Spending Account 7,265.18 11/22/2021Flexible Benefits Service, LLC Accrued Liabilities Flexible Spending Account 2,962.88 11/22/2021Follett Higher Education Group, Inc. DT ITA TAA 20 Workforce Development 94.25 11/22/2021Follett Higher Education Group, Inc. DT ITA TAA 20 Workforce Development 553.5 11/22/2021Fox Valley Fire & Safety Co Repairs and Maint‐ Buildings Building Management General Fund 4,800.00 11/22/2021Fox Valley Fire & Safety Co Repairs and Maint‐ Equipment Building Management General Fund 582 11/22/2021Frank McEwen SS Transportation Assistance WIOA 20 Workforce Development 63.84 11/22/2021Fuller's Full Service Car Wash Repairs and Maint‐ Vehicles Building Management General Fund 30 11/22/2021G.W. Berkheimer Co., Inc. Repairs and Maint‐ Equipment Building Management General Fund 64.16 11/22/2021G.W. Berkheimer Co., Inc. Repairs and Maint‐ Buildings Transportation County Highway 89.66 11/22/2021G.W. Berkheimer Co., Inc. Buildings and Grounds Supplies Transportation County Highway 151.02 11/22/2021Gabriela Allison Tuition Reimbursement County Board Grand Victoria Casino Elgin 748.5 11/22/2021Gary Erickson Internet Other‐ Countywide Expenses General Fund 64.99 11/22/2021Gateway Foundation Contractual/Consulting Services Court Services Drug Court Special Resources 1,670.00 11/22/2021Gateway Foundation Residential Treatment Court Services Drug Court Special Resources 31,284.00 11/22/2021Genesis Technologies Inc. Computer Related Supplies Court Services General Fund 202.5 11/22/2021Geneva Construction Company Road Construction Transportation Transportation Sales Tax 123,391.24 11/22/2021Gil Antonio Borjas Contractual/Consulting Services Judiciary and Courts General Fund 410.4 11/22/2021Gil Antonio Borjas Contractual/Consulting Services Judiciary and Courts General Fund 410.4 11/22/2021Gil Antonio Borjas Contractual/Consulting Services Judiciary and Courts General Fund 410.4 11/22/2021Gordon Flesch Company Inc Operating Supplies Judiciary and Courts General Fund 66 11/22/2021Gordon Flesch Company Inc Repairs and Maint‐ Copiers State's Attorney General Fund 154.19 11/22/2021Gordon Flesch Company Inc Repairs and Maint‐ Copiers Recorder Recorder's Automation 20.13 11/22/2021Gordon Flesch Company Inc Repairs and Maint‐ Copiers Law Library Law Library 807 11/22/2021Gordon Flesch Company Inc Repairs and Maint‐ Office Equip Health County Health 190 11/22/2021Grainger Inc Repairs and Maint‐ Equipment Building Management General Fund 83.44 11/22/2021Grainger Inc Repairs and Maint‐ Buildings Building Management General Fund 33.78 11/22/2021Grainger Inc Repairs and Maint‐ Buildings Building Management General Fund 39.21 11/22/2021Grainger Inc Repairs and Maint‐ Equipment Building Management General Fund 104.64 11/22/2021Grainger Inc Repairs and Maint‐ Buildings Building Management General Fund 170.18 11/22/2021Grainger Inc Repairs and Maint‐ Equipment Building Management General Fund 158.69 11/22/2021Grainger Inc Cleaning Supplies Animal Control Animal Control 625.7 11/22/2021Grainger Inc Buildings and Grounds Supplies Transportation County Highway 265.1 11/22/2021Grainger Inc Buildings and Grounds Supplies Transportation County Highway 95.94 11/22/2021Grainger Inc Buildings and Grounds Supplies Transportation County Highway 296.75 11/22/2021Grainger Inc Buildings and Grounds Supplies Transportation County Highway 265.1 11/22/2021Grainger Inc Buildings and Grounds Supplies Transportation County Highway 58.32 11/22/2021H & H Electric Co. Liability Insurance Human Resource Management Insurance Liability 876.27 11/22/2021H & H Electric Co. Liability Insurance Human Resource Management Insurance Liability 3,302.80 11/22/2021H & H Electric Co. Liability Insurance Human Resource Management Insurance Liability 2,673.18 11/22/2021H & H Electric Co. Liability Insurance Human Resource Management Insurance Liability 1,355.82 11/22/2021Halle Cox Employee Mileage Expense Law Library Law Library 110.44 11/22/2021Hampshire Township Rock Salt Transportation Hampshire Township 3,600.00 11/22/2021Hampton Lenzini & Renwick, Inc. (HLR) Bridge Inspection Transportation County Bridge 15,094.97 11/22/2021Havlicek Geneva Ace Hardware LLC Repairs and Maint‐ Buildings Building Management General Fund 17.98 11/22/2021Havlicek Geneva Ace Hardware LLC Repairs and Maint‐ Buildings Building Management General Fund 14.39 11/22/2021Havlicek Geneva Ace Hardware LLC Repairs and Maint‐ Buildings Building Management General Fund 15.52 11/22/2021Havlicek Geneva Ace Hardware LLC Repairs and Maint‐ Buildings Building Management General Fund 36.02 11/22/2021Havlicek Geneva Ace Hardware LLC Repairs and Maint‐ Vehicles Sheriff General Fund 5.28 11/22/2021Health Advocates Network, Inc. Contractual/Consulting Services Health County Health 2,677.91 11/22/2021Health Care Service Corporation dba BCBSIL Healthcare ‐ Stop Loss Insurance Other‐ Countywide Expenses Health Insurance Fund ‐2,166.59 11/22/2021Health Care Service Corporation dba BCBSIL Healthcare ‐ Stop Loss Insurance Other‐ Countywide Expenses Health Insurance Fund 34,716.89 11/22/2021Health Care Service Corporation dba BCBSIL Self Insured Healthcare Claims Other‐ Countywide Expenses Health Insurance Fund 462,756.52 11/22/2021



Health Care Service Corporation dba BCBSIL Self Insured Healthcare Claims Administration Other‐ Countywide Expenses Health Insurance Fund 15,398.50 11/22/2021Health Care Service Corporation dba BCBSIL Healthcare Facility Access Fee Other‐ Countywide Expenses Health Insurance Fund 3,407.51 11/22/2021Health Care Service Corporation dba BCBSIL Healthcare Credits Other‐ Countywide Expenses Health Insurance Fund ‐15,548.00 11/22/2021Health Care Service Corporation dba BCBSIL Healthcare ‐ Stop Loss Insurance Other‐ Countywide Expenses Health Insurance Fund 32,875.80 11/22/2021Health Care Service Corporation dba BCBSIL Self Insured Healthcare Claims Other‐ Countywide Expenses Health Insurance Fund 680,241.78 11/22/2021Health Care Service Corporation dba BCBSIL Self Insured Healthcare Claims Administration Other‐ Countywide Expenses Health Insurance Fund 32,342.00 11/22/2021Health Care Service Corporation dba BCBSIL Healthcare HMO Managed Care Fee Other‐ Countywide Expenses Health Insurance Fund 6,845.20 11/22/2021Health Care Service Corporation dba BCBSIL Healthcare Physician Services Fee Other‐ Countywide Expenses Health Insurance Fund 215,509.19 11/22/2021Health Care Service Corporation dba BCBSIL Healthcare Credits Other‐ Countywide Expenses Health Insurance Fund ‐32,656.00 11/22/2021Healthcare Waste Management Inc (HWM) Disposal and Water Softener Srvs Sheriff General Fund 285 11/22/2021Heather Cameron Employee Mileage Expense Circuit Clerk General Fund 47.04 11/22/2021Heliana Hernandez Employee Mileage Expense Health County Health 53.7 11/22/2021HLP, Inc. Software Licensing Cost Animal Control Animal Control 3,840.00 11/22/2021HLP, Inc. Software Licensing Cost Animal Control Animal Control 15,010.79 11/22/2021Hodges‐Mace LLC Software Licensing Cost Other‐ Countywide Expenses General Fund 7,186.40 11/22/2021H‐O‐H Water Technology, Inc. Repairs and Maint‐ Buildings Transportation County Highway 450.46 11/22/2021HR GREEN Inc (formerly SEC GROUP Inc) Engineering Services Transportation Transportation Sales Tax 13,981.93 11/22/2021Humana Insurance Company Healthcare ‐ Health Insurance Other‐ Countywide Expenses Health Insurance Fund 8,014.16 11/22/2021IL Dept of Public Health, Div of Vital Records Accrued Liabilities Death Certificates 10,532.00 11/22/2021ILLCO INC Repairs and Maint‐ Buildings Building Management General Fund 56.5 11/22/2021ILLCO INC Repairs and Maint‐ Buildings Building Management General Fund 51.62 11/22/2021ILLCO INC Repairs and Maint‐ Buildings Building Management General Fund 149 11/22/2021ILLCO INC Repairs and Maint‐ Buildings Building Management General Fund 108.23 11/22/2021ILLCO INC Repairs and Maint‐ Equipment Building Management General Fund 757.5 11/22/2021ILLCO INC Repairs and Maint‐ Buildings Building Management General Fund 5.53 11/22/2021Illinois Institute for Continuing Legal Education Books and Subscriptions Law Library Law Library 93.75 11/22/2021Illinois Institute for Continuing Legal Education Books and Subscriptions Law Library Law Library 127.5 11/22/2021Illinois Welding School (Debra Glanton Enterprise) DT ITA WIOA 20 Workforce Development 340 11/22/2021Image‐Pro Services & Supplies Inc Office Supplies Circuit Clerk General Fund 1,099.30 11/22/2021Impact Networking, LLC Repairs and Maint‐ Equipment Circuit Clerk General Fund 67 11/22/2021Impact Networking, LLC Repairs and Maint‐ Copiers State's Attorney General Fund 768 11/22/2021Impact Networking, LLC Repairs and Maint‐ Copiers Sheriff General Fund 27 11/22/2021Impact Networking, LLC Repairs and Maint‐ Copiers Sheriff General Fund 96.3 11/22/2021Impact Networking, LLC Repairs and Maint‐ Copiers Sheriff General Fund 27 11/22/2021Impact Networking, LLC Operating Supplies Sheriff General Fund 1,157.00 11/22/2021Impact Networking, LLC Repairs and Maint‐ Copiers Court Services General Fund 104 11/22/2021Impact Networking, LLC Repairs and Maint‐ Copiers Court Services General Fund 28 11/22/2021Impact Networking, LLC Repairs and Maint‐ Copiers State's Attorney Insurance Liability 128 11/22/2021Impact Networking, LLC Repairs and Maint‐ Copiers State's Attorney Child Advocacy Center 256 11/22/2021Impact Networking, LLC Repairs and Maint‐ Copiers Transportation County Highway 37 11/22/2021Impact Networking, LLC Repairs and Maint‐ Office Equip Health County Health 58 11/22/2021Impact Networking, LLC Office Supplies WIOA 20 Workforce Development 23 11/22/2021Impact Networking, LLC Office Supplies Operating Pool Workforce Development 46 11/22/2021Impact Networking, LLC Office Supplies Operating Pool Workforce Development 23 11/22/2021Impact Networking, LLC Office Supplies One‐Stop shared costs Workforce Development 23 11/22/2021International Assn of Government Officials (IGO) General Association Dues County Clerk General Fund 700 11/22/2021International Assn of Government Officials (IGO) General Association Dues County Clerk General Fund 250 11/22/2021Iron Mountain Information Management, LLC Contractual/Consulting Services Information Technologies General Fund 928.57 11/22/2021James Pawola Employee Mileage Expense Development Homeless Prevention Program 37.3 11/22/2021Jeanine Fassnacht Court Reporter Costs State's Attorney General Fund 44 11/22/2021Jeffrey W. Richardson Prepaid Expense Workforce Development 2,421.42 11/22/2021Jennifer Austin‐Smith Contractual/Consulting Services Health County Health 150 11/22/2021Jennifer Campbell Per Diem Expense Judiciary and Courts General Fund 480 11/22/2021Jennifer Campbell Court Reporter Costs State's Attorney General Fund 556 11/22/2021Jessica Michels Employee Training State's Attorney General Fund 396.97 11/22/2021Jill Reed Internet Other‐ Countywide Expenses General Fund 77.18 11/22/2021Jill S. Boynton Employee Mileage Expense Circuit Clerk General Fund 92.4 11/22/2021Jim Capparelli Employee Mileage Expense Circuit Clerk General Fund 69.44 11/22/2021JOANNE HASSLER Employee Mileage Expense Circuit Clerk General Fund 5.6 11/22/2021Jodi Bingman General Association Dues Supervisor of Assessments General Fund 10 11/22/2021John L Milner SS Transportation Assistance TAA 20 Workforce Development 415.68 11/22/2021John Emerson Conferences and Meetings County Clerk General Fund 255.15 11/22/2021John Emerson Employee Mileage Expense County Clerk General Fund 72.13 11/22/2021Joy Yehnert Employee Mileage Expense Transportation County Highway 34.41 11/22/2021



Joy Yehnert Highway Right of Way Transportation County Highway 67 11/22/2021Judicial Systems Inc Jurors' Expense Judiciary and Courts General Fund 5,427.61 11/22/2021Judith M. Zwart Employee Mileage Expense Health County Health 8.06 11/22/2021Judith M. Zwart Employee Mileage Expense Health County Health 4.03 11/22/2021JUDY A SCHONBACK Employee Mileage Expense Recorder General Fund 6.72 11/22/2021Just In Time Coffee LLC Jurors' Expense Judiciary and Courts General Fund 1,439.00 11/22/2021Just In Time Coffee LLC Jurors' Expense Judiciary and Courts General Fund 240 11/22/2021Just In Time Coffee LLC Conferences and Meetings Judiciary and Courts General Fund 60 11/22/2021Justine Yen Contractual/Consulting Services Judiciary and Courts General Fund 276.28 11/22/2021Kane County Bar Foundation, Inc. Contractual/Consulting Services Judiciary and Courts Children's Waiting Room 9,843.56 11/22/2021Kane County Regional Office of Education Miscellaneous Contractual Exp Human Resource Management General Fund 320 11/22/2021Kane County Sheriff Electronic Monitoring Fees Sheriff General Fund 300 11/22/2021Kane County Sheriff Employee Training Court Services General Fund 250 11/22/2021Katie Glomp Employee Mileage Expense Health County Health 29.44 11/22/2021Kayla Agoranos Employee Mileage Expense Circuit Clerk General Fund 40.32 11/22/2021Kelly A. Lisner Employee Mileage Expense Circuit Clerk General Fund 109.2 11/22/2021Kelly Nelson Employee Mileage Expense Circuit Clerk General Fund 53.2 11/22/2021Kerber, Eck, & Braeckel (KEB) Contractual/Consulting Services Other‐ Countywide Expenses Coronavirus Relief Fund 727 11/22/2021Kerber, Eck, & Braeckel (KEB) General Association Dues Operating Pool Workforce Development 14,000.00 11/22/2021Kierra Briann Cartright SS Transportation Assistance WIOA 20 Workforce Development 208.32 11/22/2021Kinnally Flaherty Krentz Loran Hodge & Masur PC Legal Services County Board Farmland Preservation 300 11/22/2021Kinnally Flaherty Krentz Loran Hodge & Masur PC Legal Services County Board Farmland Preservation 209 11/22/2021Kishwaukee College Miscellaneous Contractual Exp WIOA 20 Workforce Development 8,987.63 11/22/2021Kishwaukee College Work Based Learning Activities WIOA 20 Workforce Development 8,674.60 11/22/2021Kishwaukee College Youth Supportive Services WIOA 20 Workforce Development 5,188.48 11/22/2021Kishwaukee College DT ITA WIOA 20 Workforce Development 22.5 11/22/2021Kishwaukee College DT ITA WIOA 20 Workforce Development 27,454.62 11/22/2021Kishwaukee College DT ITA WIOA 20 Workforce Development 15,910.48 11/22/2021Kobald Reporting Inc Court Reporter Costs State's Attorney Child Advocacy Center 28.5 11/22/2021Kruis Inc (Sparkle Janiotorial Service) Janitorial Services Operating Pool Workforce Development 1,150.00 11/22/2021Kurt D. Lebo Employee Mileage Expense Information Technologies General Fund 12.05 11/22/2021Kurt D. Lebo Internet Other‐ Countywide Expenses General Fund 68.13 11/22/2021Lafarge Aggregates Illinois Inc Repairs and Maint‐ Resurfacing Transportation Virgil Township 69,116.38 11/22/2021Land‐Code LLC Contractual/Consulting Services Recorder Recorder's Automation 5,000.00 11/22/2021Land‐Code LLC Computer Related Supplies Recorder Recorder's Automation 438.35 11/22/2021Language Line Services Contractual/Consulting Services Judiciary and Courts General Fund 120.47 11/22/2021Lashay Davis DT ITA WIOA 20 Workforce Development 138 11/22/2021Latino Treatment Center Psychological/Psychiatric Srvs Court Services Probation Services 670 11/22/2021Latisha Burrell DT ITA WIOA 20 Workforce Development 75 11/22/2021LexisNexis Miscellaneous Contractual Exp Law Library Law Library 1,146.00 11/22/2021LexisNexis Miscellaneous Contractual Exp Law Library Law Library 1,223.00 11/22/2021LexisNexis Miscellaneous Contractual Exp Law Library Law Library 1,146.00 11/22/2021LexisNexis Miscellaneous Contractual Exp Law Library Law Library 1,223.00 11/22/2021Lift Works, Inc. Repairs and Maint‐ Buildings Building Management General Fund 636.3 11/22/2021Lighthouse Recovery, Inc. Medical/Dental/Hospital Services Sheriff General Fund 23,333.00 11/22/2021Lorig Construction Company Bridge Construction Transportation Longmeadow Bond Construction 205,858.54 11/22/2021Lowes Repairs and Maint‐ Buildings Building Management General Fund 35.08 11/22/2021Lowes Repairs and Maint‐ Buildings Building Management General Fund 31.81 11/22/2021Lowes Repairs and Maint‐ Buildings Building Management General Fund 22.57 11/22/2021Lowes Repairs and Maint‐ Buildings Building Management General Fund 23.6 11/22/2021Lowes Repairs and Maint‐ Buildings Building Management General Fund 9.96 11/22/2021M & M Extendo LLC dba Extendobed Operating Supplies Sheriff General Fund 5,875.00 11/22/2021Madison H. Schaefer Employee Mileage Expense Circuit Clerk General Fund 17.92 11/22/2021Making Kane County Fit For Kids External Grants County Board Grand Victoria Casino Elgin 11,500.00 11/22/2021Malinda Patterson Employee Mileage Expense Circuit Clerk General Fund 33.04 11/22/2021Management & Information Technology Solutions Inc DT ITA TAA 20 Workforce Development 4,500.00 11/22/2021Marberry Cleaners & Launderers Operating Supplies Coroner Coroner Administration 85.55 11/22/2021Mariann L Busch Court Reporter Costs State's Attorney General Fund 360 11/22/2021Maricela Ibarra Contractual/Consulting Services Judiciary and Courts General Fund 391.68 11/22/2021Maricela Ibarra Contractual/Consulting Services Judiciary and Courts General Fund 362.08 11/22/2021Marissa Brown Employee Mileage Expense Circuit Clerk General Fund 28 11/22/2021Marthe Asmah DT ITA WIOA 20 Workforce Development 307 11/22/2021Martina M. Miranda Per Diem Expense Judiciary and Courts General Fund 200 11/22/2021Martina M. Miranda Court Reporter Costs State's Attorney Child Advocacy Center 196 11/22/2021



Mary Hager‐Swanson Miscellaneous Contractual Exp Development Homeless Prevention Program 2,790.00 11/22/2021Matco Tools Corporation DT ITA TAA 20 Workforce Development 26.86 11/22/2021Matthew Bender & Co. dba LexisNexis Matthew Bender Books and Subscriptions Veterans' Commission Veterans' Commission 270.71 11/22/2021MB Delivery & Moving Services Repairs and Maint‐ Buildings Building Management General Fund 750 11/22/2021McCann Industries, Inc. Repairs and Maint‐ Equipment Transportation County Highway 766.5 11/22/2021MCI Telephone Operating Pool Workforce Development 46.51 11/22/2021McKesson Medical Surgical Medical Supplies and Drugs Court Services General Fund 96.92 11/22/2021Meagan Carroll Per Diem Expense Judiciary and Courts General Fund 36 11/22/2021Medline Industries, Inc. Operating Supplies Health County Health 77.21 11/22/2021Medline Industries, Inc. Operating Supplies Health County Health 77.21 11/22/2021Meggie Woltmann DT ITA WIOA 20 Workforce Development 50.98 11/22/2021Menards, Inc. Repairs and Maint‐ Buildings Building Management General Fund 72.5 11/22/2021Menards, Inc. Repairs and Maint‐ Buildings Building Management General Fund 27.06 11/22/2021Menards, Inc. Repairs and Maint‐ Buildings Building Management General Fund 27.93 11/22/2021Menards, Inc. Repairs and Maint‐ Buildings Building Management General Fund 16.56 11/22/2021Menards, Inc. Repairs and Maint‐ Buildings Building Management General Fund 49.04 11/22/2021Menards, Inc. Repairs and Maint‐ Buildings Building Management General Fund 46.42 11/22/2021Menards, Inc. Repairs and Maint‐ Buildings Building Management General Fund 67.78 11/22/2021Menards, Inc. Repairs and Maint‐ Buildings Building Management General Fund 27.95 11/22/2021Menards, Inc. Repairs and Maint‐ Buildings Building Management General Fund 35.83 11/22/2021Menards, Inc. Repairs and Maint‐ Buildings Building Management General Fund 122.64 11/22/2021Menards, Inc. Repairs and Maint‐ Buildings Building Management General Fund 39.39 11/22/2021Menards, Inc. Repairs and Maint‐ Buildings Building Management General Fund 6.99 11/22/2021Menards, Inc. Repairs and Maint‐ Buildings Building Management General Fund 19.65 11/22/2021Menards, Inc. Repairs and Maint‐ Buildings Building Management General Fund 16.57 11/22/2021Menards, Inc. Repairs and Maint‐ Buildings Building Management General Fund 9.98 11/22/2021Menards, Inc. Repairs and Maint‐ Buildings Building Management General Fund 15.87 11/22/2021Menards, Inc. Repairs and Maint‐ Buildings Building Management General Fund 25.97 11/22/2021Menards, Inc. Repairs and Maint‐ Buildings Building Management General Fund 34.36 11/22/2021Menards, Inc. Repairs and Maint‐ Buildings Building Management General Fund 64.29 11/22/2021Menards, Inc. Repairs and Maint‐ Buildings Building Management General Fund 62.57 11/22/2021Menards, Inc. Repairs and Maint‐ Buildings Building Management General Fund 15.58 11/22/2021Menards, Inc. Repairs and Maint‐ Buildings Building Management General Fund 56.44 11/22/2021Menards, Inc. Food Sheriff General Fund 115.65 11/22/2021Menards, Inc. Office Supplies Animal Control Animal Control 21.75 11/22/2021Menards, Inc. Buildings and Grounds Supplies Transportation County Highway 177.89 11/22/2021Mendel Plumbing & Heating Inc Repairs and Maint‐ Buildings Building Management General Fund 2,920.55 11/22/2021Michael John Kovach Employee Mileage Expense Circuit Clerk General Fund 53.2 11/22/2021Michael R Lee SS Transportation Assistance WIOA 20 Workforce Development 65.3 11/22/2021Michelle Guthrie Conferences and Meetings Kane Comm Kane Comm 10.18 11/22/2021Michelle Guthrie Employee Mileage Expense Kane Comm Kane Comm 210.56 11/22/2021Midway Industrial Equipment, Inc. Repairs and Maint‐ Vehicles Sheriff General Fund 28,670.60 11/22/2021Midwest Veterinary Supply Inc Animal Care Supplies Animal Control Animal Control 38.06 11/22/2021Midwest Veterinary Supply Inc Medical Supplies and Drugs Animal Control Animal Control 827.46 11/22/2021Mind, Body, Spirit Healing (MBSH) Psychological/Psychiatric Srvs Court Services Probation Services 100 11/22/2021Mitchell & McCormick, Inc Contractual/Consulting Services Health County Health 150 11/22/2021Mlady Commercial Services Inc Janitorial Services Operating Pool Workforce Development 1,075.61 11/22/2021Mlady Commercial Services Inc Janitorial Services One‐Stop shared costs Workforce Development 1,024.39 11/22/2021Mutual Ground Inc Psychological/Psychiatric Srvs Court Services Probation Services 591 11/22/2021MYS Incorporated Repairs and Maintenance‐ Bridges Transportation Motor Fuel Local Option 59,339.25 11/22/2021Nancy Bagley Psychological/Psychiatric Srvs Court Services General Fund 500 11/22/2021Natalie Hall Autopsies/Consulting Coroner General Fund 800 11/22/2021Naylor Enterprises Inc Contractual/Consulting Services Judiciary and Courts General Fund 150 11/22/2021New Lake College Corporation DT ITA WIOA 20 Workforce Development 2,285.00 11/22/2021NICOLE Villela Employee Training Court Services Drug Court Special Resources 210.94 11/22/2021Nicor Gas Utilities‐ Natural Gas Building Management General Fund 1,407.82 11/22/2021Nicor Gas Utilities‐ Natural Gas Transportation County Highway 285.82 11/22/2021Nicor Gas Utilities‐ Natural Gas Transportation County Highway 152.86 11/22/2021NMS Labs Toxicology Expense Coroner General Fund 7,793.00 11/22/2021North East Multi‐Regional Training Inc Employee Training Sheriff General Fund 100 11/22/2021North East Multi‐Regional Training Inc Employee Training Sheriff General Fund 700 11/22/2021Northern Illinois University DT ITA WIOA 20 Workforce Development 983.58 11/22/2021NVZ Inc Repairs and Maint‐ Copiers Recorder Recorder's Automation 195 11/22/2021Onsolve, LLC (Emergency Communications Network) Software Licensing Cost Other‐ Countywide Expenses Public Safety Sales Tax 29,287.50 11/22/2021



Open Text Inc Contractual/Consulting Services Health County Health 100 11/22/2021Optimum Management Resources, Inc. Contractual/Consulting Services Development Continuum of Care Planning Grant 8,250.00 11/22/2021Otto Engineering, Inc. Operating Supplies Sheriff General Fund 1,676.85 11/22/2021Ottosen DiNolfo, Hasenbalg & Castaldo Ltd Legal Services Development Mill Creek Special Service Area 765 11/22/2021P&G Keene Electrical Rebuilders, LLC Equipment Parts/Supplies Transportation Motor Fuel Local Option 285 11/22/2021Pacific Interpreters Contractual/Consulting Services Health County Health 34.5 11/22/2021Pacific Interpreters Contractual/Consulting Services Health County Health 405 11/22/2021Pacific Interpreters Contractual/Consulting Services Health County Health ‐313.5 11/22/2021Paddock Publications (Daily Herald) Legal Printing Supervisor of Assessments General Fund 49.75 11/22/2021Paddock Publications (Daily Herald) Contractual/Consulting Services Information Technologies Geographic Information Systems 28.75 11/22/2021Paddock Publications (Daily Herald) Legal Printing Transportation County Highway 1,449.00 11/22/2021Paddock Publications (Daily Herald) Legal Printing Development Mill Creek Special Service Area 108.1 11/22/2021Parents Alliance Employment Project Miscellaneous Contractual Exp WIOA 20 Workforce Development 4,086.26 11/22/2021Parents Alliance Employment Project Work Based Learning Activities WIOA 20 Workforce Development 11,243.59 11/22/2021Path Construction Company Inc Repairs and Maintenance‐ Bridges Transportation Motor Fuel Local Option 95,466.86 11/22/2021Path Construction Company Inc Repairs and Maintenance‐ Bridges Transportation Motor Fuel Local Option 69,360.14 11/22/2021Patson Inc dba Transchicago Truck Group Vehicle Parts/Supplies Transportation Motor Fuel Local Option 25.52 11/22/2021Patten Industries Power Dry of Chicago dba Chicago Water & Fire Rest Operating Supplies Coroner Coroner Administration 400 11/22/2021Paul N Schmolke dba Weststar Industries LLC Miscellaneous Contractual Exp Development Homeless Prevention Program 875 11/22/2021Peloton Inc dba Frank's Employment Contractual/Consulting Services Judiciary and Courts General Fund 136.5 11/22/2021Peloton Inc dba Frank's Employment Contractual/Consulting Services Health County Health 1,400.00 11/22/2021Peloton Inc dba Frank's Employment Contractual/Consulting Services Health County Health 1,400.00 11/22/2021Peloton Inc dba Frank's Employment Contractual/Consulting Services Health County Health 1,109.50 11/22/2021Peloton Inc dba Frank's Employment Contractual/Consulting Services Health County Health ‐1,069.88 11/22/2021Peloton Inc dba Frank's Employment Contractual/Consulting Services Health County Health 1,061.95 11/22/2021Peloton Inc dba Frank's Employment Contractual/Consulting Services Health County Health 1,109.50 11/22/2021Peloton Inc dba Frank's Employment Contractual/Consulting Services Health County Health 1,452.50 11/22/2021Peloton Inc dba Frank's Employment Contractual/Consulting Services Health County Health 1,452.50 11/22/2021Peloton Inc dba Frank's Employment Contractual/Consulting Services Health County Health 1,568.70 11/22/2021Peloton Inc dba Frank's Employment Contractual/Consulting Services Health County Health 1,904.85 11/22/2021Peloton Inc dba Frank's Employment Contractual/Consulting Services Health County Health 1,841.56 11/22/2021Peloton Inc dba Frank's Employment Contractual/Consulting Services Health County Health 1,545.88 11/22/2021Peloton Inc dba Frank's Employment Contractual/Consulting Services Health County Health 1,763.75 11/22/2021Peloton Inc dba Frank's Employment Contractual/Consulting Services Health County Health 1,701.50 11/22/2021Peloton Inc dba Frank's Employment Contractual/Consulting Services Health County Health 2,493.11 11/22/2021Peloton Inc dba Frank's Employment Contractual/Consulting Services Health County Health 2,392.27 11/22/2021Peloton Inc dba Frank's Employment Contractual/Consulting Services Health County Health 1,328.00 11/22/2021Peloton Inc dba Frank's Employment Contractual/Consulting Services Health County Health 1,577.00 11/22/2021Peloton Inc dba Frank's Employment Contractual/Consulting Services Health County Health 1,568.70 11/22/2021Peloton Inc dba Frank's Employment Contractual/Consulting Services Health County Health 1,344.60 11/22/2021Peloton Inc dba Frank's Employment Contractual/Consulting Services Health County Health 1,030.25 11/22/2021Peloton Inc dba Frank's Employment Contractual/Consulting Services Health County Health 1,109.50 11/22/2021Peloton Inc dba Frank's Employment Contractual/Consulting Services Health County Health 1,162.00 11/22/2021Peloton Inc dba Frank's Employment Contractual/Consulting Services Health County Health 1,452.50 11/22/2021Peloton Inc dba Frank's Employment Contractual/Consulting Services Health County Health 1,686.35 11/22/2021Peloton Inc dba Frank's Employment Contractual/Consulting Services Health County Health 2,341.85 11/22/2021Peloton Inc dba Frank's Employment Contractual/Consulting Services Health County Health 1,400.00 11/22/2021Peloton Inc dba Frank's Employment Contractual/Consulting Services Health County Health 1,400.00 11/22/2021Penny Lange Employee Mileage Expense Circuit Clerk General Fund 58.8 11/22/2021Peoplelink LLC dba Teamsoft Contractual/Consulting Services Health County Health 1,496.95 11/22/2021Peoplelink LLC dba Teamsoft Contractual/Consulting Services Health County Health 1,496.95 11/22/2021Peoplelink LLC dba Teamsoft Contractual/Consulting Services Health County Health 1,197.56 11/22/2021Peoplelink LLC dba Teamsoft Contractual/Consulting Services Health County Health 756 11/22/2021Peoplelink LLC dba Teamsoft Contractual/Consulting Services Health County Health 850.5 11/22/2021Peoplelink LLC dba Teamsoft Contractual/Consulting Services Health County Health 756 11/22/2021Peoplelink LLC dba Teamsoft Contractual/Consulting Services Health County Health 510.3 11/22/2021Peoplelink LLC dba Teamsoft Contractual/Consulting Services Health County Health 680.4 11/22/2021Peoplelink LLC dba Teamsoft Contractual/Consulting Services Health County Health 723.6 11/22/2021Peterson Cleaning, Inc. (PCI Services, Inc.) Janitorial Services Building Management General Fund 3,507.56 11/22/2021Peterson Cleaning, Inc. (PCI Services, Inc.) Janitorial Services Building Management General Fund 2,172.69 11/22/2021Peterson Cleaning, Inc. (PCI Services, Inc.) Janitorial Services Building Management General Fund 1,113.90 11/22/2021Peterson Cleaning, Inc. (PCI Services, Inc.) Janitorial Services Building Management General Fund 1,843.03 11/22/2021Peterson Cleaning, Inc. (PCI Services, Inc.) Janitorial Services Court Services General Fund 339.66 11/22/2021Peterson Cleaning, Inc. (PCI Services, Inc.) Janitorial Services Court Services General Fund 359.1 11/22/2021



Peterson Cleaning, Inc. (PCI Services, Inc.) Janitorial Services Transportation County Highway 1,061.44 11/22/2021Peterson Cleaning, Inc. (PCI Services, Inc.) Contractual/Consulting Services Building Management Mass Vaccination Fund 904.4 11/22/2021Petty Cash‐Chief Judge's Office Uniform Allowance Judiciary and Courts General Fund 64.97 11/22/2021Petty Cash‐Chief Judge's Office Jurors' Expense Judiciary and Courts General Fund 21 11/22/2021Petty Cash‐Chief Judge's Office Operating Supplies Judiciary and Courts General Fund 0.55 11/22/2021Petty Cash‐Sheriff Employee Training Sheriff General Fund 30.42 11/22/2021Petty Cash‐Sheriff Operating Supplies Sheriff General Fund 42.99 11/22/2021Petty Cash‐Sheriff Fuel‐ Vehicles Sheriff General Fund 50.23 11/22/2021Petty Cash‐Sheriff Food Sheriff General Fund 16 11/22/2021Phigenics, LLC Repairs and Maint‐ Buildings Building Management General Fund 1,600.00 11/22/2021Pitney Bowes Inc Postage Other‐ Countywide Expenses General Fund 40,000.00 11/22/2021Pitney Bowes Presort Services LLC Postage Other‐ Countywide Expenses General Fund 24.2 11/22/2021Planet Depos, LLC Legal Printing Development General Fund 584 11/22/2021Planet Depos, LLC Legal Printing Development General Fund 612 11/22/2021Pomps Tire Service Inc Vehicle Parts/Supplies Transportation Motor Fuel Local Option 1,769.24 11/22/2021Preferred Home Realty (DBA Preferred Management) Miscellaneous Contractual Exp Development Homeless Prevention Program 1,000.00 11/22/2021Preferred Home Realty (DBA Preferred Management) Miscellaneous Contractual Exp Development Homeless Prevention Program 850 11/22/2021Preform Traffic Control System Ltd Repairs and Maint‐ Pavement Mark Transportation Hampshire Township 17,203.14 11/22/2021Preventative Maintenance Systems Repairs and Maint‐ Vehicles Transportation County Highway 432 11/22/2021Preventative Maintenance Systems Repairs and Maint‐ Vehicles Transportation County Highway 42.5 11/22/2021Preventative Maintenance Systems Repairs and Maint‐ Vehicles Transportation County Highway 299 11/22/2021Preventative Maintenance Systems Repairs and Maint‐ Vehicles Transportation County Highway 385.5 11/22/2021Preventative Maintenance Systems Repairs and Maint‐ Vehicles Transportation County Highway 353.5 11/22/2021Preventative Maintenance Systems Repairs and Maint‐ Vehicles Transportation County Highway 361 11/22/2021Preventative Maintenance Systems Repairs and Maint‐ Vehicles Transportation County Highway 322.5 11/22/2021Prime Tack & Seal Co (PTS) Road Material Transportation Motor Fuel Local Option 510.38 11/22/2021Prime Tack & Seal Co (PTS) Road Material Transportation Motor Fuel Local Option 645.58 11/22/2021Producers Chemical Company Buildings and Grounds Supplies Transportation County Highway 43.1 11/22/2021PTS Communications Inc Telephone Other‐ Countywide Expenses General Fund 103 11/22/2021Quadient Leasing USA Inc Repairs and Maint‐ Copiers Supervisor of Assessments General Fund 290 11/22/2021Quill Corporation Office Supplies Sheriff General Fund 500.66 11/22/2021Quill Corporation Office Supplies Sheriff General Fund 11.17 11/22/2021Quill Corporation Office Supplies Sheriff General Fund 12.24 11/22/2021Quincy Compressor, LLC Repairs and Maint‐ Buildings Building Management General Fund 1,216.71 11/22/2021R.C. Wegman Construction Company Building Improvements Other‐ Countywide Expenses Capital Projects 17,221.00 11/22/2021R.C. Wegman Construction Company Building Improvements Other‐ Countywide Expenses Capital Projects 5,406.00 11/22/2021R.C. Wegman Construction Company Building Improvements Other‐ Countywide Expenses Capital Projects 16,457.00 11/22/2021R.C. Wegman Construction Company Building Improvements Other‐ Countywide Expenses Capital Projects 22,471.00 11/22/2021Rasmussen College DT ITA WIOA 20 Workforce Development 1,700.00 11/22/2021Rasmussen College DT ITA TAA 20 Workforce Development 3,303.00 11/22/2021Ray O'Herron Co., Inc. Uniform Supplies Sheriff General Fund 121.21 11/22/2021Ray O'Herron Co., Inc. Uniform Supplies Sheriff General Fund 93.48 11/22/2021Ray O'Herron Co., Inc. Uniform Supplies Sheriff General Fund 93.07 11/22/2021Ray O'Herron Co., Inc. Uniform Supplies Sheriff General Fund 614.7 11/22/2021Ray O'Herron Co., Inc. Uniform Supplies Sheriff General Fund 611.3 11/22/2021Ray O'Herron Co., Inc. Uniform Supplies Sheriff General Fund 624.89 11/22/2021Ray O'Herron Co., Inc. Uniform Supplies Sheriff General Fund 624.89 11/22/2021Ray O'Herron Co., Inc. Uniform Supplies Sheriff General Fund 448.68 11/22/2021Ray O'Herron Co., Inc. Uniform Supplies Sheriff General Fund 326.39 11/22/2021Ray O'Herron Co., Inc. Uniform Supplies Sheriff General Fund 308.95 11/22/2021Ray O'Herron Co., Inc. Uniform Supplies Sheriff General Fund 179.97 11/22/2021Ray O'Herron Co., Inc. Uniform Supplies Sheriff General Fund 28.69 11/22/2021Ray O'Herron Co., Inc. Uniform Supplies Sheriff General Fund 25.08 11/22/2021Ray O'Herron Co., Inc. Uniform Supplies Sheriff General Fund 30.16 11/22/2021Ray O'Herron Co., Inc. Uniform Supplies Sheriff General Fund 143.28 11/22/2021Ray O'Herron Co., Inc. Uniform Supplies Sheriff General Fund 30.16 11/22/2021Ray O'Herron Co., Inc. Uniform Supplies Sheriff General Fund 882.8 11/22/2021Ray O'Herron Co., Inc. Uniform Supplies Sheriff General Fund 30.16 11/22/2021Reditus Laboratories LLC Public Health Services ‐ Coronavirus Court Services General Fund 200 11/22/2021Reditus Laboratories LLC Public Health Services ‐ Coronavirus Court Services General Fund 400 11/22/2021Reditus Laboratories LLC Public Health Services ‐ Coronavirus Court Services General Fund 100 11/22/2021Regency Pet, LLC dba All Paws Pet Cremation Cremation Services Animal Control Animal Control 150 11/22/2021Relapse Prevention Counseling Center, Inc. Psychological/Psychiatric Srvs Court Services Probation Services 150 11/22/2021Relapse Prevention Counseling Center, Inc. Psychological/Psychiatric Srvs Court Services Probation Services 150 11/22/2021



Relapse Prevention Counseling Center, Inc. Psychological/Psychiatric Srvs Court Services Probation Services 150 11/22/2021Relapse Prevention Counseling Center, Inc. Psychological/Psychiatric Srvs Court Services Probation Services 150 11/22/2021Resource Management Associates Entrance/Promotional Testing Merit Commission General Fund 2,400.00 11/22/2021Richard Artz Employee Mileage Expense Circuit Clerk General Fund 92.96 11/22/2021Richland Community College Employee Training Sheriff General Fund 13,334.12 11/22/2021Robert M. Shive Internet Other‐ Countywide Expenses General Fund 159.9 11/22/2021Rock Gate Capital, LLC (dba 160 Driving Academy) DT ITA WIOA 20 Workforce Development 5,080.00 11/22/2021Rock Gate Capital, LLC (dba 160 Driving Academy) DT ITA WIOA 20 Workforce Development 5,080.00 11/22/2021Roots and Wings Counseling Consultants, LLC Counseling Services State's Attorney Child Advocacy Center 200 11/22/2021Rose Diane Turrubiartes SS Transportation Assistance WIOA 20 Workforce Development 104.83 11/22/2021Roskuszka & Sons dba Wallys Printing Operating Supplies Health County Health 806 11/22/2021Roskuszka & Sons dba Wallys Printing Operating Supplies Health County Health 74 11/22/2021Ruben Rodriguez Contractual/Consulting Services Judiciary and Courts General Fund 2,622.24 11/22/2021Rush Truck Centers of Illinois, Inc. Vehicle Parts/Supplies Transportation Motor Fuel Local Option 335.2 11/22/2021Rush Truck Centers of Illinois, Inc. Vehicle Parts/Supplies Transportation Motor Fuel Local Option 57.8 11/22/2021Rush Truck Centers of Illinois, Inc. Vehicle Parts/Supplies Transportation Motor Fuel Local Option 397.6 11/22/2021Ruth Bart Employee Mileage Expense Circuit Clerk General Fund 47.6 11/22/2021S & C Automotive Inc Repairs and Maint‐ Vehicles Coroner General Fund 113 11/22/2021Salvatore Pintacura Office Supplies Information Technologies Geographic Information Systems 29.99 11/22/2021Sams Club Direct Operating Supplies Court Services General Fund 600.97 11/22/2021Sams Club Direct Food Court Services General Fund 131.76 11/22/2021Sanofi Pasteur Inc. (via VaccineShop.com) Medical Supplies and Drugs Health County Health ‐2,402.70 11/22/2021Sanofi Pasteur Inc. (via VaccineShop.com) Medical Supplies and Drugs Health County Health 3,286.55 11/22/2021Sarah Rubio SS Transportation Assistance WIOA 20 Workforce Development 18.48 11/22/2021Sarah Stoffa Conferences and Meetings Kane Comm Kane Comm 32 11/22/2021Sarah Stoffa Employee Mileage Expense Kane Comm Kane Comm 185.25 11/22/2021SC Auto Inc DBA Midas Auto Service Repairs and Maint‐ Vehicles Court Services General Fund 74.99 11/22/2021Serenity House Counseling Services, Inc. Halfway House Court Services Drug Court Special Resources 340 11/22/2021Shauna Kane Employee Mileage Expense Circuit Clerk General Fund 100.8 11/22/2021Shaw Media Legal Printing Treasurer/Collector General Fund 8,084.00 11/22/2021Shaw Media Legal Trial Notices State's Attorney General Fund 207.14 11/22/2021Shirley L. Moline Employee Mileage Expense Circuit Clerk General Fund 17.92 11/22/2021Shred‐it USA LLC (Cintas Document Destruction) Disposal and Water Softener Srvs Health County Health 143.22 11/22/2021Signs in Dundee Inc dba Signs by Tomorrow Operating Supplies Environmental Management Enterprise Surcharge 489.82 11/22/2021Siteimprove, Inc. Software Licensing Cost Information Technologies Web Technical Services 4,907.45 11/22/2021Southern Computer Warehouse (SCW) Software Licensing Cost Other‐ Countywide Expenses General Fund 287 11/22/2021Southern Computer Warehouse (SCW) Computer Related Supplies Law Library Law Library 954.2 11/22/2021Southern Computer Warehouse (SCW) Operating Supplies Development Mill Creek Special Service Area 28.7 11/22/2021Special Project Staffing dba The Salem Group Contractual/Consulting Services Information Technologies General Fund 827.82 11/22/2021Special Project Staffing dba The Salem Group Contractual/Consulting Services Information Technologies General Fund 685.13 11/22/2021Special Project Staffing dba The Salem Group Contractual/Consulting Services Information Technologies Web Technical Services 2,520.00 11/22/2021Special Project Staffing dba The Salem Group Contractual/Consulting Services Information Technologies Web Technical Services 207.9 11/22/2021Special Project Staffing dba The Salem Group Contractual/Consulting Services Information Technologies Web Technical Services 1,839.60 11/22/2021Special Project Staffing dba The Salem Group Contractual/Consulting Services Information Technologies Web Technical Services 882 11/22/2021Special Project Staffing dba The Salem Group Contractual/Consulting Services Information Technologies Web Technical Services 1,776.60 11/22/2021Special Project Staffing dba The Salem Group Contractual/Consulting Services Information Technologies Web Technical Services 311.85 11/22/2021Special Project Staffing dba The Salem Group Contractual/Consulting Services Information Technologies Web Technical Services 2,520.00 11/22/2021Special Project Staffing dba The Salem Group Contractual/Consulting Services Information Technologies Web Technical Services 882 11/22/2021Splat Pest Control Inc Professional Services Operating Pool Workforce Development 38.45 11/22/2021Splat Pest Control Inc Professional Services One‐Stop shared costs Workforce Development 36.61 11/22/2021Spok, Inc. (USA Mobility Wireless Inc) Cellular Phone Other‐ Countywide Expenses General Fund 93.08 11/22/2021State of Illinois Treasurer Accrued Liabilities County Clerk Domestic Violence 1,350.00 11/22/2021Statewide Publishing, LLC Legal Services Circuit Clerk General Fund 60 11/22/2021Steiner Electric Co Inc Repairs and Maint‐ Equipment Building Management General Fund 610.61 11/22/2021Steiner Electric Co Inc Repairs and Maint‐ Buildings Building Management General Fund 35.97 11/22/2021Stephen Crow dba Thomas Property Management Miscellaneous Contractual Exp Development Homeless Prevention Program 850 11/22/2021Stericycle Inc Operating Supplies Coroner Coroner Administration 465.72 11/22/2021Sullivan's Law Directory Books and Subscriptions Law Library Law Library 123.36 11/22/2021Susan R Mrazek Employee Mileage Expense Health County Health 94.66 11/22/2021Sysco Food Services Chicago Operating Supplies Court Services General Fund 38.4 11/22/2021Sysco Food Services Chicago Food Court Services General Fund 3,506.38 11/22/2021Sysco Food Services Chicago Medical Supplies and Drugs Court Services General Fund 155.43 11/22/2021Tamara Livingston dba T.S. Livingston Inc. Contractual/Consulting Services Health Kane Kares 900 11/22/2021Tatiana Okunskaya Contractual/Consulting Services Judiciary and Courts General Fund 168 11/22/2021



Tau Operating Partnership, L.P.dba Tau Midwest LLC Highway Right of Way Transportation Motor Fuel Tax 1,750.00 11/22/2021TEC Services Consulting Inc Miscellaneous Contractual Exp One‐Stop shared costs Workforce Development 13,448.78 11/22/2021The Clay Companies dba Raise‐Rite Concrete Lifting Repairs and Maint‐ Grounds Development Mill Creek Special Service Area 2,035.00 11/22/2021The IDS Group Aurora Psychological/Psychiatric Srvs Court Services Probation Services 150 11/22/2021Theresa Knauf Employee Mileage Expense Health County Health 62.1 11/22/2021Thomas Interior Systems, Inc Accrued Liabilities 911 Emergency Surcharge 3,266.12 11/22/2021Thomson Reuters GRC Inc. (West Government) Books and Subscriptions State's Attorney General Fund 3,630.42 11/22/2021Thomson Reuters GRC Inc. (West Government) Books and Subscriptions State's Attorney General Fund 1,767.99 11/22/2021Thomson Reuters GRC Inc. (West Government) Books and Subscriptions State's Attorney General Fund 1,244.67 11/22/2021Thomson Reuters GRC Inc. (West Government) Books and Subscriptions Public Defender General Fund 235.63 11/22/2021Thomson Reuters GRC Inc. (West Government) Books and Subscriptions State's Attorney Child Advocacy Center 108.89 11/22/2021Thorne Electric Inc Road Construction Transportation Transportation Sales Tax 45,081.42 11/22/2021Thorne Electric Inc Road Construction Transportation Transportation Sales Tax 112,749.64 11/22/2021TIAA Commercial Finance Inc Operating Supplies Coroner Coroner Administration 217 11/22/2021Tiffany L. Montiel Employee Mileage Expense Law Library Law Library 113.68 11/22/2021Today's Business Solutions (TBS) Repairs and Maint‐ Copiers Law Library Law Library 1,356.00 11/22/2021Todd R Von Ohlen Miscellaneous Contractual Exp Development Homeless Prevention Program 925 11/22/2021Tongs Brother Inc Miscellaneous Contractual Exp Development Homeless Prevention Program 387.5 11/22/2021Tongs Brother Inc Miscellaneous Contractual Exp Development Homeless Prevention Program 775 11/22/2021Toshiba America Business Solutions Inc Repairs and Maint‐ Copiers Treasurer/Collector General Fund 6.35 11/22/2021Toshiba America Business Solutions Inc Repairs and Maint‐ Copiers Supervisor of Assessments General Fund 35.51 11/22/2021Toshiba America Business Solutions Inc Repairs and Maint‐ Equipment Circuit Clerk General Fund 67.68 11/22/2021Toshiba America Business Solutions Inc Operating Supplies Sheriff General Fund 470 11/22/2021Toshiba America Business Solutions Inc Repairs and Maint‐ Copiers Law Library Law Library 91.01 11/22/2021Toshiba America Business Solutions Inc Repairs and Maint‐ Copiers Law Library Law Library 77.41 11/22/2021Toshiba America Business Solutions Inc Repairs and Maint‐ Copiers Transportation County Highway 123.16 11/22/2021Toshiba America Business Solutions Inc Repairs and Maint‐ Office Equip Health County Health 10.5 11/22/2021Toshiba America Business Solutions Inc Repairs and Maint‐ Office Equip Health County Health 7.08 11/22/2021Toshiba America Business Solutions Inc Repairs and Maint‐ Office Equip Health County Health 108.24 11/22/2021Toshiba America Business Solutions Inc Repairs and Maint‐ Office Equip Health County Health 22.55 11/22/2021Toshiba America Business Solutions Inc Repairs and Maint‐ Office Equip Health County Health 66.5 11/22/2021Toshiba Financial Services Equipment Rental Judiciary and Courts General Fund 246.18 11/22/2021Tyler Medical Services, S.C. Medical/Dental/Hospital Services Transportation County Highway 375 11/22/2021Tyler Medical Services, S.C. Medical/Dental/Hospital Services Transportation County Highway 190 11/22/2021Tyler Medical Services, S.C. Medical/Dental/Hospital Services Transportation County Highway 310 11/22/2021Tyler Technologies, Inc. (New World) Software Licensing Cost Other‐ Countywide Expenses General Fund 2,450.00 11/22/2021Tyler Technologies, Inc. (New World) Software Licensing Cost Other‐ Countywide Expenses Public Safety Sales Tax 13,393.81 11/22/2021Urban Elevator Service LLC Repairs and Maint‐ Buildings Building Management General Fund 139.88 11/22/2021Urban Elevator Service LLC Repairs and Maint‐ Buildings Building Management General Fund 119.6 11/22/2021Urban Elevator Service LLC Repairs and Maint‐ Buildings Building Management General Fund 119.6 11/22/2021Urban Elevator Service LLC Repairs and Maint‐ Buildings Building Management General Fund 717.6 11/22/2021Urban Elevator Service LLC Repairs and Maint‐ Buildings Building Management General Fund 239.2 11/22/2021Urban Elevator Service LLC Repairs and Maint‐ Buildings Building Management General Fund 119.6 11/22/2021Urban Elevator Service LLC Repairs and Maint‐ Buildings Building Management General Fund 119.6 11/22/2021Urban Elevator Service LLC Repairs and Maint‐ Buildings Building Management General Fund 352.56 11/22/2021Urban Elevator Service LLC Repairs and Maint‐ Buildings Building Management General Fund 1,196.00 11/22/2021Urban Elevator Service LLC Repairs and Maint‐ Buildings Building Management General Fund 802.05 11/22/2021USIC Locating Services LLC Communications Equipment Other‐ Countywide Expenses Public Safety Sales Tax 452.41 11/22/2021Valley Lock Company Inc Office Supplies Sheriff General Fund 45 11/22/2021Veritiv Operating Company Printing Supplies Building Management General Fund ‐4,086.00 11/22/2021Veritiv Operating Company Printing Supplies Building Management General Fund 4,086.00 11/22/2021Veritiv Operating Company Printing Supplies Building Management General Fund 4,086.00 11/22/2021Verve College (PCCTI) DT ITA WIOA 20 Workforce Development 3,384.00 11/22/2021Vet Tech US Contractual/Consulting Services Environmental Management Enterprise Surcharge 300 11/22/2021Vetro Inc Contractual/Consulting Services Other‐ Countywide Expenses Public Safety Sales Tax 15,540.00 11/22/2021Via Carlita LLC dba Hawk Ford of St. Charles Repairs and Maint‐ Vehicles Sheriff General Fund 32.81 11/22/2021Via Carlita LLC dba Hawk Ford of St. Charles Repairs and Maint‐ Vehicles Sheriff General Fund 99.95 11/22/2021Wagner Investigative Polygraph Service Medical/Dental/Hospital Services Sheriff General Fund 100 11/22/2021Wagner Investigative Polygraph Service Medical/Dental/Hospital Services Sheriff General Fund 100 11/22/2021Wagner Investigative Polygraph Service Medical/Dental/Hospital Services Sheriff General Fund 300 11/22/2021Warehouse Direct Office Products Office Supplies County Board General Fund 122.27 11/22/2021Warehouse Direct Office Products Office Supplies County Board General Fund 13.17 11/22/2021Warehouse Direct Office Products Office Supplies Finance General Fund 29.43 11/22/2021Warehouse Direct Office Products Cleaning Supplies Building Management General Fund 854.9 11/22/2021



Warehouse Direct Office Products Cleaning Supplies Building Management General Fund 815.73 11/22/2021Warehouse Direct Office Products Cleaning Supplies Building Management General Fund 1,277.40 11/22/2021Warehouse Direct Office Products Cleaning Supplies Building Management General Fund 387.95 11/22/2021Warehouse Direct Office Products Repairs and Maint‐ Buildings Building Management General Fund 235.84 11/22/2021Warehouse Direct Office Products Office Supplies Supervisor of Assessments General Fund 41.6 11/22/2021Warehouse Direct Office Products Office Supplies County Clerk General Fund 82.58 11/22/2021Warehouse Direct Office Products Operating Supplies County Clerk General Fund 108.64 11/22/2021Warehouse Direct Office Products Operating Supplies County Clerk General Fund 238.14 11/22/2021Warehouse Direct Office Products Operating Supplies County Clerk General Fund 374.58 11/22/2021Warehouse Direct Office Products Operating Supplies County Clerk General Fund 115.47 11/22/2021Warehouse Direct Office Products Office Supplies Judiciary and Courts General Fund 172.59 11/22/2021Warehouse Direct Office Products Office Supplies Judiciary and Courts General Fund 32.99 11/22/2021Warehouse Direct Office Products Office Supplies Judiciary and Courts General Fund 359.95 11/22/2021Warehouse Direct Office Products Office Supplies Judiciary and Courts General Fund 37.98 11/22/2021Warehouse Direct Office Products Office Supplies Judiciary and Courts General Fund 23.44 11/22/2021Warehouse Direct Office Products Office Supplies Judiciary and Courts General Fund 22.5 11/22/2021Warehouse Direct Office Products Office Supplies Judiciary and Courts General Fund 27.89 11/22/2021Warehouse Direct Office Products Office Supplies Judiciary and Courts General Fund 138.06 11/22/2021Warehouse Direct Office Products Office Supplies Judiciary and Courts General Fund 58.27 11/22/2021Warehouse Direct Office Products Office Supplies Judiciary and Courts General Fund 91.29 11/22/2021Warehouse Direct Office Products Office Supplies Judiciary and Courts General Fund 45.72 11/22/2021Warehouse Direct Office Products Office Supplies Judiciary and Courts General Fund 37.36 11/22/2021Warehouse Direct Office Products Office Supplies Judiciary and Courts General Fund 180.37 11/22/2021Warehouse Direct Office Products Office Supplies Judiciary and Courts General Fund 56.42 11/22/2021Warehouse Direct Office Products Office Supplies Judiciary and Courts General Fund 4.77 11/22/2021Warehouse Direct Office Products Office Supplies Judiciary and Courts General Fund 53.1 11/22/2021Warehouse Direct Office Products Office Supplies Circuit Clerk General Fund 362.96 11/22/2021Warehouse Direct Office Products Office Supplies Circuit Clerk General Fund 54.19 11/22/2021Warehouse Direct Office Products Office Supplies State's Attorney General Fund 104.15 11/22/2021Warehouse Direct Office Products Office Supplies State's Attorney General Fund 18.63 11/22/2021Warehouse Direct Office Products Office Supplies State's Attorney General Fund 85.99 11/22/2021Warehouse Direct Office Products Office Supplies State's Attorney General Fund 374.48 11/22/2021Warehouse Direct Office Products Operating Supplies Sheriff General Fund 195 11/22/2021Warehouse Direct Office Products Operating Supplies Sheriff General Fund 229.41 11/22/2021Warehouse Direct Office Products Operating Supplies Sheriff General Fund 266.58 11/22/2021Warehouse Direct Office Products Office Supplies Sheriff General Fund 59.8 11/22/2021Warehouse Direct Office Products Office Supplies Court Services General Fund 57.76 11/22/2021Warehouse Direct Office Products Office Supplies Court Services General Fund 218.87 11/22/2021Warehouse Direct Office Products Office Supplies Court Services General Fund 415.91 11/22/2021Warehouse Direct Office Products Office Supplies Information Technologies Geographic Information Systems 172.94 11/22/2021Warehouse Direct Office Products Computer Related Supplies Information Technologies Geographic Information Systems 90.26 11/22/2021Warehouse Direct Office Products Computer Related Supplies Information Technologies Geographic Information Systems 88.53 11/22/2021Warehouse Direct Office Products Office Supplies Circuit Clerk Circuit Clerk Admin Services 15.6 11/22/2021Warehouse Direct Office Products Office Supplies Kane Comm Kane Comm 6.65 11/22/2021Warehouse Direct Office Products Office Supplies Kane Comm Kane Comm 20.24 11/22/2021Warehouse Direct Office Products Office Supplies Kane Comm Kane Comm 52.19 11/22/2021Warehouse Direct Office Products Office Supplies Court Services Drug Court Special Resources 19.48 11/22/2021Warehouse Direct Office Products Operating Supplies Coroner Coroner Administration 44.27 11/22/2021Warehouse Direct Office Products Office Supplies Health County Health 104.88 11/22/2021Warehouse Direct Office Products Office Supplies WIOA 20 Workforce Development 133.79 11/22/2021Warehouse Direct Office Products Office Supplies Operating Pool Workforce Development 291.58 11/22/2021Warehouse Direct Office Products Office Supplies Operating Pool Workforce Development 12.58 11/22/2021Waste Management of Illinois ‐ West Disposal and Water Softener Srvs Building Management General Fund 270 11/22/2021Waste Management of Illinois ‐ West Disposal and Water Softener Srvs Building Management General Fund 60.37 11/22/2021Waste Management of Illinois ‐ West Disposal and Water Softener Srvs Building Management General Fund 300 11/22/2021Waste Management of Illinois ‐ West Disposal and Water Softener Srvs Building Management General Fund 250 11/22/2021Waste Management of Illinois ‐ West Disposal and Water Softener Srvs Building Management General Fund 631.5 11/22/2021Waste Management of Illinois ‐ West Disposal and Water Softener Srvs Building Management General Fund 110 11/22/2021Waste Management of Illinois ‐ West Disposal and Water Softener Srvs Building Management General Fund 75 11/22/2021Waste Management of Illinois ‐ West Disposal and Water Softener Srvs Building Management General Fund 100 11/22/2021Waste Management of Illinois ‐ West Disposal and Water Softener Srvs Building Management General Fund 55 11/22/2021Waste Management of Illinois ‐ West Disposal and Water Softener Srvs Building Management General Fund 280.64 11/22/2021Waste Management of Illinois ‐ West Disposal and Water Softener Srvs Sheriff General Fund 95 11/22/2021Waste Management of Illinois ‐ West Disposal and Water Softener Srvs Sheriff General Fund 688.5 11/22/2021



Waste Management of Illinois ‐ West Contractual/Consulting Services Animal Control Animal Control 95 11/22/2021Waste Management of Illinois ‐ West Disposal and Water Softener Srvs Transportation County Highway 346.18 11/22/2021Waste Management of Illinois ‐ West Disposal and Water Softener Srvs Transportation County Highway 9 11/22/2021Waste Management of Illinois ‐ West Disposal and Water Softener Srvs Transportation County Highway 1.37 11/22/2021Waste Management of Illinois ‐ West Contractual/Consulting Services Building Management Mass Vaccination Fund 100 11/22/2021Waubonsee Community College Miscellaneous Contractual Exp WIOA 20 Workforce Development 10,800.03 11/22/2021Waubonsee Community College Work Based Learning Activities WIOA 20 Workforce Development 9,922.26 11/22/2021Waubonsee Community College Youth ITA WIOA 20 Workforce Development 6,143.00 11/22/2021Waubonsee Community College Youth Supportive Services WIOA 20 Workforce Development 506.75 11/22/2021Waubonsee Community College Youth ITA WIOA 20 Workforce Development 2,561.00 11/22/2021WCP Financials LLC Utilities‐ Electric Animal Control Animal Control 106.98 11/22/2021Wellspring Interpreting Services LLC Contractual/Consulting Services Judiciary and Courts General Fund 1,705.00 11/22/2021Wellspring Interpreting Services LLC Contractual/Consulting Services Judiciary and Courts General Fund 1,705.00 11/22/2021Wellspring Interpreting Services LLC Contractual/Consulting Services Judiciary and Courts General Fund 1,320.00 11/22/2021West Chicago Professional Center, Inc. DT ITA WIOA 20 Workforce Development 5,000.00 11/22/2021West Side Tractor Sales Co. Equipment Parts/Supplies Transportation Motor Fuel Local Option 48.98 11/22/2021West Side Tractor Sales Co. Equipment Parts/Supplies Transportation Motor Fuel Local Option 229.23 11/22/2021West Side Tractor Sales Co. Equipment Parts/Supplies Transportation Motor Fuel Local Option 387.42 11/22/2021WEX BANK Fuel‐ Vehicles Information Technologies General Fund 132.31 11/22/2021WEX BANK Fuel‐ Vehicles Court Services General Fund 609.5 11/22/2021WEX BANK Fuel‐ Vehicles Court Services General Fund 155.95 11/22/2021WEX BANK Fuel‐ Vehicles Court Services General Fund 53.41 11/22/2021WEX BANK Fuel‐ Vehicles Court Services Drug Court Special Resources 95.55 11/22/2021WEX BANK Fuel‐ Vehicles Animal Control Animal Control 594.99 11/22/2021Wex Fleet Universal (Wright Express FSC) Fuel‐ Vehicles Coroner General Fund 887.88 11/22/2021Wex Fleet Universal (Wright Express FSC) Fuel‐ Vehicles Development General Fund 538.58 11/22/2021William K Barclay Insurance Agency Inc (WKBIAI) Miscellaneous Contractual Exp Development Homeless Prevention Program 1,237.50 11/22/2021William T Connelly Inc dba Connelly Electric Co Contractual/Consulting Services Environmental Management Enterprise Surcharge 840 11/22/2021Wolf Driving School, Inc. DT ITA WIOA 20 Workforce Development 4,345.00 11/22/2021Wolters Kluwer Legal & Regulatory Solutions U.S. Books and Subscriptions Law Library Law Library 97.41 11/22/2021Zadilia Miriam De Tellez Contractual/Consulting Services Judiciary and Courts General Fund 232.4 11/22/2021Zadilia Miriam De Tellez Contractual/Consulting Services Judiciary and Courts General Fund 929.6 11/22/2021

Trials and Costs of Hearing State's Attorney General Fund 3,600.00 11/22/2021Trials and Costs of Hearing State's Attorney General Fund 3,600.00 11/22/2021

Chicago Title Company, LLC Highway Right of Way Transportation Transportation Sales Tax 1,501.00 11/23/2021Executive Office Holdings LLC Accrued Liabilities Special Trust 128,322.40 11/24/2021Ryan & Ryan Law, LLC Accrued Liabilities Special Trust 9,677.60 11/24/2021

TOTALS 7,479,273.11 1,701



Resolution: No.

Amending the Tuition Reimbursement Policy in the Personnel Policy Handbook

Committee Flow: Human Services Committee, Executive Committee, County Board Contact: Jamie Lobrillo, 630.208.3836

Budget Information:

Was this item budgeted? Yes Appropriation Amount: N/A

If not budgeted, explain funding source: N/A

Summary:

This resolution amends the Tuition Reimbursement Policy.

Packet Pg. 275

STATE OF ILLINOIS

COUNTY OF KANE

RESOLUTION: NO.

AMENDING THE TUITION REIMBURSEMENT POLICY IN THE PERSONNEL POLICY HANDBOOK

WHEREAS, Kane County has a Tuition Reimbursement Program as defined in the Kane County Personnel Policy Handbook; and

WHEREAS, the Human Services Committee has reviewed and recommended updates and

amendments to the Tuition Reimbursement Policy. NOW, THEREFORE, BE IT RESOLVED by the Kane County Board that Tuition

Reimbursement Policy contained in the Kane County Personnel Policy Handbook is hereby amended as set forth below.

EMPLOYEE TUITION REIMBURSEMENT PROGRAM

Policy:

It is the policy of Kane County to strive to provide work-related training and educational assistance to its employees. Kane County is committed to supporting its employees in the pursuit of career growth and development by enhancing their knowledge and skills through continuing education to create the best possible workforce to support the needs of the County. In furtherance of this policy, Kane County has established an Employee Tuition Reimbursement Program (this policy) to provide educational assistance benefits to employees pursuant to Section 127 of the Internal Revenue Code.

Definitions:

Education: Education includes any form of instruction or training that improves or develops capabilities of an individual.

Qualifying Educational Tuition: If either of the below apply, the tuition costs for Education, as defined herein are qualifying educational tuition costs under this policy.

1. Education needed to meet the minimum requirements of the job, trade, or business.

a. Minimum requirement may be imposed by the law, a regulatory agency, the employer, or by the standards of the trade, profession, or job.

2. Education that will satisfy the minimum requirements for a promotion or that qualify the employee for a new trade or business.

Note: Costs for tuition are the only educational expenses eligible for reimbursement under

this policy. Costs associated with fees, books, tools, supplies, meals, lodging, and

transportation are not eligible. Further, costs for education that involves sports,

games or hobbies are not eligible.

Packet Pg. 276

Non-qualifying Work-related Education: If neither of the above circumstances apply to the courses, and either of the following apply, the education is considered work-related education (training) and is subject to any training provisions established by the employee’s department head and will not be subject to this policy. Please see the Employee Training Policy for further information.

1. The education is required by the employer, a regulating agency, or the law for the employee to keep their present salary, status, or job.

2. The requirement serves a bona fide business purpose of the County and maintains or improves the skills needed for the employee’s current position.

Eligibility:

All full-time Kane County employees with at least 12 months of continuous service are eligible to participate in the program.

Guidelines:

1) To qualify, an employee must complete a Tuition Reimbursement Form during the posted open enrollment periods and prior to the start of the course. This form is available from the Human Resources Department or on the intranet (here).

2) The Tuition Reimbursement Form must contain the employee’s name, department name, telephone number, name of school or provider, course to be taken, cost and description of the course and a short narrative of the employee’s training plan and how the course will fit into that plan.

3) The Tuition Reimbursement Form must be submitted to the department head/appointed/elected official for approval.

4) Human Resources, in cooperation with the supervisor, department head, or elected official, will perform an analysis of the employee’s training plan, how the course fits into that plan and how the course will fill a job-related need of the employee. Courses within an approved, job-related degree program will be considered County job-related for the purpose of this policy.

5) Human Resources will verify (a) the eligibility of the course and the tuition as Qualifying Educational Tuition under this policy, and (b) available funding, and will notify the employee in writing of the approval or denial of the request.

6) Any approved course must be completed within 12 months after approval. If course completion does not occur within 12 months, approval for the course will lapse, and the employee must submit a new request for approval.

7) Within 3 months after completing a course, the employee will resubmit the approved Tuition Reimbursement Form, an itemized statement from the school or provider showing the amount of tuition, proof of course payment, documentation of a minimum final grade of “C” and a completed and signed tuition reimbursement voucher to the Department of Human Resource Management for payment. Seminars, workshops and other short-term training shall not be subject to the minimum grade requirement of “C”;

Packet Pg. 277

however, the employee shall present proof of course attendance and completion. In the case of Pass/Fail courses, the employee must “Pass” the course.

8) An employee forfeits any funds set aside to pay for the course when the employee fails to submit a payment voucher within 3 months of completing the course.

9) After Human Resources receives the employee’s satisfactory grade and proof of payment, the tuition reimbursement form will be submitted to the department that administers the riverboat grant for payment processing.

10) The out-of-pocket cost of tuition for the approved course is the only expense eligible for reimbursement. No books, materials, tools, supplies, meals, lodging, transportation costs or fees, including but not limited to athletic fees, technology fees, activity fees, services fees, outreach delivery fees, are eligible for reimbursement. Further, costs for education that involves sports, games or hobbies are not eligible for reimbursement.

11) Requests for approvals to take a course that will be reimbursed from the Riverboat Fund will cease once the approved requests meet the total amount budgeted for tuition reimbursement for each fiscal year.

B. Tuition reimbursement shall be subject to the following limitations:

1) Each eligible and approved course may be reimbursed up to a maximum of eighty

percent (80%) of the cost of tuition for the course.

2a) The maximum reimbursable amount for each eligible employee under this policy shall

not exceed $2,400 in any fiscal year.

2b) Amounts paid under this policy are intended to be excluded from an employee’s

taxable gross income as qualifying educational assistance under Section 127 of the

Internal Revenue Code, which currently allows for the exclusion of qualifying

educational assistance up to a maximum of $5,250.

3) Part-time employees, seasonal employees, County Board members, elected officials,

appointed officials and employees of the Forest Preserve are not eligible to participate

in the program.

4) The County will not pay reimbursement to any employee who resigns or is terminated

for any reason (except involuntary separation). Involuntary separation occurs when

the County takes action to end the employment relationship.

5) An employee participating in this program will be expected to remain a full-time

employee of the County for a period of one (1) year from the date of completion of the

course for which the County reimbursed the employee. An employee who terminates

employment prior to the expiration of said one (1) year shall repay the County

according to this prorated schedule:

· 100% of any tuition reimbursed for courses completed within the one (1) year period if the employee leaves within six (6) months of receiving the last course reimbursement.

Packet Pg. 278

· 75% of any tuition reimbursed for courses completed within the one (1) year period if the employee leaves six (6) months after but before twelve (12) months of receiving the last course reimbursement.

6) It is the employee’s responsibility to arrange a class schedule that does not conflict

with his/her regular work hours. It is expected that time needed to take classes will be

limited to the employee’s paid time off or after work hours. If a course is available only

during regular work hours, the department head or elected official has discretion to

permit an employee’s absence from work if the operational needs of the office or

department will not be negatively affected. Any work time missed for class and travel

time must be made up.

7) Eligible employees shall not be offered a choice between tuition reimbursement under

this policy and other compensation.



Vote:

21-12 Tuition Reimbursement

Packet Pg. 279

Employee Tuition

Reimbursement Policy

Effective Date:

TBD

Last Amended Date: January 2017 (res. 17-12)

Applicable Law/Statute:

26 U.S.C. 127; 26 CFR

1.127-2

Source Doc/Dept.: Authorizing I.C. Sec:

EMPLOYEE TUITION REIMBURSEMENT PROGRAM

Policy:

It is the policy of Kane County to strive to provide work-related training and educational assistance to its

employees. Kane County is committed to supporting its employees in the pursuit of career growth and

development by enhancing their knowledge and skills through continuing education to create the best possible

workforce to support the needs of the County. In furtherance of this policy, Kane County has established an

Employee Tuition Reimbursement Program (this policy) to provide educational assistance benefits to employees

pursuant to Section 127 of the Internal Revenue Code.

Definitions:

Education: Education includes any form of instruction or training that improves or develops capabilities of an

individual.

Qualifying Educational Tuition: If either of the below apply, the tuition costs for Education, as defined herein,

are qualifying educational tuition costs under this policy.

1. Education needed to meet the minimum requirements of the job, trade, or business.

a. Minimum requirement may be imposed by the law, a regulatory agency, the employer, or by the

standards of the trade, profession, or job.

2. Education that will satisfy the minimum requirements for a promotion or that qualify the employee for a

new trade or business.

Note: Costs for tuition are the only educational expenses eligible for reimbursement under this policy. Costs

associated with fees, books, tools, supplies, meals, lodging, and transportation are not eligible. Further, costs for

education that involves sports, games or hobbies are not eligible.

Non-qualifying Work-related Education: If neither of the above circumstances apply to the courses, and either of

the following apply, the education is considered work-related education (training) and is subject to any training

provisions established by the employee’s department head and will not be subject to this policy. Please see the

Employee Training Policy for further information.

1. The education is required by the employer, a regulating agency, or the law for the employee to keep their

present salary, status, or job.

2. The requirement serves a bona fide business purpose of the County and maintains or improves the skills

needed for the employee’s current position.

Commented [LJ1]: Once we have a training policy, this will be a link to that policy.

Packet Pg. 280

Tuition reimbursement may be available to Kane County employees and employees in the offices of elected

and appointed officials under the following criteria:Eligibility:

All full-time Kane County employees with at least 6 12 months of continuous service are eligible to participate in

the program.

Guidelines:

1) To qualify, an employee must complete a Tuition Reimbursement Form during the posted open enrollment periods

and prior to the start of the course. This form is available from the Human Resources Department or on the intranet (here).

2) The Tuition Reimbursement Form must contain the employee’s name, department name, telephone number, name

of school or provider, course to be taken, cost and description of the course and a short narrative of the employee’s training plan and how the course will fit into that plan.

3) The Tuition Reimbursement Form must be submitted to the department head/appointed/elected official for approval.

4) Human Resources, in cooperation with the The supervisor, department head/appointed/, or elected official, will

perform an analysis of the employee’s training plan, how the course fits into that plan and how the course will fill

a job-related need of the employee. Courses within an approved, job-related degree program will be considered County job-related for the purpose of this policy.

5) After the department head/appointed/elected official approves the Tuition Reimbursement Form, it must be

forwarded to the Department of Human Resource Management for review and submission to the Kane County Board Chairman.

6) The Kane County Board Chairman must review and approve the Tuition Reimbursement Form before the employee starts the course.

7)5) The Kane County Board Chairman will return the approved/rejected Tuition Reimbursement Form back to the Department of Human Resources Management forHuman Resources will verify (a) the eligibility of the

course and the tuition as Qualifying Educational Tuition under this policy, and (b) available funding, and will notify

the employee in writing of the approval or denial of the request..

8)6) Any approved course must be completed within 12 months after approval. If course completion does not

occur within 12 months, approval for the course will lapse, and the employee must submit a new request for

approval.

9)7) Within 312 months after completing a course, the employee will resubmit the approved Tuition

Reimbursement Form, an itemized statement from the school or provider showing the amount of tuition, proof of

course payment, documentation of a minimum final grade of “C” and a completed and signed tuition reimbursement voucher to the Department of Human Resource Management for payment. Seminars, workshops

and other short-term training shall not be subject to the minimum grade requirement of “C”; however, the

employee shall present proof of course attendance and completion. In the case of Pass/Fail courses, the employee

must “Pass” the course.

10) If the employee enters into a deferral agreement with the school or training provider, the employee must pay for the

course first before submitting the itemized receipt for reimbursement.

11)8) An employee forfeits any funds set aside to pay for the course, when the employee fails to submit a payment

voucher within 312 months of completing the course.

12) After Human Resources documents receives the employee’s satisfactory grade and proof of payment, the tuition

reimbursement form will be submitted to the department that administers the riverboat grant for payment

Commented [LJ2]: The goal is to develop our committed employees. Increased time frame helps limit the program to those employees that are staying.

Commented [LJ3]: Shortening time allows unclaimed funds to be freed up and reallocated quicker. 3 months after completion of course is sufficient.

Commented [LJ4]: By allowing the employee to defer with the school, we can keep the reimbursement model that guarantees successful completion and an acceptable grade, but still make the program more accessible to those that may not be able to front the money for the course(s)

Packet Pg. 281

processing. 9)

B.

The out-of-pocket cost of tuition for the approved course is the only expense eligible for reimbursement. No books, materials,

tools, supplies, meals, lodging, transportation costs or fees, including but not limited to athletic fees, technology fees,

activity fees, services fees, outreach delivery fees, are eligible for reimbursement. Further, costs for education that

involves sports, games or hobbies are not eligible for reimbursement.

1)10)

2)11) Requests for approvals to take a course that will be reimbursed from the Riverboat Fund will cease once the approved requests meet the total amount budgeted for tuition reimbursement for each fiscal year.

C.B. Tuition reimbursement shall be subject to the following limitations:

1) Each eligible and approved course may be reimbursed up to a maximum of fifty eighty percent (5080%) of the cost of

tuition for the course.

2a. The maximum reimbursable amount for each eligible employee under this policy shall not exceed $2,400 in any

fiscal year.

2b. Amounts paid under this policy are intended to be excluded from an employee’s taxable gross income as

qualifying educational assistance under Section 127 of the Internal Revenue Code, which currently allows for the

exclusion of qualifying educational assistance up to a maximum of $5,250. If an employee receives total

reimbursements in a calendar year that exceeds $5,250 (or the amount then in effect as specified by Section 127 of the Internal Revenue Service Code) the amount that exceeds $5,250 will be included in the taxable gross

income of the employee.

3) The lifetime maximum reimbursable to any individual employee may not exceed $9,600.

4)3) Part-time employees, seasonal employees, County Board members, elected officials, appointed officials

and employees of the Forest Preserve are not eligible to participate in the program.

5) The amount of any reimbursement shall be reduced by the amount received from any other source, i.e., grants,

fellowships, and scholarships.

6)4) The County will not pay reimbursement to any employee who resigns or is terminated for any reason

(except involuntary separation). Involuntary separation occurs when the County takes action to end the employment relationship.

7)5) An employee participating in this program will be expected to remain a full-time employee of the

County for a period of one (1) year from the date of the last reimbursement. completion of the course for which the County reimbursed the employee. An employee who terminates employment prior to the expiration of said one

(1) year shall repay the County according to this prorated schedule:

100% of any tuition reimbursed for courses completed within the one (1) year period if the employee leaves

within six (6) months of receiving the last course reimbursement.

75% of any tuition reimbursed for courses completed within the one (1) year period if the employee leaves

six (6) months after but before twelve (12) months of receiving the last course reimbursement.

6) It is the employee’s responsibility to arrange a class schedule that does not conflict with his/her regular work hours. It is expected that time needed to take classes will be limited to the employee’s paid time off or after work hours. If

Commented [LJ5]: Suggestion by Commissioner Lewis. Increased reimbursement to make courses more accessible to those that cannot afford half, but still requires some investment by the employee into their education.

Commented [LJ6]: Suggestion by Commissioner Lewis, allows for completion of an associate’s degree. Suggestion by Commissioner Iqbal to eliminate lifetime max.

Commented [LJ7]: Suggestion by Commissioner Iqbal to delete this provision and add the term “out-of-pocket” to number 10 above.

Packet Pg. 282

a course is available only during regular work hours, the department head or elected official has discretion to permit an employee’s absence from work if the operational needs of the office or department will not be negatively

affected. Any work time missed for class and travel time must be made up.

8)7) Eligible employees shall not be offered a choice between tuition reimbursement under this policy and other compensation.

Rev. 10.2013(Res.13-286); 01.2016 (Res. 16-26); 01.2017(Res. 17-12)

Packet Pg. 283


Resolution No.

Approving Adopt-A-Highway Program Applicants

Committee Flow: Transportation Committee, Executive Committee, County

Board Contact: Tom Rickert, 630.406.7305

Budget Information:

Was this item budgeted? N/A Appropriation Amount: N/A


Summary:

Pursuant to Kane County Board Ordinance No. 13-267 (Kane County Adopt-A-Highway Program), staff requests consideration of the attached resolution which approves the following Adopt-A-Highway applicant(s). RENEWAL APPLICANT:

1. St. Pat’s Scout Troop 10 - Silver Glen Road from Burr Road to Randall Road (2.00 miles - both sides)

2. Kane County Democrats - Kirk Road from Division Street to IL Route 64 (1.50 miles - west side)

3. Grace Lutheran Troop 46 - Empire Road from IL Route 47 to Burlington Road (3.00 miles - both sides)

4. Lucky Maple 4H - McGough Road from Ramm Road to IL Route 64 (2.00 miles - both sides) 5. Women of the Moose Elgin - Mclean Boulevard from Bowes Road to Spring Street (0.75 mile - both sides) 6. The Roberts Family - Harmony Road from Getty Road to Allen Road (3.00 miles - both sides)

Packet Pg. 284

STATE OF ILLINOIS

COUNTY OF KANE

RESOLUTION NO.

APPROVING ADOPT-A-HIGHWAY PROGRAM APPLICANTS

WHEREAS, the Illinois Highway Code of the Illinois Compiled Statutes (605 ILCS 120/1 et seq.) provides for the establishment of Adopt a Highway Programs by counties and various units of

government throughout the State of Illinois to support anti-litter efforts by allowing groups of private citizens to adopt a segment of highway for the purpose of litter and refuse collection; and

WHEREAS, the County has enacted and otherwise established, pursuant to Kane County

Board Ordinance No. 13-267, the Kane County Adopt-A-Highway Program in conformance with the Illinois Highway Code, which program is intended to assist the County in its efforts to remove refuse and litter from County highway right of way and otherwise beautify the County Highway System; and

WHEREAS, those groups whose names are set forth in the list below (a copy of which is on

file in the office of the Kane County Clerk) have submitted applications for participation in the Kane County Adopt-A-Highway Program; and

WHEREAS, each of the groups’ applications have been reviewed and approved by the

County Engineer of Kane County and have subsequently been approved by the Transportation Committee of the Kane County Board; and

WHEREAS, the approval of the applicants for participation in the Kane County Adopt-A-

Highway Program will facilitate the County’s litter collection efforts on County highways and will aid in the beautification of all County highways whether in urban or rural areas of the County.

NOW, THEREFORE, BE IT RESOLVED by the County Board of Kane County that the

applicant(s) listed below for participation in the Kane County Adopt-A-Highway Program are hereby approved.

Renewal Applicant Road Distance

St. Pat’s Scout Troop 10 Silver Glen Road - Burr Road to Randall Road 2.00 miles

(both sides)

Kane County Democrats Kirk Road - Division Street to IL Route 64 1.50 miles

(west side)

Grace Lutheran Troop 46 Empire Road - IL Route 47 to Burlington Road 3.00 miles

(both sides)

Lucky Maple 4H McGough Road - Ramm Road to IL Route 64 2.00 miles

(both sides)

Women of the Moose Elgin McLean Boulevard - Bowes Road to Spring Street 0.75 mile

(both sides)

The Roberts Family Harmony Road - Getty Road to Allen Road 3.00 miles

(both sides)

Packet Pg. 285

BE IT FURTHER RESOLVED that the County Engineer of Kane County is hereby directed to notify all applicant(s) of the approval of their application and to execute, on behalf of the County of Kane, the Kane County Adopt-A-Highway Program Agreement with said applicant(s).



Vote:

22-01 Adopt-A-Highway

Packet Pg. 286


Resolution No.

Approving a Technical Services Agreement Between the Regional Transportation Authority and the County of Kane for the Ride in Kane Program, Contract No. S5310-2019-08, Federal Project No. IL-2020-016



Budget Information:



Summary:

Kane County is currently in the process of transitioning to grantee of the Ride in Kane program. The transition involves the consideration and approval of various contracts and agreements related to the operations (providing rides) and mobility management (staffing and administration) of the program. The Regional Transportation Authority has presented this technical services agreement which provides $2,450,000 in Section 5310 Federal Transit Funds for rides for persons over 65 and individuals with disabilities. This amount represents the 50% federal share, with the Ride in Kane sponsors providing the required 50% local matching funds. Kane County has previously committed local matching funds and no additional funds are currently needed. The Section 5310 funds associated with this TSA were previously awarded to the current grantee, the Association for Individual Development (AID) in 2018 and have not been used. Consequently, the RTA is requesting that these funds be transferred to Kane County to allow for the continued operations of the program. These funds are in addition to the $2,660,000 in Section 5310 funds awarded to Kane County via the 2021 Call for Projects. Consideration of this contract also includes authorizing the County Engineer to execute individual Sponsor Agreements to secure commitments for the required 50% local match. These are separate agreements which are required by the RTA as part of the grant process for these funds.

Packet Pg. 287

STATE OF ILLINOIS

COUNTY OF KANE

RESOLUTION NO.

APPROVING A TECHNICAL SERVICES AGREEMENT BETWEEN THE REGIONAL TRANSPORTATION AUTHORITY AND THE COUNTY OF KANE FOR THE RIDE IN KANE

PROGRAM, CONTRACT NO. S5310-2019-08, FEDERAL PROJECT NO. IL-2020-016

WHEREAS, the Illinois Constitution of 1970, Article VII, Section 10 and 5 ILCS 220/1, et seq. authorizes the County of Kane (County) and the Regional Transportation Authority (RTA) to cooperate in the performance of their respective duties and responsibilities by contract and other agreements; and

WHEREAS, the County and RTA desire to enter into an intergovernmental agreement to

designate the County as administrator and fiscal agent of and to appropriate funds for the Ride In Kane (hereinafter the “RIK”) Program., (hereinafter the Agreement), (a copy of which Agreemen t is on file in the office of the Kane County Clerk); and

WHEREAS, the RIK Program provides transportation services for eligible Kane County

persons over 65 and individuals with disabilities and is also intended as a cooperative undertaking between the County and eighteen (18) other public and not for profit entities within the boundaries of Kane County (hereinafter the RIK Sponsors) who designate eligible riders within their respective jurisdictions and pay to defray the cost of the RIK Program services provided to their respective ridership; and

WHEREAS, the approval of the RIK Program will require the County to yearly enter into

separate agreements with each of the RIK Sponsors to provide for the reimbursement for each Sponsors’ share of the RIK Program costs; and

WHEREAS, the RTA Agreement provides $2,450,000.00 in Section 5310 Federal Transit

Funds for part of the cost of up to but not to exceed fifty percent (50%) of the RIK Program ride services to people over 65 and individuals with disabilities; and

WHEREAS, the RTA is requesting the Section 5310 Transit Funds be transferred to the

County to allow for continued operations of the RIK Program pursuant to the Agreement.

NOW, THEREFORE, BE IT RESOLVED by the Kane County Board that the Agreement with

RTA for the Ride in Kane Program is hereby approved and that the County Board Chairman is hereby authorized to execute said Agreement with RTA.

Packet Pg. 288

BE IT FURTHER RESOLVED by the Kane County Board that the Kane County Engineer is hereby authorized under his/her signature to enter into the yearly agreements with each RIK Sponsor; which agreements shall provide for the reimbursement by each RIK Sponsor of fifty percent (50%) of the local share of the RIK Sponsors RIK Program Section 5310 Transit Fund costs.



Vote:

22-01 RTARIK5310

Packet Pg. 289

Final 6/22/2020

TECHNICAL SERVICES AGREEMENT

between

THE REGIONAL TRANSPORTATION AUTHORITY

and

COUNTY OF KANE

Contract No.: S5310-2019-08

CFDA No.: 20.513

Federal Project No.: IL-2020-016 Award Date: 04/20/2020

DUNS No. 945248565

Packet Pg. 290

S5310-2019-08

TABLE OF CONTENTS

ARTICLE I: DEFINITIONS ................................................................................................................................................. 1 ARTICLE II: THE RECIPIENT’S AUTHORITY AND COMMITMENT ...................................................................................... 2 ARTICLE III: TERM OF AGREEMENT ................................................................................................................................ 2 ARTICLE IV: TECHNICAL SERVICES AGREEMENT ............................................................................................................. 2 ARTICLE V: METHOD OF FUNDING ................................................................................................................................. 4 ARTICLE VI: ACCOMPLISHMENT OF THE PROJECT(S) ...................................................................................................... 4 ARTICLE VII: PASS-THROUGH FUNDING PROVISIONS ..................................................................................................... 6 ARTICLE VIII: PROJECT ADMINISTRATION AND MANAGEMENT ..................................................................................... 7 ARTICLE IX: REQUISITION, PAYMENT PROCEDURES, AND RECORD KEEPING................................................................. 7 ARTICLE X: RIGHT OF THE RTA TO TERMINATE ............................................................................................................ 10 ARTICLE XI: SETTLEMENT AND CLOSE-OUT .................................................................................................................. 11 ARTICLE XII: PROCUREMENT ........................................................................................................................................ 11 ARTICLE XIII: THIRD PARTY CONTRACT DISPUTES OR BREACHES ................................................................................. 13 ARTICLE XIV: ASSIGNMENT OF CONTRACT -- SUBCONTRACTORS ................................................................................ 13 ARTICLE XV: INDEMNIFICATION ................................................................................................................................... 13 ARTICLE XVI: INDEPENDENCE OF RECIPIENT ................................................................................................................ 14 ARTICLE XVII: NON-COLLUSION .................................................................................................................................... 14 ARTICLE XVIII: CONFLICTS OF INTEREST ....................................................................................................................... 14 ARTICLE XIX: RECIPIENT’S RESPONSIBILITY FOR COMPLIANCE ..................................................................................... 15 ARTICLE XX: LABOR LAW COMPLIANCE ........................................................................................................................ 15 ARTICLE XXI: CIVIL RIGHTS ............................................................................................................................................ 16 ARTICLE XXII: ENVIRONMENTAL COMPLIANCE ............................................................................................................ 21 ARTICLE XXIII: DRUG FREE WORKPLACE ....................................................................................................................... 21 ARTICLE XXIV: RESTRICTIONS ON LOBBYING ................................................................................................................ 22 ARTICLE XXV: PUBLIC RELATION ................................................................................................................................... 22

ARTICLE XXVI: SEVERABILITY ........................................................................................................................................ 22 ARTICLE XXVII: ASSIGNMENT AND AGREEMENT .......................................................................................................... 23 ARTICLE XXVIII: AMENDMENT ...................................................................................................................................... 23 ARTICLE XXIX: TITLES ............................................................................................................................................... 23 ARTICLE XXX: OWNERSHIP OF DOCUMENTS/TITLE TO WORK ..................................................................................... 23 ARTICLE XXXI: ETHICS ............................................................................................................................................... 23 ARTICLE XXXII: PRIVACY ............................................................................................................................................... 23 ARTICLE XXXIII: DOCUMENTS FORMING THIS AGREEMENT ......................................................................................... 23 ARTICLE XXXIV: SPECIAL CONDITIONS .......................................................................................................................... 26 ARTICLE XXXV: MISCELLANEOUS .................................................................................................................................. 26

Packet Pg. 291

1

This Technical Services Agreement (this “Agreement”) is made by and between the Regional Transportation Authority, a municipal corporation and body politic formed under the laws of Illinois (the "RTA"), and the County of Kane, a municipal corporation and a body politic formed under the laws of the State of Illinois hereinafter referred to as “Recipient” (also referred to as “Grantee," which term shall include its successors, assigns and subrecipients/subgrantees)1 as of the later date of execution by the RTA or the Grantee.

WHEREAS, the Recipient wishes to undertake one or more public transportation projects; and

WHEREAS, the Recipient has made application to the RTA for financial assistance or financial and technical assistance for the project(s) in accordance with the procedures established by the RTA; and

WHEREAS, the Recipient’s application has been reviewed and approved by the RTA;

NOW, THEREFORE, in consideration of the mutual covenants hereinafter set forth, this Agreement is made to provide financial assistance or financial and technical assistance to the Recipient in the form of a technical services agreement, to set forth the terms and conditions upon which the Agreement will be made, and to set forth the Agreement of the parties as to the manner in which the project(s) will be undertaken, completed, and used.

ARTICLE I: DEFINITIONS

1.1 "Allowable Cost" means an expense with respect to the Project(s) which meets the requirements of Article IX of this Agreement.

1.2 "Application" means the application submitted by the Recipient with respect to the Project(s). In the event of a conflict between the Application and the attached Exhibit A, Scope of Services, Exhibit A shall govern.

1.3 "Local Share" means that portion of the Net Project Cost of each Project provided by the Recipient pursuant to this Agreement.

1.4 "Net Project Cost" means the sum of the allowable costs incurred in performing the work on each Project, including work done by the Recipient.

1.5 "Project(s)" means the scope of specific activities for which the funds provided in this Agreement are to be expended, as set forth in Exhibit A, Scope of Services and in the plans, specifications, and schedules set forth in the Application.

1 This document incorporates Federal Certifications and Assurances copied incorporated verbatim from federal circulars. The Certifications and Assurances also use the terms “Recipient,” “Subrecipient” and “Applicant” interchangeably. The terms of this agreement and all federal requirements apply to any recipient of federal funds regardless of its status as Recipient, Subrecipient, Grantee, Subgrantee or Applicant, vis-à-vis the federal granting agency.

Packet Pg. 292

2

1.6 "Project Budget" means the anticipated Net Project Cost for each Project as shown in Exhibit B, Project Budget, as may be amended from time to time by the Recipient with RTA approval and in a format approved by the RTA.

1.7 "Project Facilities" means any facilities, equipment, or real property

purchased, acquired, constructed, improved, renovated, or refurbished as part of each Project through the application of the RTA's Agreement funds.

1.8 “Service Life” shall mean, with respect to each Project Facility, the

period set forth with respect to such Project Facility on Exhibit B, if applicable.

ARTICLE II: THE RECIPIENT’S AUTHORITY AND COMMITMENT 2.1 The Recipient represents and warrants that it has the legal authority and the financial, technical, and managerial capacity to apply for, plan, manage, and complete the Project(s) for which funding is being provided under this Agreement. 2.2 The Recipient acknowledges that if it makes a false, fictitious, or fraudulent claim, statement, submission, or certification to the United States or State of Illinois in connection with this Project, they reserve the right to impose on the Recipient the penalties of 18 USC 1001, 49 USC 5307, 31 USC 3801, and 49 CFR 31, as they may deem appropriate. Recipient agrees to include this clause in all state and federally-assisted contracts and subcontracts. 2.3 The Recipient agrees to undertake and complete the scope of each Project as set out in Exhibit A, Scope of Services, and in accordance with the Project Budget as set out in Exhibit B, Project Budget, and to provide for the use of Project Facilities as described in Exhibit A and the Application, in accordance with this Agreement and all applicable laws.

ARTICLE III: TERM OF AGREEMENT

3.1 The term of this Agreement shall be from 7/01/2021 thru 6/30/2025.

ARTICLE IV: TECHNICAL SERVICES AGREEMENT 4.1 RTA Budget Commitment. (a) Subject to the annual appropriation of funds by the RTA, the RTA hereby commits to provide the funds pursuant to paragraph 4.1(b) and as listed in Exhibit B, Project Budget, for the Project(s) in Exhibit A, Scope of Services. (b) The RTA will provide 50.00% of the aggregate actual cost of all Projects as set forth on Exhibit B or $2,497,996.00 whichever is less. The RTA shall have no liability regarding any Project funded by this Agreement in excess of the funds actually appropriated for the Project.

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4.2 Recipient Commitment to Complete Project(s) or Seek Amendment. Subject to the RTA's appropriation of the funds described in paragraph 4.1, the Recipient agrees to complete the scope of all the Projects, and to provide funding up to the amount of Local Share of the Project Budget, or to seek an amendment in accordance with this subparagraph. The Recipient shall request an amendment to the Agreement in order to (1) add or delete a Project, (2) change the scope of any Project, or (3) change the Project Budget(s). 4.3 Conformity with Project Budget. (a) The Recipient shall carry out each Project and shall incur obligations against and disburse Project funds only in conformance with the latest approved Project Budget attached hereto as Exhibit B. A proposed revised Project Budget shall accompany any request to amend this Agreement. (b) The Recipient must seek the prior approval of the RTA to revise the Project Budget(s) to increase or decrease the estimated Net Project Cost. In making this request the Recipient must demonstrate the following:

(1) A justifiable rationale for the revision in a particular Project;

(2) The revised budget for the Project covers the full scope of the Project funded under this Agreement, i.e., the revised budget of the Project is intended to be adequate for the completion of the Project;

(3) There are sufficient unspent funds in the Agreement contingency, should one be part of this Agreement, or any other Project which may be reallocated to the revised budget of the revised Project;

(4) The funds remaining in the Agreement contingency, should one be part of

this Agreement, or any other Project after reallocation of funds to the revised budget for the Project are sufficient to provide for the uncompleted portions of all other Projects within the Agreement; and

(5) The proposed revision will not cause the aggregate amount of all Project

Budgets as set forth on Exhibit B to be exceeded.

4.4 Conformity with Program Management Plan (PMP).

(a) The Recipient shall adhere to the Program Management Plan (PMP) as included in Exhibit E.

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ARTICLE V: METHOD OF FUNDING

5.1 The RTA may finance its obligations, or any portion thereof, under this Agreement in any way it deems, in its sole discretion, to be most advantageous and fiscally sound, provided that nothing in this Agreement shall cause the Recipient to be obligated to any creditor of the RTA with respect to such financing. 5.2 All or part of any share of the Net Project Cost to be contributed by the Recipient may, with the express written prior approval of the RTA, be provided by the Recipient in the form of contributions of professional, technical or other services. The amount or value of any share of the Net Project Cost contributed by the Recipient is shown in Exhibit B. 5.3 In the event that the Recipient receives funds from any source with respect to the completion of the Project which do not appear in Exhibit B and were not included in determining the RTA share under paragraph 4.1(b) of this Agreement, the amount of this Agreement shall be recalculated and a proportionate amount of the RTA funding shall be refunded to the RTA. Such funds include, but are not limited to, the proceeds of any sale and leaseback arrangement with respect to Project Facilities, if any. This Section 5.3 shall survive the termination or expiration of this Agreement, whether by lapse of time or otherwise for a period equal to the Service Life of the relevant Project Facility.

ARTICLE VI: ACCOMPLISHMENT OF THE PROJECT(S)

6.1 General. (a) The Recipient shall commence, carry on, and complete the Project(s) with all practicable dispatch, in a sound, economical, and efficient manner, and in accordance with the provisions of this Agreement. The Recipient shall cause all contractors involved with the Project(s) to deliver and complete the Project(s) in accordance with the Project schedules submitted at time of application or as revised pursuant to paragraph 6.2(b) of this Agreement. (b) In performance of its obligations pursuant to this Agreement, the Recipient and the contractors shall comply with all applicable provisions of federal, state, and local law. Specifically, Recipient and contractors agree to administer the Project in accordance with the applicable federal and state provisions, including all applicable Federal Transit Administration (hereinafter referred to as “FTA”) Circulars and 49 CFR 18 and 19. All limits and standards set forth in this Agreement to be observed in the performance of a Project are minimum requirements and shall not affect the application of more restrictive standards to the performance of the Project. (c) At or prior to the time that funds are needed to meet Project costs, the Recipient shall initiate and prosecute to completion all proceedings necessary to enable the Recipient to provide any share of the Net Project Cost which is to be provided by the Recipient.

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(d) Nothing in this Agreement is intended to subject the RTA to any obligations or liabilities to contractors of the Recipient, or their respective subcontractors, or any other person not a party to this Agreement in connection with the performance of any Project pursuant to the provisions of this Agreement, notwithstanding its concurrence in or approval of the award of any contract or subcontract or the solicitation thereof. 6.2 Project Completion. (a) Any failure, except a force majeure event or any other reason beyond the control of the Recipient, to make progress which significantly endangers substantial performance of a Project within a reasonable time shall be deemed to be a violation of the terms of this Agreement. (b) The Recipient shall complete each Project in accordance with the Project completion date provided at time of application or as revised. In the event the Recipient determines that, for whatever reason, a Project cannot be completed in accordance with the Project schedule, the Recipient shall immediately notify the RTA in writing, within thirty days, of: 1) the nature and extent of the delay; 2) the reason or reasons for the delay; 3) the adjustments to the Project schedule which can be made to ensure that the Project is completed on schedule; and 4) if the Project cannot be completed on schedule, the implications on the Project Budget due to the delay. 6.3 Use of Facilities. (a) The Project Facilities, if any, shall be used by the Recipient as described in the Recipient's final, approved Application. (b) If during the Service Life, the Project Facilities are not used in this manner, are sold or are otherwise disposed of, or are withdrawn from mass transportation service at the initiative of the Recipient (if applicable), the Recipient shall immediately notify the RTA and shall, at the RTA's discretion, remit to the RTA a proportional amount of the fair market value, if any, of the Project Facilities (determined on the basis of the ratio of the amounts paid by the RTA pursuant to this Agreement to the total cost of such Project Facilities). The fair market value shall be deemed to be the value of the Project Facilities as determined by a competent appraisal conducted as soon as feasible after such withdrawal or misuse occurs; or the actual proceeds from the public sale of such property, whichever is approved by the RTA; or, for rolling stock, the unamortized value of the remaining service life per unit based on straight-line depreciation of the original purchase price. Any appraiser employed for such purposes shall be subject to disapproval by the RTA on the grounds that it is not an independent appraiser.

(c) The Recipient shall maintain, in an amount and form satisfactory to the RTA, insurance or self-insurance with such reserves as will be adequate to protect Project Facilities throughout the period of their useful lives. The cost of such insurance shall not be an Allowable Cost for the Projects.

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(d) This Section 6.3 shall survive the termination or expiration of this Agreement,

whether by lapse of time or otherwise, for a period equal to the Service Life of the relevant Project Facility.

ARTICLE VII: PASS-THROUGH FUNDING PROVISIONS

7.1 If this Agreement provides any portion of funding for which the RTA receives funds from a governmental entity subject to agreement, grant, or contract, the provisions contained therein and as detailed in the attached Exhibit C, Federal Certifications and Assurances, are hereby incorporated by reference and made a part of this Agreement. If the recipient will receive federal funds pursuant to this grant, the Master Agreement between RTA and the U.S. Department of Transportation, as may be amended from time to time, is also incorporated and made part of this Agreement. The Master Agreement may be found here or an updated copy requested from RTA. The provisions and requirements of the Master Agreement shall flow down to all sub-recipients and third parties at every tier and must be expressly incorporated into all procurement and non-procurement awards involving funds provided pursuant to this Agreement. The Recipient shall carry out each Project in such a manner as to comply with the requirements contained herein and the requirements of any governmental agreement, rules and regulations applicable to this Project. If it is not possible to carry out the project in such a manner, the Recipient shall, as soon as practicable, notify the RTA in writing of the specific provisions of each agreement, rule or regulation in conflict and reasons for conflict in order that appropriate arrangements may be made between the parties and any governmental entity to permit the Project to proceed.

7.2 The Recipient acknowledges that federal and state governmental requirements may change and the changed requirements will apply to the Project as required. The Recipient acknowledges that a reference to a specific law in this Agreement is considered to be a reference to 1) such law as it may be amended, modified or supplemented from time to time, 2) all regulations and rules pertaining to or promulgated pursuant to such law, (c) the successor to the law resulting from recodification or similar reorganizing of laws and (d) all future laws pertaining to the same or similar subject matter. The Recipient agrees to include in all subcontracts or lower tier agreements specific notice to this effect. 7.3 The Illinois Department of Transportation (IDOT) and the FTA shall not be subject to any obligations or liabilities by or to the Recipient or contractors of the Recipient or their subcontractors or any other person not party to this Agreement in connection with the performance of this Project, without their respective express written consent, notwithstanding the concurrence in or approval of the solicitation or the award by IDOT or FTA to such contractors or subcontractor(s). The Recipient agrees to include this clause in each subcontract or lower tier agreement financed in whole or in part with federal and/or state assistance.

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ARTICLE VIII: PROJECT ADMINISTRATION AND MANAGEMENT

8.1 Project Management. (a) The Recipient is responsible for administration and management of each Project. (b) The RTA or its designee may conduct periodic on-site inspections of each Project to evaluate the effectiveness of the Recipient’s arrangement for supervision and inspection and to evaluate the work done on the Project and adherence to this Agreement. The Recipient shall provide reasonable access to its premises, or cause its contractors to provide reasonable access to their premises, for the RTA and its designee to permit these inspections. Inspection of, or concurrence by, RTA in Project work does not relieve the Recipient of its responsibilities and liabilities. Any inspection must be coordinated with the Recipient’s personnel for purposes of providing reasonable notice and adhering to safety regulations. (c) Any Project management plan or amendment to such plan provided pursuant to any governmental agreement, grant or contract for any Project in this Agreement shall require written approval of the RTA. (d) The Recipient shall report to the RTA regarding all Projects in this Agreement and shall provide to the RTA such information that the RTA deems necessary to meet its reporting responsibilities or other requests from the FTA or any other governmental agency. When requesting reimbursement from the RTA, the Recipient will be required to submit detailed requisitions and progress reports supported by properly executed payrolls, time records, invoices, contracts, or vouchers, evidencing in detail the nature and propriety of the charges.

ARTICLE IX: REQUISITION, PAYMENT PROCEDURES, AND RECORD KEEPING 9.1 The Recipient shall establish and maintain as a separate set of accounts, or as an integral part of its current accounting scheme, accounts for each Project in conformity with requirements established by the RTA.

9.2 Allowable Costs. Funds provided by the RTA under this Agreement shall only be used to pay or reimburse the Recipient for allowable costs for a Project which meets all of the requirements set forth below: (a) They shall be made in conformance with the final, approved Exhibit A, Scope of Services, and Exhibit B, Project Budget(s), and all other provisions of this Agreement; (b) They shall be necessary in order to accomplish the Project; (c) They shall be reasonable in amount for the goods or services purchased;

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(d) They shall be actual net costs to the Recipient (i.e., the price paid minus any refunds, rebates, or other items of value received by the Recipient which have the effect of reducing the cost actually incurred); (e) They shall be incurred (and for work performed) after the effective date of this Agreement, unless specific authorization from the RTA to the contrary is received (in no event will the RTA provide funding to reimburse expenses incurred after expiration of this Agreement); (f) To the extent applicable, they shall be in conformance with the standards for allowability of costs established by IDOT. State of Illinois rates apply for travel, lodging, meals and other expenses, as applicable. (g) They shall be satisfactorily documented; (h) They shall be treated uniformly and consistently under accounting principles and procedures approved or prescribed by generally accepted accounting principles, and those approved or prescribed by the Recipient for its contractors; and (i) They shall be supported by properly executed payrolls, time records, invoices, contracts, or vouchers evidencing in detail the nature and propriety of the charges. (In the event that it may be impractical to determine exact costs of indirect or service functions, allowable costs will include such allowances for these costs as may be approved by the RTA.) 9.3 Payment Procedures. (a) The Recipient may make requests for payment of allowable costs under the Agreement, and the RTA shall honor such requests in the manner set forth in this paragraph. In order to receive payments, the Recipient shall:

(1) Execute and submit to the RTA a requisition for approval by the RTA;

(2) Have submitted all financial, progress, and other reports required by the RTA; and

(3) Have received approval by the RTA for any budget revisions required to cover all costs to be incurred by the end of the requisition period.

(b) Upon receipt of the completed requisition form and the accompanying information in satisfactory form, the RTA shall process the requisition. If the Recipient is complying with its obligations pursuant to the Agreement, the RTA shall reimburse apparent allowable costs incurred by the Recipient up to the maximum amount of the RTA Agreement funds. Such reimbursement shall be made within sixty (60) days after receipt of each request for same from the recipient. However, reimbursement of any cost pursuant to this paragraph shall not constitute a final determination by the RTA of the allowability of such cost and shall not constitute a waiver of any

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violation of the terms of this Agreement committed by the Recipient. The RTA will make a final determination as to the allowability of costs only after a final audit of the Agreement has been conducted pursuant to Article XI of the Agreement. (c) In the event that the RTA determines that the payment should not be made, it shall notify the Recipient within twenty (20) days after receipt of the completed requisition form, stating the reasons for such determination. (d) The Recipient agrees that upon completion of all of the Projects in this Agreement and after payment or provision for payment or reimbursement of all allowable costs, the Recipient shall refund to the RTA any unexpended balance of funds received by the Recipient under this Agreement. 9.4 Records Retention. (a) All books, records, and supporting documents to verify the amounts, recipients, and uses of all disbursements of funds passing in conjunction with this Agreement, this Agreement and all books, records, and supporting documents related to the Agreement must be retained by Recipient for a minimum of five (5) years after completion of this Agreement or such longer time as may be required by any governmental agency from which funds are obtained and shall be available for review and audit by authorized representatives of the RTA, the Illinois Auditor General, IDOT, the FTA, or another governmental agency with the following qualifications:

(1) All records must be retained until final audit is completed and all audit findings are resolved, unless otherwise agreed to by the RTA;

(2) If any litigation or claim is initiated before completion of the final audit,

records must be retained until all litigation or claims involving these records have been resolved; and

(3) Records of any property acquired with RTA funds must be retained for three

years after final disposition of the property. (b) Should the Recipient administer any system of records on behalf of the Federal or State Government, the Privacy Act of 1974, 5 USC 552 and 49 CFR 10, Subpart C, imposes information restrictions on the party managing the system of records.

9.5 Audits.

(a) Pursuant to all applicable Office of Management and Budget Circulars, the Recipient shall permit, and shall require its contractors to permit, at any time, the RTA, or IDOT or other state or federal agency, authorized to perform such audit and inspection, to inspect all work, materials, payrolls, and other data and records, including computer or electronically generated records, documents, and data, with

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regard to each Project, and to audit the books, records, and accounts of the Recipient and its contractors with regard to each Project. The RTA also may require the Recipient to furnish at any time prior to w of the Agreement, audit reports with respect to the Agreement prepared according to generally accepted accounting principles. The Recipient agrees to promptly comply with recommendations contained in any RTA, IDOT or other state or federal agency final audit report.

(b) In accordance with 49 USC 5325(g), the Grantee agrees to require

each third party whose contract award is not based on competitive bidding procedures as defined by the Secretary of U.S. DOT, to permit the Secretary, Comptroller General of the U.S., IDOT, the RTA, or their duly authorized representatives, to inspect all work, materials, payrolls, and other data and records involving that third party contract and audit the books, records, and accounts involved.

ARTICLE X: RIGHT OF THE RTA TO TERMINATE

10.1 Upon written notice to the Recipient, the RTA may suspend or terminate all or part of the financial and/or technical assistance provided herein if the Recipient is or has been in violation of the terms of the Agreement (including its obligation to provide for a portion of the funding for each Project as reflected on Exhibit B, if applicable), or if funding provided to the RTA pursuant to paragraph 7.1 is terminated. Termination of any Project in this Agreement will not invalidate obligations of the RTA to reimburse the Recipient for Project costs incurred up to and including the date of termination, nor invalidate obligations of the Recipient, properly incurred by the Recipient, to the extent they are noncancellable. The acceptance of a remittance by the RTA of any or all Project funds previously received by the Recipient or the closing out of the RTA financial participation in the Project shall not constitute a waiver of any claim which the RTA may otherwise have arising out of this Agreement. For example, the foregoing remedies shall become available to the RTA if one of the following occurs:

(a) There is any misrepresentation of a material nature in the Application, or amendment thereof, or in respect to this Agreement or any document or data furnished pursuant hereto, or any other submission of the Recipient required by the RTA in connection with this Agreement;

(b) There is pending litigation which, in the opinion of the RTA, may jeopardize

funding provided to the RTA pursuant to paragraph 7.1 of this Agreement;

(c) There has been in connection with the funding provided to the RTA pursuant to paragraph 7.1, any violation of the state or federal regulations, ordinances or statutes applicable to the Recipient, its officers or employees which, in the opinion of the RTA, affects this Agreement;

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(d) Any funds provided by the RTA pursuant to this Agreement are used for an ineligible purpose;

(e) The Recipient is unable to substantiate the proper use of funding provided to

the RTA pursuant to paragraph 7.1;

(f) The Recipient is in default under any of the provisions of this Agreement;

(g) There is failure to make progress which significantly endangers substantial completion of performance of the Project within a reasonable time, which failure shall be deemed to be a violation of the terms of this Agreement;

(h) The Recipient has failed to maintain the Project Facilities as required by this

Agreement;

(i) The RTA determines that the purposes of the applicable governing laws would not be adequately served by continuation of state or federal assistance to the Project;

(j) The State Legislature or any federal agency fails to make sufficient

appropriations for funding pertinent to that provided to the RTA pursuant to paragraph 7.1.

ARTICLE XI: SETTLEMENT AND CLOSE-OUT

11.1 Upon receipt of notice of successful completion of the Agreement or upon termination by the RTA, the RTA at its discretion will perform or contract for the performance of a final audit to determine the final allowability of costs incurred, and shall make final settlement of the RTA’s obligations described in this Agreement. If the RTA has made payments to the Recipient in excess of the total amount of such RTA obligations, the Recipient shall promptly remit such excess to the RTA. The Agreement close-out occurs when the RTA notifies the Recipient and forwards the final Agreement payment or when an appropriate refund of RTA Agreement funds has been received from the Recipient and acknowledged by the RTA. Agreement close-out shall be subject to any continuing obligations imposed on the Recipient by this Agreement or contained in the final notification or acknowledgment from the RTA.

ARTICLE XII: PROCUREMENT 12.1 Procurement Procedures. (a) The Recipient shall follow applicable federal, state, and local law and procedures when awarding and administering contracts for goods and services funded by this Agreement. Any such contract or subcontract for goods, property and services exceeding $40,000 shall contain all

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the clauses pursuant to FTA Circular 4220.1F and 49 CFR 18.36, 19.40-19.48, and the parties shall comply with the requirements therein. (b) Apart from inconsistent requirements imposed by federal and state law, the Recipient (and its subcontractors) agrees that no federal or state funds shall be used to support procurement utilizing exclusionary or discriminatory specifications and it will comply with 49 USC 5323(h)(2).

(c) The Recipient agrees to comply with U.S. Maritime Administration Regulations, “Cargo Preference – U.S. Flag Vessels,” 46 CFR 381, to the extent those regulations apply to the Project, and insert the substance of the provisions of this clause in all subcontracts issued pursuant to this Agreement.

(d) To the extent applicable, the Recipient agrees to comply with the requirements of 49

USC 5323 and FTA regulations, “Bus Testing”, 49 CFR 665, and agrees to provide the RTA with applicable certifications and obtain applicable certifications from contractors, subcontractors and manufacturers.

(e) Each third party contract (valued at more than $100,000 for Construction and

Acquisition of Goods or Rolling Stock) utilizing FTA assistance must conform with 49 USC 5323(j), and FTA regulations, “Buy America Requirements,” 49 CFR 661.

(f) The Recipient agrees to refrain from using state or local geographic preferences,

except those expressly mandated or encouraged by federal statute, and as permitted by IDOT and FTA. (g) The Recipient agrees to comply with the requirements of Executive Order No. 12549 and 12689 “Debarment and Suspension,” and U.S. Department of Transportation (DOT) regulations on Debarment, 49 CFR 29, and agrees to obtain applicable certifications from contractors and subcontractors and otherwise comply with federal and state regulations. (h) The Recipient certifies that it has not been convicted of bribery or attempting to bribe an officer or employee of the State of Illinois or local government, nor has the Recipient made an admission of guilt of such conduct which is a matter of record, nor has an official, agent or employee of the Recipient committed bribery or attempted bribery on behalf of the Recipient and pursuant to the direction or authorization of a responsible official of the Recipient. The Recipient further certifies that it has not been barred from contracting with a unit of the State or local government as a result of a violation of Title III, Part E, Article 33 of the Criminal Code. These certifications shall apply equally to any subrecipient or contractor, at all levels, without regard to the value of the subagreement or contract. (i) Electronic and Information Technology – to the extent applicable, Recipient agrees to include in its specification requirements that all reports or information will be prepared and provided using electronic or information technology capable of assuring that, when provided to the

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RTA, it will meet with the applicable accessibility standards of Section 508 of the Rehabilitation Act of 1973, as amended, 29 USC 794(d) and U.S. Architecture and Transportation Barriers Compliance Board (ATBCB) regulations “Electronic and Information Technology Accessibility Standards,” 36 CFR 1194. 12.2 Procurement Review. The Recipient must obtain pre-award approval from the RTA for: (1) any proposed third party contract; (2) any change order with a third party contractor; and (3) any use of force account for activities funded by this Agreement.

ARTICLE XIII: THIRD PARTY CONTRACT DISPUTES OR BREACHES 13.1 The RTA, and any state or federal granting agency, has a vested interest in the settlement of disputes, defaults, or breaches involving any RTA-assisted third party or subrecipient contracts for any Project. The RTA retains a right to a proportional share, based on the percentage of the RTA share committed to any Project, of any proceeds derived from any third party recovery, after taking into account any costs incurred by the Recipient in securing the recovery. Therefore, the Recipient shall avail itself of all legal rights available under any third party contract.

The Recipient shall promptly notify the RTA of any litigation, default, breach or major dispute pertaining to any third party or subrecipient contract. This responsibility shall flow down to all sub-recipients at every tier and must be expressly contained in all procurement and non-procurement awards and agreements involving funds provided pursuant to this grant.

The RTA reserves the right to concur in any compromise or settlement of the Recipient’s

claim(s) involving any third party or subrecipient contract. If the third party or subrecipient contract contains a liquidated damages provision, such proportional share of any liquidated damages recovered shall be credited to the Project account unless the RTA permits otherwise.

ARTICLE XIV: ASSIGNMENT OF CONTRACT - SUBCONTRACTORS 14.1 The Recipient agrees that no contract for services of any kind in connection with a Project funded by this Agreement shall be assigned, transferred, conveyed, sublet, or otherwise disposed of without the prior written consent of the RTA. All subcontracts shall contain all applicable contract clauses pursuant to federal and state requirements, and as required by this Agreement.

ARTICLE XV: INDEMNIFICATION 15.1 The Recipient agrees to save or hold harmless and indemnify the RTA from and against any and all losses, expenses, damages (including loss of use), demands, and claims, and shall defend any suit or action, whether at law or in equity, brought against it based on any alleged injury (including death) or damage relating to or arising out of any act or omission of the Recipient, its officers, employees and agents with respect to any Project funded by this Agreement and shall pay

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all damages, judgments, costs, and expenses, including attorney's fees, in connection with any demands and claims resulting therefrom; provided, however, that the Recipient shall not be required to save harmless, indemnify, or defend the RTA due to the negligence or misconduct of the RTA or its successors, assigns, agents, or employees or their respective failure to reasonably perform under this Agreement. This Section 15.1 shall survive the termination or expiration of this Agreement, whether by lapse of time or otherwise.

ARTICLE XVI: INDEPENDENCE OF RECIPIENT

16.1 In no event shall the Recipient or any of its employees, agents, contractors or subcontractors be considered agents or employees of the RTA, IDOT, FTA, U.S. Department of Transportation, or State of Illinois. Furthermore, the Recipient agrees that none of its employees, agents, contractors, or subcontractors will hold themselves out as, or claim to be, agents, officers, or employees of the RTA, U.S. Government, or State of Illinois and will not by reason of any relationship with the Agreement make any claim, demand, or application to or for any right or privilege applicable to an agent, officer, or employees of the RTA, U.S. Government, or State of Illinois, including but not limited to, rights and privileges concerning workmen’s compensation and occupational diseases coverage, unemployment compensation benefits, Social Security coverage, or retirement membership or credit.

ARTICLE XVII: NON-COLLUSION 17.1 The Recipient warrants that it has not paid and agrees not to pay any bonus, commission, fee, or gratuity for the purpose of obtaining any approval of its Application for any Project pursuant to this Agreement. No Recipient officer or employee, or member of any unit of local government which contributes funds to any Project funded by this Agreement shall be admitted to any share or part of this Agreement or to any benefit arising therefrom other than nominal.

ARTICLE XVIII: CONFLICTS OF INTEREST

18.1 The Recipient hereby certifies that: (1) no employee, officer, board member, or agent of the Recipient is a director, officer or employee of the RTA or (2) if such relationship exists, it is not prohibited by any applicable conflict of interest laws. The Recipient further certifies that, to its knowledge, no employee, officer, board member, or agent of the Recipient has participated in the selection, award, or administration of a contract supported by federal or state funds where such participation constitutes a conflict of interest, whether real or apparent. This conflict of interest requirement applies to all former employees, officers, board members, and agents for one year from the date the employee, officer, board member, or agent ended its employment with the Recipient.

The Recipient acknowledges that no director, officer or employee of the RTA may represent

the Recipient with respect to any application or agreement in regard to which such director, officer or employee may be called upon to vote. The Recipient hereby certifies that it has not been, and

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shall not be, represented by any director, officer or employee of the RTA with respect to its application for financial or financial and technical assistance or this Agreement.

The Recipient agrees that its 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 sub-agreements. The RTA 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 Recipient relating to such contract, subcontract, or arrangement. 18.2 The Recipient agrees that it will prevent any real and 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 recipient or impair the objectivity in performing the contract work.

ARTICLE XIX: RECIPIENT’S RESPONSIBILITY FOR COMPLIANCE 19.1 Irrespective of the participation of other parties or third party contractors, the Recipient remains primarily responsible for compliance with this Agreement and all applicable federal, state, and local laws and regulations. This responsibility shall flow down to all sub-recipients and third parties at every tier and must be expressly contained in all procurement and non-procurement awards and agreements involving the funds provided pursuant to this Agreement. If the Recipient will receive federal funds or funds from the Illinois Department of Transportation under this Agreement, the Recipient must complete Exhibit C, Certifications and Assurances, and comply with applicable terms and conditions therein. In addition, if the Recipient will receive federal funds under this Agreement, the Recipient must complete Exhibit D, Annual Certification to Comply with Code of Federal Regulations (CFR) – Title 2, Part 200 Audit Requirements, and comply with the terms and conditions therein as well as those of the Master Agreement between RTA and the U.S. Department of Transportation, as may be amended from time to time. In particular, provisions of the Master Agreement requiring Flow-Down to third parties such as subrecipients and contractors at all tiers must be expressly contained in all procurement and non-procurement awards and agreements involving funds provided pursuant to this grant The Master Agreement may be found here or an updated copy requested from RTA.

ARTICLE XX: LABOR LAW COMPLIANCE 20.1 The Recipient agrees to comply with the labor law compliance provisions of any FTA grant contract pertaining to any Project funded by this Agreement and all applicable federal and state labor laws and regulations including, but not limited to, such laws and regulations relating to minimum wages to be paid to employees, limitations upon the employment of minors, minimum

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fair wage standards for minors, payment of wages due employees, and health and safety of employees. (a) Contract Work Hours and Safety Standards. The requirements of the clauses contained in 29 CFR 5.5(b) are applicable to any contract subject to the overtime provisions of the Contract Work Hours and Safety Standards Act and not to any of the other statutes cited in 29 CFR 5.1. The Recipient and its subcontractors shall maintain payrolls and basic payroll records during the course of the work and shall preserve them for a period of three years from the completion of the contracts for all laborers and mechanics, including guards and watchmen, working on the contract. Such records shall contain the name and address of each such employee, social security number, correct classification, hourly rates of wages paid, daily and weekly number of hours worked, deductions made, and actual wages paid. The records to be maintained under this clause shall be made available by the Recipient or its subcontractors for inspection, copying, or transcription by authorized representatives of the FTA, U.S. Department of Transportation, or Department of Labor, and the Recipient or its subcontractors will permit such representatives to interview employees during working hours on the job. (b) The Recipient or contractor shall insert in any subcontract the clauses set forth in 29 CFR 5.5(b), and also a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The prime contractor shall be responsible for compliance by any subcontractor or lower tier subcontractor with the clauses set forth in 29 CFR 5.5(b) involving overtime pay, unpaid wages and withholding for unpaid wages. 20.2 The Recipient also agrees to require any contractor performing professional or consulting service in connection with any Project funded by this Agreement to agree to adhere to the requirements of this Article.

ARTICLE XXI: CIVIL RIGHTS 21.1 Non-Discrimination. The Recipient shall comply with and shall require its contractors and subcontractors to comply with all federal, state, and local laws, rules, regulations and ordinances relating to non-discrimination including, but not limited to, all requirements of Title VI of the Civil Rights Act of 1964, 42 USC 2000(d); Section 303 of the Age Discrimination Act of 1975, as amended, 42 USC 6101, Section 202 of the Americans with Disabilities Act of 1990, 42 USC 12101 et seq., Federal Transit Law at 49 USC 5332, and US DOT regulations, “Nondiscrimination in Federally-Assisted Programs of the Department of Transportation – Effectuation of Title VI of the Civil Rights Act,” 49 CFR 21, and any implementing requirements the FTA may issue.

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21.2 Equal Employment Opportunity Clauses.

(a) Federal Equal Employment Opportunity – The following requirements apply to the Project and the Recipient agrees to include these requirements in each contract and subcontract financed in whole or in part with federal assistance provided by FTA. (1) Discrimination Prohibited – In accordance with 42 USC 2000(e), 49 USC 5332, the Recipient agrees to comply with any applicable Federal statutes, executive orders, regulations, and Federal policies including the U.S. Department of Labor regulations, “Office of Federal Contract Compliance Programs, Equal Employment Opportunity, Department of Labor,” 41 CFR 60 et seq., (which implement E.O. No. 11246, “Equal Employment Opportunity,” as amended by E.O. No. 11375, “Amending E.O. No. 11246 relating to Equal Employment Opportunity,”) that may in the future affect construction activities undertaken in the course of this Project. The Recipient agrees to take affirmative action to ensure that applicants are employed, and that employees are treated during their employment, without regard to race, color, creed, sex, age or national origin. Such action shall include, but not be limited to, the following: employment, upgrading, demotion or transfer, recruitment or recruitment advertising, layoff or termination, rates of pay or other forms of compensation; and selection for training, including apprenticeship. In addition, the Recipient agrees to comply with any implementing requirements FTA may issue. (2) EEO Program Incorporated by Reference – If the Recipient is required to submit and obtain approval of its EEO program, that EEO program approved by the United States or State of Illinois government is incorporated by reference and made a part of this Agreement. Failure by the Recipient to carry out the terms of that EEO program shall be treated as a violation of this Agreement. Upon notification of its failure to carry out the approved EEO program, the RTA and the United States or State of Illinois government may impose such remedies as it considers appropriate, including termination of financial assistance, or other measures that may affect the Recipient’s eligibility to obtain future financial assistance in transportation projects. (3) Age – In accordance with 49 USC 5332, the Recipient agrees to refrain from discrimination against present and prospective employees for reasons of age. In addition, the Recipient agrees to comply with any implementing requirements FTA may issue. (4) Disabilities – In accordance with 42 USC 12101, the Grantee agrees that it will comply with the requirements of 29 CFR 1630, pertaining to the employment of persons with disabilities. In addition, the Recipient agrees to comply with any implementing requirements FTA may issue. (5) Sex – In accordance with Title IX of The Educational Amendments of 1972, as amended, 20 USC 1681 et seq., and U.S. Department of Transportation regulations 45 CFR 86, the Recipient agrees to comply with prohibitions against discrimination on the basis of sex, and any federal requirements that may be promulgated.

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(6) Language Proficiency – In accordance with Executive Order No. 13166, the Grantee agrees to comply with the applicable provisions of said Executive Order, “Improving Access to Services for Persons with Limited English Proficiency,” for improving access to services for persons with limited English proficiency, see 42 USC 2000d-1. (7) Environmental Justice – The Recipient shall comply with the applicable policies of Executive Order No. 12898, “Federal Actions to Address Environmental Justice in Minority Populations and Low-Income Populations”, see 42 USC 4321 note. (b) Sexual Harassment – The Recipient will have written sexual harassment policies that shall include, at a minimum, the following information: (i) the illegality of sexual harassment; (ii) the definition of sexual harassment, under state law; (iii) a description of sexual harassment, utilizing examples; (iv) the Recipient’s internal complaint process including penalties; (v) the legal recourse, investigative, and complaint process available through the Department of Human Resources and the Human Rights Commission; (vi) directions on how to contact the Department and Commission; and (vii) protection against retaliation as provided by Section 6-101 of the Illinois Human Rights Act, 775 ILCS 5/1-101 et seq. A copy shall be provided to the RTA upon request. (c) Illinois Human Rights Act - In the event of the Recipient’s non-compliance with the provisions of the Illinois Equal Employment Opportunity Clause, the Illinois Human Rights Act or the rules and regulations (the “Rules and Regulations”) of the Illinois Department of Human Rights (the “IDHR”), the Recipient may be declared ineligible for future contracts or subcontracts with the State of Illinois or any of its political subdivisions or municipal corporations, and this Agreement may be canceled or voided in whole or in part, and such other sanctions or penalties may be imposed or remedies invoked as provided by statute or regulation. During the performance of this Agreement the Recipient agrees as follows: (1) That it will not discriminate against any employee or applicant for employment because of race, color, religion, sex, marital status, national origin or ancestry, age, physical or mental handicap unrelated to ability, or an unfavorable discharge from military service; and further that it will examine all job classifications to determine if minority persons or women are underutilized and will take appropriate affirmative action to rectify any such underutilization. (2) That, if it hires additional employees in order to perform this Agreement or any portion thereof, it will determine the availability (in accordance with the IDHR Rules and Regulations) of minorities and women in the area(s) from which it may reasonably recruit and it will hire for each job classification for which employees are hired in such a way that minorities and women are not underutilized. (3) That, in all solicitations or advertisements for employees placed by it or on its behalf, it will state that all applicants will be afforded equal opportunity without discrimination because of race, color, religion, sex, marital status, national origin or ancestry, age, physical or mental handicap unrelated to ability, or an unfavorable discharge from military service.

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(4) That it will send to each labor organization or representative of workers with which it has or is bound by a collective bargaining or other agreement or understanding, a notice advising such labor organization or representative of the Recipient’s obligations under the Illinois Human Rights Act and the IDHR Rules and Regulations. If any such labor organization or representative fails or refuses to cooperate with the Recipient in its efforts to comply with such Act and Rules and Regulations, the Recipient will promptly so notify the IDHR and the contracting agency and will recruit employees for other sources when necessary to fulfill its obligations thereunder. (5) That it will submit reports as required by the IDHR Rules and Regulations, furnish all relevant information as may from time to time be requested by the IDHR or the contracting agency, and in all respects comply with the Illinois Human Rights Act and the IDHR Rules and Regulations. (6) That it will permit access to all relevant books, records, accounts and work sites by personnel for the contracting agency and the IDHR for purposes of investigation to ascertain compliance with the Illinois Human Rights Act and the IDHR Rules and Regulations. (7) That it will include verbatim or by reference the provisions of this section in every subcontract it awards under which any portion of the contract obligations are undertaken or assumed, so that such provisions will be binding upon such subcontractor. In the same manner as with other provisions of this Agreement, the Contractor will be liable for compliance with applicable provisions of this clause by such subcontractors; and further it will promptly notify the contracting agency and the IDHR in the event any subcontractor fails to or refuses to comply therewith. In addition, the Contractor will not utilize any subcontractor declared by the Illinois Human Rights Commission to be ineligible for contracts or subcontracts with the State of Illinois or any of its political subdivisions or municipal corporations. 21.3 Disabilities. The Recipient shall comply with and shall require its contractors and subcontractors to comply with all applicable federal and state requirements under the ADA and all applicable federal and state laws and regulations relating to procurement and access requirements in accommodating individuals with disabilities. The Recipient shall comply with, and agrees to include the following requirements in each contract or subcontract, applicable state and federal requirements of the Americans with Disabilities Act of 1990 (ADA), 42 USC 12101, et seq.; 49 USC 5301(d); Section 504 of the Rehabilitation Act of 1973, as amended, 29 USC 794; Architectural Barriers Act, as amended, 42 USC 4151, et. seq.; including any amendments to the aforementioned Acts; and the following regulations and amendments thereto: (a) DOT regulations, “Transportation Services for Individuals with Disabilities (ADA),” 49 CFR 37; “Nondiscrimination on the Basis of Handicap in Programs and Activities Receiving Federal Financial Assistance,” 49 CFR 27; “Americans with Disabilities Act (ADA) Accessibility Guidelines/Specifications for Transportation Vehicles,” 36 CFR 1192 and 49 CFR 38;

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(b) Department of Justice (DOJ) regulations, “Nondiscrimination on the Basis of Disability in State and Local Government Services,” 28 CFR 35; and “Nondiscrimination on the Basis of a Disability by Public Accommodations and in Commercial Facilities,” 28 CFR 36;

(c) Uniform Federal Accessibility Standards, Appendix A to 41 CFR 101-19.6 (Copies of

the Uniform Federal Accessibility Standards are available from the Office of Fair Housing and Equal Opportunity, U.S. Department of Housing and Urban Development, 451 Seventh Street, S.W., Washington, DC 20410, telephone (202) 708-1112;

(d) U.S. EEOC regulations to implement the equal employment provisions of the ADA, 29

CFR 1630; (e) Federal Communications Commission regulations, “Telecommunications Relay

Services and Related Customer Premises Equipment for the Hearing and Speech Disabled,” 47 CFR 64, Subpart F;

(f) FTA regulations, “Transportation for Elderly and Handicapped Persons,” 49 CFR 609; (g) U.S. ATBCB regulations “Electronic and Information Technology Accessibility

Standards”, 36 CFR 1194; and (h) Any implementing requirements FTA may issue.

21.4 Disadvantaged Business Enterprises. The following provisions shall apply to all Recipients as well as any subrecipients or subgrantees at any and all tiers who receive the funds provided in this Agreement in order to implement the Project. (a) In accordance with 49 CFR Part 26.13(a), as amended, the Recipient assures the RTA that it shall not discriminate on the basis of race, color, national origin or sex in the performance of this Agreement or the award and performance of any subcontract hereunder. Furthermore, the Recipient shall carry out applicable requirements of 49 CFR Part 26 in the award and administration of DOT-assisted contracts. Failure by the Recipient to carry out these requirements is a material breach of this Agreement, which may result in its termination or such other remedy as the RTA deems appropriate.

(b) Any Recipient with an FTA approved DBE program shall include the funds provided in this Agreement when submitting DBE-related data in reports required by the FTA pursuant to its approved program. The RTA shall receive copies of all such reports and will not be responsible for providing DBE-related data to the FTA regarding the funds provided in this Agreement.

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(c) Any Recipient without an FTA approved DBE program shall adopt and abide by the

RTA’s DBE program, which is incorporated as though fully set forth herein. The Recipient must inform the RTA whether it intends to abide by its own, or the RTA’s DBE program.

(d) The Recipient shall agree to include the language set forth in this Disadvantaged

Business Enterprise Assurance in each subcontract it executes.

ARTICLE XXII: ENVIRONMENTAL COMPLIANCE The Recipient shall comply with and shall require its contractors and subcontractors to comply with all federal, state, and local laws, rules, regulations and ordinances imposing environmental, resource conservation, and energy requirements with respect to the Project. The Recipient expressly understands that the following items do not constitute the Recipient’s entire obligation to meet federal requirements. The Recipient agrees to comply with the following requests: 22.1 Energy Conservation – The Recipient and its contractors at all tiers shall comply with applicable mandatory standards and policies relating to energy efficiency that are contained in applicable state energy conservation plans issued in compliance with the Energy Policy and Conservation Act, 42 USC 6321 et seq.

22.2 Clean Fuels – To the extent applicable the Recipient and its contractors and subcontractors shall comply with the requirements of “Clean Fuels Formula Grant Program”, 49 CFR 624 and any other applicable federal requirements, and 49 USC 5308.

ARTICLE XXIII: DRUG FREE WORKPLACE

23.1 The Recipient certifies and agrees that it will provide a drug-free workplace as required by the Drug Free Workplace Act (30 ILCS 580/1 et seq.) and that it will comply with all provisions thereof. Further, the Recipient agrees to comply with the U.S. DOT Drug Free Workplace Act, and U.S. DOT regulations, “Governmentwide Requirements for Drug-Free Workplace (Financial Assistance)”, 49 CFR 32, and other U.S. DOT and FTA regulations and guidance pertaining to substance abuse (drugs and alcohol) that may be promulgated.

23.2 If applicable, the Recipient also agrees to comply with all aspects of the anti-drug program outlined in the “Prevention of Alcohol Misuse and Prohibited Drug Use in Transit Operations” regulation, 49 CFR 655; “Procedures for Transportation Workplace Drug and Alcohol Testing Programs” regulation, 49 CFR 40, and to require contractors and subcontractors, when applicable under 49 U.S.C. 5331 and 49 CFR 655, to do the same.

23.3 Confidentiality – Drugs or Alcohol Abuse. The Recipient shall comply with, and agrees

to include the following requirements in each contract or subcontract, applicable state and federal requirements of confidentiality and other Civil Rights provisions of the Drug Abuse Office and Treatment Act of 1972, as amended, 21 USC 1174 et seq. and the Public Health Service Act of 1912, 42 USC 290dd-2, including any amendments to the aforementioned Acts;

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ARTICLE XXIV: RESTRICTIONS ON LOBBYING

24.1 (a) If this Agreement provides funding in whole or in part from federal funds for a Project(s), the Recipient agrees to comply with Section 319 of the 1990 Department of Interior and Related Agencies Appropriations Act, 31 USC 1352 relating to restrictions on influencing or attempting to influence federal officials in connection with grants, cooperative agreements, or contracts. By executing this Agreement, the Recipient certifies its compliance with this Act as specifically described in subparagraphs (b) and (c) below. (b) The Recipient agrees that 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 any 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. (c) The Recipient further agrees that 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 Federal Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions. (d) The Recipient shall require that the language of this Article XXIV be included in the award documents for all third party contracts and that all such contractors shall certify and disclose accordingly.

ARTICLE XXV: PUBLIC RELATIONS

25.1 The Recipient agrees to notify the RTA of the following: (i) upon receipt of any media,

press, or mass information distribution system inquiry regarding the Project(s); (ii) upon receipt of any request for documents pursuant to the Freedom of Information Act (FOIA) pertaining to the Project(s); (iii) prior to issuing any press release or other media statement regarding the Project(s). The Recipient acknowledges that the duty to notify the RTA extends through Project(s) completion, and potentially beyond the term of this Agreement.

ARTICLE XXVI: SEVERABILITY

26.1 If any provision of this Agreement is held invalid for any reason whatsoever, the remaining provisions shall not be affected thereby if such remainder would continue to conform to the purposes, terms, and requirements of applicable law.

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ARTICLE XXVII: ASSIGNMENT AND AGREEMENT

27.1 This Agreement shall not be assigned, transferred, conveyed, sublet, or otherwise disposed of by the Recipient without the prior written consent of the RTA.

ARTICLE XXVIII: AMENDMENT

28.1 The Parties agree that no change of the aggregate amount of all Project Budgets or a modification in scope of this Agreement shall be of any force or effect unless such amendment is dated, reduced to writing, executed by both parties, and attached to and made a part of this Agreement. No work shall be commenced and no costs or obligations incurred in consequence of any amendment to this Agreement or any attachments hereto unless and until such amendment has been executed and made a part of this Agreement and Exhibit A, Scope of Services, and Exhibit B, Project Budget, for each Project as appropriate, has been amended to conform thereto.

ARTICLE XXIX: TITLES

29.1 The Parties agree that the titles of the articles and paragraphs of this Agreement are inserted for convenience of identification only and shall not be considered for any other purpose.

ARTICLE XXX: OWNERSHIP OF DOCUMENTS/TITLE TO WORK

30.1 All documents, data, and records produced by Recipient and its contractors in carrying out Recipient’s obligations and services hereunder, without limitation and whether preliminary or final, as between the RTA and Recipient shall become and remain the property of the RTA. The RTA shall have the right to use all such documents, data, and records without restriction or limitation and without additional compensation to Recipient. All documents, data, and records utilized in performing research shall be available for examination by the RTA upon request. Upon completion of the services hereunder or at the termination of this Agreement, all such documents, data, and records shall, at the option of the RTA, be appropriately arranged, indexed, and delivered to the RTA by Recipient.

30.2 In accordance with 37 CFR 401, if any invention, improvement, or discovery of the Recipient or any of its subconsultants is conceived or first actually reduced to practice in the course of or under this Project, and that invention, improvement, or discovery is patentable under the laws of the United States of America or any foreign country, the Recipient agrees to notify the RTA, IDOT and FTA immediately and provide a detailed report. The rights and responsibilities of the Recipient, its subcontractors, the RTA, IDOT, and FTA, with respect to such invention, improvement, or discovery will be determined in accordance with applicable state and federal laws, regulations, policies, and any waiver thereof. The Recipient agrees to insert the substance of the provisions of this clause in all subcontracts issued pursuant to this Agreement.

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30.3 Rights in Data and Copyrights: The Recipient agrees as follows:

(a) The term “subject data” used in this section means recorded information, whetheror not copyrighted, that is delivered or specified to be delivered under this Agreement. The term includes graphic or pictorial delineation in media, such as drawings or photographs; text in specifications or related performance or design-type documents; machine forms, such as punched cards, magnetic tape, or computer memory printouts; and information retained in computer memory. Examples include, but are not limited to: computer software, engineering drawings and associated lists, specifications, standards, process sheets, manuals, technical reports, catalog item identifications, and related information. The term does not include financial reports, cost analyses, and similar information incidental to project administration.

(b) The following provisions apply to all subject data first produced in the performanceof this Agreement:

(1) Except for its own internal use, the Recipient may not publish orreproduce subject data in whole or in part, or in any manner or form, nor maythe Recipient authorize others to do so, without the written consent of RTA,IDOT, or FTA, until such time as RTA, IDOT, or FTA, may have either releasedor approved the release of such data to the public; this restriction onpublication, however, does not apply to agreements with academicinstitutions.

(2) As authorized by 49 CFR Part 18.34 and 49 CFR Part 19.36, RTA, IDOTand FTA reserve a royalty-free, non-exclusive, and irrevocable license toreproduce, publish, or otherwise use, and to authorize others to use, for“federal and state government purposes:”

(i) Any subject data developed under a grant, cooperativeagreement, subgrant, subagreement, or third party contract,irrespective of whether or not a copyright has been obtained;and

(ii) Any rights of copyright to which a third partyconsultant purchases ownership with federal or state assistance.

(c) When the federal or state government provides assistance to a grantee for aProject involving planning, research, development, or a demonstration, it is generally FTA and IDOT’s intent to increase the body of mass transportation knowledge, rather than to limit the benefits of the Project to those parties that have participated therein. Therefore, unless FTA or IDOT determine otherwise, the recipient of IDOT or FTA assistance to support planning, research, development, or a demonstration financed under the Acts, as amended, understands and agrees that, in addition to the rights set forth in section 29.3 (b) above, IDOT or FTA may make available to any government grantee, third party consultant, or third party subconsultant, either the federal or state

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government’s license in the copyright to the subject data first produced under this Agreement. In the event that such a Project, which is the subject of this Agreement, is not completed for any reason whatsoever, all data developed under that Project shall become subject data as defined in section 29.3 (a) above, and shall be delivered as RTA may direct. This subsection, however, does not apply to adaptations of automatic data processing equipment or programs for the Recipient’s use, which costs are financed in whole or in part with IDOT or FTA assistance for transportation capital projects.

(d) Unless prohibited by state law, the Recipient agrees to indemnify, save, and holdharmless the RTA, the State of Illinois and FTA, as their officers, agents, and employees acting within the scope of their official duties, against any liability, including costs and expenses, resulting from any violation by the Recipient of proprietary rights, copyrights, or right of privacy, arising out of the publication, translation, reproduction, delivery, use, or disposition of any data furnished under this Agreement. The Recipient shall not be required to indemnify the RTA, the State of Illinois and FTA for any such liability arising out of the wrongful acts of employees or agents of the RTA, the State of Illinois or FTA.

(e) Nothing contained in this section on rights in data shall imply a license to the RTA,IDOT or FTA under any patent to be construed as affecting the scope of any license or other right otherwise granted to the RTA, IDOT and FTA under any patent.

(f) The requirements of sub-sections (c), (d), and (e) of section 29.3 above, do not applyto material furnished to the Recipient by the RTA, IDOT and FTA and incorporated in the work carried out under this Agreement; provided that such incorporated material is identified by the Recipient at time of delivery of such work.

(g) The Recipient understands and agrees that data and information submitted to theRTA, IDOT or FTA may be required to be made available under the Freedom of Information Act or other state or federal statutes in accordance with 49 CFR 19.36, as revised.

ARTICLE XXXI: ETHICS

31.1 Bribery - Non-governmental Grantees and third-party contractors shall certify that they have not been convicted of bribery or attempting to bribe an officer or employee of the State of Illinois or local government. They also certify that they have not admitted guilt of such conduct which is a matter of record, nor do they have an official, agent, or employee who has committed bribery or attempted bribery on the firm’s behalf under the direction or authorization of one of the Grantee’s responsible officials. They also certify that they have not been barred from contracting with a State or local governmental unit as a result of a violation of Title III, Part E, Article 33 of the Illinois Criminal Code.

ARTICLE XXXII: PRIVACY

32.1 Should the Grantee, or any of its third party contractors, or their employees, administer any system of records on behalf of the Federal or State Government, the Privacy Act of

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1974, 5 U.S.C. 552 and 49 CFR 10, Subpart C, imposes information restrictions on the party managing the system of records.

ARTICLE XXXIII: DOCUMENTS FORMING THIS AGREEMENT

33.1 The Parties agree that this constitutes the entire Agreement between the Parties hereto, that there are no agreements or understandings, implied or expressed, except as specifically set forth or incorporated by reference in the Agreement and that all prior arrangements and understandings in the connection are merged into and contained in this Agreement. The Parties hereto further agree that this Agreement consists of this “Technical Services Agreement,” and:

• Exhibit A, Scope of Services• Exhibit B, Project Budget• Exhibit C, Certifications and Assurances• Exhibit D, Certifications of Compliance with Code of Federal

Regulations (CFR) – Title 2, Part 200• Exhibit E, Program Management Plan (PMP)

ARTICLE XXXIV: SPECIAL CONDITIONS

34.1 The Recipient shall submit quarterly progress reports in accordance with RTA’s schedule. The Recipient also agrees to submit invoices for reimbursement on a monthly basis.

ARTICLE XXXV: MISCELLANEOUS

35.1 Notices. All notices, other communications and approvals required or permitted by this Agreement shall be in writing and shall be delivered, sent by certified or registered mail (return receipt requested and postage prepaid), addressed as follows:

(a) in the case of the RTA:175 West Jackson BoulevardSuite 1650Chicago, Illinois 60604Attention: Sr. DED, Capital Programming and Planning

(c) in the case of the Recipient:41W011 Burlington RoadSt. Charles, Illinois 60175Attn: Deputy, Chief of Staff

or such other persons or addresses as either party may from time to time designate by notice to the other. All notices required hereunder shall be in writing and shall be deemed properly served if delivered in person or if sent by registered or certified mail, with postage prepaid and return receipt requested, to the addresses specified. All notices required hereunder shall be deemed received on

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the date of delivery, or attempted delivery, if delivered in person, or if mailed, on the date which is two (2) days after the date such notice is deposited in the mail.

35.2 Entire Agreement. This Agreement constitutes the entire agreement between the parties pertaining to the subject matter hereof and supersedes all prior agreements, negotiations, discussions and understandings, written or oral, between the parties.

35.3 Governing Law. This Agreement shall be governed by, and interpreted and enforced in accordance with, the laws in force in the State of Illinois (excluding any conflict of laws rule or principle which might refer such interpretation to the laws of another jurisdiction).

35.4 Digital and Electronic Signatures. The parties hereby agree that this Agreement may be signed via electronic or digital signature. The parties further agree that the electronic or digital signatures appearing on and affixed to this Agreement are the same as handwritten signatures for the purposes of validity, enforceability, and admissibility, and are acknowledged as compliant with federal and state law and as secure electronic signatures pursuant to the Illinois Electronic Commerce Security Act (5 ILCS 175/10-110).

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IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be executed by their duly authorized representatives.

RECIPIENT: COUNTY OF KANE

CORINNE M. PIEROG DATE CHAIR, COUNTY BOARD

REGIONAL TRANSPORTATION AUTHORITY

___________________________________________ ______________ LEANNE P. REDDEN DATE EXECUTIVE DIRECTOR

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EXHIBIT A

SCOPE OF SERVICES for

S5310-2019-08 Applicant: County of Kane

RTA Project Number: 202000101

Project Name: Ride in Kane Phase 17 & 18

Project Description:

This project coordinates and provides low cost, curb to curb paratransit services in Kane County by optimizing transportation resources for older adults, person with disabilities and low-income individuals. Funds will be utilized to continue to provide rides to and from work or work-related activities for individuals with disabilities, seniors (age 65 or older) and individuals who are deemed low income. The project partners include private, non-profit organizations and local units of government. Currently these partners are the Association for Individual Development, Aurora Township, Batavia Township, City of Batavia, Blackberry Township, Campton Township, City of Geneva, City of Elgin, Dundee Township, Kane County, Senior Services Association, City of St. Charles, St. Charles Township, the Village of South Elgin and Elgin Township.

This project is not a Research & Development

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EXHIBIT B

PROJECT BUDGETfor

S5310-2019-08

Applicant:

Total Project Budget:

County of Kane

$4,995,992.00

RTA Project Number/ Title:

Project Budget Inkind Expected Project Funds Cash Share

RTA $2,497,996.00 $0.00 $0.00 50.00% Local $2,497,996.00 $0.00 $0.00 50.00% Other $0.00 $0.00 0.00% Indirect Cost Rate 0 $0.00 $0.00 0.00%

Total: $4,995,992.00 $0.00 $0.00 100.00%

202000101 Ride in Kane Phase 17 & 18

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INSTRUCTIONS FOR FISCAL YEAR 2021 CERTIFICATIONS AND ASSURANCES FOR FTA GRANTS

AND COOPERATIVE AGREEMENTS1

1 What are the Certifications and Assurances?

Awards of FTA funding are subject to certain mandatory certifications on the part of the recipient. These certifications variously are required by statutes, regulations, or FTA or U.S. DOT policies. Some certifications must be included with an application for assistance as a condition of FTA considering the application for an award. Other certifications may be made post-award. For the convenience of FTA’s recipients, and pursuant to 49 U.S.C. § 5323(n), FTA consolidates all required certifications into a single document called the Certifications and Assurances that each applicant must submit once annually in any fiscal year in which it will apply for a new award or an amendment to an existing award.

FTA normally issues a new version of its Certifications and Assurances for each federal fiscal year at the time FTA publishes its notice of funding apportionment in the Federal Register for that fiscal year. An applicant must execute the latest Certifications and Assurances available in the fiscal year in which it is submitting an application. A regular applicant that receives formula assistance from FTA each year should be prepared to execute its annual Certifications and Assurances within 90 days of FTA’s publication of a new annual version of the Certifications and Assurances, to ensure that award processing is not delayed.

Any award by FTA is conditioned explicitly on the applicant’s Certifications and Assurances. FTA cannot make an award to an applicant that has not submitted current Certifications and Assurances.

Unless FTA later determines otherwise, the applicant must comply with the Certifications and Assurances it made to receive its award. The applicant’s Certifications and Assurances remain in effect until the award is closed or the disposition of any project property funded by the award, whichever is later.

The purpose of the Certifications and Assurances is to consolidate the affirmative representations an applicant or recipient must make as a condition of receiving an award from FTA. THE CERTIFICATIONS AND ASSURANCES DO NOT INCLUDE ALL FEDERAL REQUIREMENTS THAT APPLY TO AN AWARD.

2 Which certifications must the applicant make?

The Certifications and Assurances are grouped into several categories that broadly correspond with FTA’s funding programs or the activities to be undertaken in an award. An applicant must certify to every category that applies to the applicant and the applications it will submit in the fiscal year.

1 The contents of this document do not have the force and effect of law and are not meant to bind the public in any way. This document is intended only to provide clarity to the public regarding existing requirements under the law or agency policies. This policy and compliance notice is not legally binding in its own right and will not be relied upon by the U.S. Department of Transportation as a separate basis for affirmative enforcement action or other administrative penalty. Conformity with this policy and compliance notice is voluntary only and nonconformity will not affect rights and obligations under existing statutes and regulations.

EXHIBIT C

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For the applicant’s convenience, FTA’s Certifications and Assurances provide an option for the applicant to make all certifications at once, instead of selecting specific certifications.

Not every provision of every certification will apply to every applicant or award. If a provision of a certification does not apply to the applicant or its award, FTA will not enforce that provision.

3 Who may execute the Certifications and Assurances on behalf of the applicant?

The Certifications and Assurances must be executed by the applicant’s authorized representative. The authority of the authorized representative to make certifications on behalf of the applicant must be demonstrated by submitting a resolution of the applicant’s board, a statute, ordinance, or other appropriate source of authority. If the applicant’s authorized representative changes in subsequent years, the applicant may have to submit new authority identifying the new authorized representative.

The certifications also must be affirmed by the applicant’s attorney. The attorney affirms that the applicant and the applicant’s authorized representative have the legal authority to make the certifications, and that there is no pending or imminent legislation, litigation, or other legal matter that could adversely affect the validity of any certification.

4 What if an applicant cannot make one of the required certifications, or the applicant falls out of compliance with a previously made certification?

The applicant must contact the FTA regional office for the region in which the applicant is located as soon as possible.

5 What are the applicant’s responsibilities for third parties?

With few exceptions, an applicant makes certifications on its own behalf, and not on behalf of its subrecipients, contractors, or other third parties. Nonetheless, the applicant bears the ultimate responsibility for the performance of its award. The applicant must take all necessary measures to ensure that the participation of any third party in its award does not invalidate any of the certifications made to FTA.

6 What is the significance of italicized text in the Certifications and Assurances?

Text that is in italic typeface is prefatory and explanatory. It provides instructions to the applicant about a certification. This text is included for the convenience of the reader, and it is not part of a certification.

7 How does the applicant submit the Certifications and Assurances?

The applicant must make its certifications in FTA’s Transit Award Management System (TrAMS). TrAMS includes an electronic module for selecting and digitally signing the Certifications and Assurances. The applicant’s authorized representative and attorney must be registered in TrAMS and have a personal identification number (“PIN”) to submit Certifications and Assurances by this method.

In some cases, particularly where an applicant relies on outside counsel for attorney services, it may be impractical for the applicant’s attorney to have a TrAMS account. In such cases, the applicant’s authorized representative may digitally sign as both the authorized representative and the attorney,

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and the applicant’s attorney may sign the attorney affirmation by hand and submit a copy to TrAMS as a Recipient Document.

8 What are the penalties for a false or fraudulent certification?

False statements may incur federal civil and criminal penalties under the Program Fraud Civil Remedies Act of 1986, as amended, 31 U.S.C. §§ 3801 et seq.; U.S. Department of Transportation regulations, “Program Fraud Civil Remedies,” 49 C.F.R. part 31; or 49 U.S.C. § 5323(l)(1), which authorizes criminal penalties and termination of federal assistance for false statements. Penalties may apply to the recipient of Federal assistance as an entity, and may apply personally to the individual who made the false statement.

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Certifications and Assurances Fiscal Year 2021

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CATEGORY 1. CERTIFICATIONS AND ASSURANCES REQUIRED OF EVERY APPLICANT.

All applicants must make the certifications in this category.

1.1. Standard Assurances.

The certifications in this subcategory appear as part of the applicant’s registration or annual registration renewal in the System for Award Management (SAM.gov) and on the Office of Management and Budget’s standard form 424B “Assurances—Non-Construction Programs”. This certification has been modified in places to include analogous certifications required by U.S. DOT statutes or regulations.

As the duly authorized representative of the applicant, you certify that the applicant:

(a) Has the legal authority to apply for Federal assistance and the institutional, managerial,and financial capability (including funds sufficient to pay the non-Federal share of projectcost) to ensure proper planning, management and completion of the project described inthis application.

(b) Will give the awarding agency, the Comptroller General of the United States and, ifappropriate, the State, through any authorized representative, access to and the right toexamine all records, books, papers, or documents related to the award; and will establisha proper accounting system in accordance with generally accepted accounting standardsor agency directives.

(c) Will establish safeguards to prohibit employees from using their positions for a purposethat constitutes or presents the appearance of personal or organizational conflict ofinterest, or personal gain.

(d) Will initiate and complete the work within the applicable time frame after receipt ofapproval of the awarding agency.

(e) Will comply with the Intergovernmental Personnel Act of 1970 (42 U.S.C. §§ 4728–4763) relating to prescribed standards for merit systems for programs funded under oneof the 19 statutes or regulations specified in Appendix A of OPM’s Standards for a MeritSystem of Personnel Administration (5 CFR 900, Subpart F).

Not every provision of every certification will apply to every applicant or award. If a provision of a certification does not apply to the applicant or its award, FTA will not enforce that provision. Refer to FTA’s accompanying Instructions document for more information.

Text in italics is guidance to the public. It does not have the force and effect of law, and is not meant to bind the public in any way. It is intended only to provide clarity to the public regarding existing requirements under the law or agency policies.

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(f) Will comply with all Federal statutes relating to nondiscrimination. These include but are

not limited to: (1) Title VI of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits

discrimination on the basis of race, color or national origin, as effectuated by U.S. DOT regulation 49 CFR Part 21;

(2) Title IX of the Education Amendments of 1972, as amended (20 U.S.C. §§ 1681– 1683, and 1685–1686), which prohibits discrimination on the basis of sex, as effectuated by U.S. DOT regulation 49 CFR Part 25;

(3) Section 5332 of the Federal Transit Law (49 U.S.C. § 5332), which prohibits any person being excluded from participating in, denied a benefit of, or discriminated against under, a project, program, or activity receiving financial assistance from FTA because of race, color, religion, national origin, sex, disability, or age.

(4) Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. § 794), which prohibits discrimination on the basis of handicaps, as effectuated by U.S. DOT regulation 49 CFR Part 27;

(5) The Age Discrimination Act of 1975, as amended (42 U.S.C. §§ 6101–6107), which prohibits discrimination on the basis of age;

(6) The Drug Abuse Office and Treatment Act of 1972 (P.L. 92-255), as amended, relating to nondiscrimination on the basis of drug abuse;

(7) The comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 (P.L. 91–616), as amended, relating to nondiscrimination on the basis of alcohol abuse or alcoholism;

(8) Sections 523 and 527 of the Public Health Service Act of 1912 (42 U.S.C. §§ 290 dd-3 and 290 ee-3), as amended, relating to confidentiality of alcohol and drug abuse patient records;

(9) Title VIII of the Civil Rights Act of 1968 (42 U.S.C. §§ 3601 et seq.), as amended, relating to nondiscrimination in the sale, rental, or financing of housing;

(10) Any other nondiscrimination provisions in the specific statute(s) under which application for Federal assistance is being made; and,

(11) the requirements of any other nondiscrimination statute(s) which may apply to the application.

(g) Will comply, or has already complied, with the requirements of Titles II and III of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (“Uniform Act”) (P.L. 91-646) which provide for fair and equitable treatment of persons displaced or whose property is acquired as a result of Federal or federally-assisted programs. These requirements apply to all interests in real property acquired for project purposes regardless of Federal participation in purchases. The requirements of the Uniform Act are effectuated by U.S. DOT regulation 49 CFR Part 24.

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(h) Will comply, as applicable, with provisions of the Hatch Act (5 U.S.C. §§ 1501–1508and 7324–7328) which limit the political activities of employees whose principalemployment activities are funded in whole or in part with Federal funds.

(i) Will comply, as applicable, with the provisions of the Davis–Bacon Act (40 U.S.C.§§ 276a to 276a-7), the Copeland Act (40 U.S.C. § 276c and 18 U.S.C. § 874), and theContract Work Hours and Safety Standards Act (40 U.S.C. §§ 327–333), regarding laborstandards for federally assisted construction sub agreements.

(j) Will comply, if applicable, with flood insurance purchase requirements of Section 102(a)of the Flood Disaster Protection Act of 1973 (P.L. 93-234) which requires recipients in aspecial flood hazard area to participate in the program and to purchase flood insurance ifthe total cost of insurable construction and acquisition is $10,000 or more.

(k) Will comply with environmental standards which may be prescribed pursuant to thefollowing:(1) Institution of environmental quality control measures under the National

Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order (EO)11514;

(2) Notification of violating facilities pursuant to EO 11738;(3) Protection of wetlands pursuant to EO 11990;(4) Evaluation of flood hazards in floodplains in accordance with EO 11988;(5) Assurance of project consistency with the approved State management program

developed under the Coastal Zone Management Act of 1972 (16 U.S.C. §§ 1451et seq.);

(6) Conformity of Federal actions to State (Clean Air) Implementation Plans underSection 176(c) of the Clean Air Act of 1955, as amended (42 U.S.C. §§ 7401 etseq.);

(7) Protection of underground sources of drinking water under the Safe DrinkingWater Act of 1974, as amended (P.L. 93-523); and

(8) Protection of endangered species under the Endangered Species Act of 1973, asamended (P.L. 93–205).

(l) Will comply with the Wild and Scenic Rivers Act of 1968 (16 U.S.C. §§ 1271 et seq.)related to protecting components or potential components of the national wild and scenicrivers system.

(m) Will assist the awarding agency in assuring compliance with Section 106 of the NationalHistoric Preservation Act of 1966, as amended (16 U.S.C. § 470), EO 11593(identification and protection of historic properties), and the Archaeological and HistoricPreservation Act of 1974 (16 U.S.C. §§ 469a-1 et seq.).

(n) Will comply with P.L. 93-348 regarding the protection of human subjects involved inresearch, development, and related activities supported by this award of assistance.

(o) Will comply with the Laboratory Animal Welfare Act of 1966 (P.L. 89-544, as amended,7 U.S.C. §§ 2131 et seq.) pertaining to the care, handling, and treatment of warm blooded

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animals held for research, teaching, or other activities supported by this award of assistance.

(p) Will comply with the Lead-Based Paint Poisoning Prevention Act (42 U.S.C. §§ 4801 et seq.) which prohibits the use of lead-based paint in construction or rehabilitation of residence structures.

(q) Will cause to be performed the required financial and compliance audits in accordance with the Single Audit Act Amendments of 1996 and 2 CFR Part 200, Subpart F, “Audit Requirements”, as adopted and implemented by U.S. DOT at 2 CFR Part 1201.

(r) Will comply with all applicable requirements of all other Federal laws, executive orders, regulations, and policies governing the program under which it is applying for assistance.

(s) Will comply with the requirements of Section 106(g) of the Trafficking Victims Protection Act (TVPA) of 2000, as amended (22 U.S.C. § 7104) which prohibits grant award recipients or a sub-recipient from: (1) Engaging in severe forms of trafficking in persons during the period of time that

the award is in effect; (2) Procuring a commercial sex act during the period of time that the award is in

effect; or (3) Using forced labor in the performance of the award or subawards under the

award. 1.2. Standard Assurances: Additional Assurances for Construction Projects.

This certification appears on the Office of Management and Budget’s standard form 424D “Assurances—Construction Programs” and applies specifically to federally assisted projects for construction. This certification has been modified in places to include analogous certifications required by U.S. DOT statutes or regulations.


(a) Will not dispose of, modify the use of, or change the terms of the real property title or

other interest in the site and facilities without permission and instructions from the awarding agency; will record the Federal awarding agency directives; and will include a covenant in the title of real property acquired in whole or in part with Federal assistance funds to assure nondiscrimination during the useful life of the project.

(b) Will comply with the requirements of the assistance awarding agency with regard to the drafting, review, and approval of construction plans and specifications.

(c) Will provide and maintain competent and adequate engineering supervision at the construction site to ensure that the complete work confirms with the approved plans and specifications and will furnish progressive reports and such other information as may be required by the assistance awarding agency or State.

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1.3. Procurement.

The Uniform Administrative Requirements, 2 CFR § 200.324, allow a recipient to self-certify that its procurement system complies with Federal requirements, in lieu of submitting to certain pre-procurement reviews.

The applicant certifies that its procurement system complies with:

(a) U.S. DOT regulations, “Uniform Administrative Requirements, Cost Principles, and

Audit Requirements for Federal Awards,” 2 CFR Part 1201, which incorporates by reference U.S. OMB regulatory guidance, “Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards,” 2 CFR Part 200, particularly 2 CFR §§ 200.317–200.326 “Procurement Standards;

(b) Federal laws, regulations, and requirements applicable to FTA procurements; and (c) The latest edition of FTA Circular 4220.1 and other applicable Federal guidance.

1.4. Suspension and Debarment.

Pursuant to Executive Order 12549, as implemented at 2 CFR Parts 180 and 1200, prior to entering into a covered transaction with an applicant, FTA must determine whether the applicant is excluded from participating in covered non-procurement transactions. For this purpose, FTA is authorized to collect a certification from each applicant regarding the applicant’s exclusion status. 2 CFR § 180.300. Additionally, each applicant must disclose any information required by 2 CFR § 180.335 about the applicant and the applicant’s principals prior to entering into an award agreement with FTA. This certification serves both purposes.

The applicant certifies, to the best of its knowledge and belief, that the applicant and each of its principals:

(a) Is not presently debarred, suspended, proposed for debarment, declared ineligible, or

voluntarily or involuntarily excluded from covered transactions by any Federal department or agency;

(b) Has not, within the preceding three years, been convicted of or had a civil judgment rendered against him or her for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public or private agreement or transaction; violation of Federal or State antitrust statutes, including those proscribing price fixing between competitors, allocation of customers between competitors, and bid rigging; commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, tax evasion, receiving stolen property, making false claims, or obstruction of justice; or commission of any other offense indicating a lack of business integrity or business honesty;

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(c) Is not presently indicted for or otherwise criminally or civilly charged by a governmental

entity (Federal, State, or local) with commission of any offense described in paragraph (b) of this certification;

(d) Has not, within the preceding three years, had one or more public transactions (Federal, State, or local) terminated for cause or default.

1.5. Coronavirus Response and Relief Supplemental Appropriations Act, 2021, and

CARES Act Funding. The applicant certifies that, to the maximum extent possible, and consistent with the Consolidated Appropriations Act, 2021 (Public Law 116–260):

(a) Funds made available under title IV of division M of the Consolidated Appropriations

Act, 2021 (Public Law 116–260), and in title XII of division B of the CARES Act (Public Law 116–136; 134 Stat. 599) shall be directed to payroll and operations of public transit (including payroll and expenses of private providers of public transportation); or

(b) The applicant certifies that the applicant has not furloughed any employees.

CATEGORY 2. PUBLIC TRANSPORTATION AGENCY SAFETY PLANS This certification is required of each applicant under the Urbanized Area Formula Grants Program (49 U.S.C. § 5307), each rail operator that is subject to FTA’s state safety oversight programs, and each State that is required to draft and certify a public transportation agency safety plan on behalf of a small public transportation provider pursuant to 49 CFR § 673.11(d). This certification is required by 49 CFR § 673.13.

This certification does not apply to any applicant that receives financial assistance from FTA exclusively under the Formula Grants for the Enhanced Mobility of Seniors Program (49 U.S.C. § 5310), the Formula Grants for Rural Areas Program (49 U.S.C. § 5311), or combination of these two programs.

If the applicant is an operator, the applicant certifies that it has established a public transportation agency safety plan meeting the requirements of 49 CFR Part 673.

If the applicant is a State, the applicant certifies that:

(a) It has drafted a public transportation agency safety plan for each small public

transportation provider within the State, unless the small public transportation provider provided notification to the State that it was opting-out of the State-drafted plan and drafting its own public transportation agency safety plan; and

(b) Each small public transportation provider within the state has a public transportation agency safety plan that has been approved by the provider’s Accountable Executive

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(as that term is defined at 49 CFR § 673.5) and Board of Directors or Equivalent Authority (as that term is defined at 49 CFR § 673.5).

CATEGORY 3. TAX LIABILITY AND FELONY CONVICTIONS.

If the applicant is a business association (regardless of for-profit, not for-profit, or tax exempt status), it must make this certification. Federal appropriations acts since at least 2014 have prohibited FTA from using funds to enter into an agreement with any corporation that has unpaid Federal tax liabilities or recent felony convictions without first considering the corporation for debarment. E.g., Consolidated Appropriations Act, 2021, Pub. L. 116-260, div. E, title VII, §§ 744–745. U.S. DOT Order 4200.6 defines a “corporation” as “any private corporation, partnership, trust, joint-stock company, sole proprietorship, or other business association”, and applies the restriction to all tiers of subawards. As prescribed by U.S. DOT Order 4200.6, FTA requires each business association applicant to certify as to its tax and felony status.

If the applicant is a private corporation, partnership, trust, joint-stock company, sole proprietorship, or other business association, the applicant certifies that:

(a) It has no unpaid Federal tax liability that has been assessed, for which all judicial and

administrative remedies have been exhausted or have lapsed, and that is not being paid in a timely manner pursuant to an agreement with the authority responsible for collecting the tax liability; and

(b) It has not been convicted of a felony criminal violation under any Federal law within the preceding 24 months.

CATEGORY 4. LOBBYING.

If the applicant will apply for a grant or cooperative agreement exceeding $100,000, or a loan, line of credit, loan guarantee, or loan insurance exceeding $150,000, it must make the following certification and, if applicable, make a disclosure regarding the applicant’s lobbying activities. This certification is required by 49 CFR § 20.110 and app. A to that part.

This certification does not apply to an applicant that is an Indian Tribe, Indian organization, or an Indian tribal organization exempt from the requirements of 49 CFR Part 20.

4.1. Certification for Contracts, Grants, Loans, and Cooperative Agreements.

The undersigned certifies, to the best of his or her knowledge and belief, that:

(a) 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

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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.

(b) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, “Disclosure Form to Report Lobbying,” in accordance with its instructions.

(c) 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.

4.2. Statement for Loan Guarantees and Loan Insurance.

The undersigned states, to the best of his or her knowledge and belief, that:

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 Form to Report Lobbying,” 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.

CATEGORY 5. PRIVATE SECTOR PROTECTIONS.

If the applicant will apply for funds that it will use to acquire or operate public transportation facilities or equipment, the applicant must make the following certification regarding protections for the private sector.

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5.1. Charter Service Agreement.

To enforce the provisions of 49 U.S.C. § 5323(d), FTA’s charter service regulation requires each applicant seeking assistance from FTA for the purpose of acquiring or operating any public transportation equipment or facilities to make the following Charter Service Agreement. 49 CFR § 604.4.

The applicant agrees that it, and each of its subrecipients, and third party contractors at any level who use FTA-funded vehicles, may provide charter service using equipment or facilities acquired with Federal assistance authorized under the Federal Transit Laws only in compliance with the regulations set out in 49 CFR Part 604, the terms and conditions of which are incorporated herein by reference.

5.2. School Bus Agreement.

To enforce the provisions of 49 U.S.C. § 5323(f), FTA’s school bus regulation requires each applicant seeking assistance from FTA for the purpose of acquiring or operating any public transportation equipment or facilities to make the following agreement regarding the provision of school bus services. 49 CFR § 605.15.

(a) If the applicant is not authorized by the FTA Administrator under 49 CFR § 605.11 to

engage in school bus operations, the applicant agrees and certifies as follows: (1) The applicant and any operator of project equipment agrees that it will not engage

in school bus operations in competition with private school bus operators. (2) The applicant agrees that it will not engage in any practice which constitutes a

means of avoiding the requirements of this agreement, part 605 of the Federal Mass Transit Regulations, or section 164(b) of the Federal-Aid Highway Act of 1973 (49 U.S.C. 1602a(b)).

(b) If the applicant is authorized or obtains authorization from the FTA Administrator to engage in school bus operations under 49 CFR § 605.11, the applicant agrees as follows: (1) The applicant agrees that neither it nor any operator of project equipment will

engage in school bus operations in competition with private school bus operators except as provided herein.

(2) The applicant, or any operator of project equipment, agrees to promptly notify the FTA Administrator of any changes in its operations which might jeopardize the continuation of an exemption under § 605.11.

(3) The applicant agrees that it will not engage in any practice which constitutes a means of avoiding the requirements of this agreement, part 605 of the Federal Transit Administration regulations or section 164(b) of the Federal-Aid Highway Act of 1973 (49 U.S.C. 1602a(b)).

(4) The applicant agrees that the project facilities and equipment shall be used for the provision of mass transportation services within its urban area and that any other

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use of project facilities and equipment will be incidental to and shall not interfere with the use of such facilities and equipment in mass transportation service to the public.

CATEGORY 6. TRANSIT ASSET MANAGEMENT PLAN.

If the applicant owns, operates, or manages capital assets used to provide public transportation, the following certification is required by 49 U.S.C. § 5326(a).

The applicant certifies that it is in compliance with 49 CFR Part 625.

CATEGORY 7. ROLLING STOCK BUY AMERICA REVIEWS AND BUS TESTING.

7.1. Rolling Stock Buy America Reviews.

If the applicant will apply for an award to acquire rolling stock for use in revenue service, it must make this certification. This certification is required by 49 CFR § 663.7.

The applicant certifies that it will conduct or cause to be conducted the pre-award and post- delivery audits prescribed by 49 CFR Part 663 and will maintain on file the certifications required by Subparts B, C, and D of 49 CFR Part 663.

7.2. Bus Testing.

If the applicant will apply for funds for the purchase or lease of any new bus model, or any bus model with a major change in configuration or components, the applicant must make this certification. This certification is required by 49 CFR § 665.7.

The applicant certifies that the bus was tested at the Bus Testing Facility and that the bus received a passing test score as required by 49 CFR Part 665. The applicant has received or will receive the appropriate full Bus Testing Report and any applicable partial testing reports before final acceptance of the first vehicle.

CATEGORY 8. URBANIZED AREA FORMULA GRANTS PROGRAM.

If the applicant will apply for an award under the Urbanized Area Formula Grants Program (49 U.S.C. § 5307), or any other program or award that is subject to the requirements of 49 U.S.C. § 5307, including the Formula Grants for the Enhanced Mobility of Seniors Program (49 U.S.C. § 5310); “flex funds” from infrastructure programs administered by the Federal Highways Administration (see 49 U.S.C. § 5334(i)); projects that will receive an award authorized by the Transportation Infrastructure Finance and Innovation Act (“TIFIA”) (23 U.S.C. §§ 601–609) or State Infrastructure Bank Program (23 U.S.C. § 610) (see 49 U.S.C. § 5323(o)); formula awards or competitive awards to urbanized areas under the Grants for

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Buses and Bus Facilities Program (49 U.S.C. § 5339(a) and (b)); or low or no emission awards to any area under the Grants for Buses and Bus Facilities Program (49 U.S.C. § 5339(c)), the applicant must make the following certification. This certification is required by 49 U.S.C. § 5307(c)(1).

The applicant certifies that it:

(a) Has or will have the legal, financial, and technical capacity to carry out the program ofprojects (developed pursuant 49 U.S.C. § 5307(b)), including safety and security aspectsof the program;

(b) Has or will have satisfactory continuing control over the use of equipment and facilities;(c) Will maintain equipment and facilities in accordance with the applicant’s transit asset

management plan;(d) Will ensure that, during non-peak hours for transportation using or involving a facility or

equipment of a project financed under this section, a fare that is not more than 50 percentof the peak hour fare will be charged for any—(1) Senior;(2) Individual who, because of illness, injury, age, congenital malfunction, or any

other incapacity or temporary or permanent disability (including an individualwho is a wheelchair user or has semi-ambulatory capability), cannot use a publictransportation service or a public transportation facility effectively without specialfacilities, planning, or design; and

(3) Individual presenting a Medicare card issued to that individual under title II orXVIII of the Social Security Act (42 U.S.C. §§ 401 et seq., and 1395 et seq.);

(e) In carrying out a procurement under 49 U.S.C. § 5307, will comply with 49 U.S.C.§§ 5323 (general provisions) and 5325 (contract requirements);

(f) Has complied with 49 U.S.C. § 5307(b) (program of projects requirements);(g) Has available and will provide the required amounts as provided by 49 U.S.C. § 5307(d)

(cost sharing);(h) Will comply with 49 U.S.C. §§ 5303 (metropolitan transportation planning) and 5304

(statewide and nonmetropolitan transportation planning);(i) Has a locally developed process to solicit and consider public comment before raising a

fare or carrying out a major reduction of transportation;(j) Either—

(1) Will expend for each fiscal year for public transportation security projects,including increased lighting in or adjacent to a public transportation system(including bus stops, subway stations, parking lots, and garages), increasedcamera surveillance of an area in or adjacent to that system, providing anemergency telephone line to contact law enforcement or security personnel in anarea in or adjacent to that system, and any other project intended to increase thesecurity and safety of an existing or planned public transportation system, at least

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1 percent of the amount the recipient receives for each fiscal year under 49 U.S.C. § 5336; or

(2) Has decided that the expenditure for security projects is not necessary;(k) In the case of an applicant for an urbanized area with a population of not fewer than

200,000 individuals, as determined by the Bureau of the Census, will submit an annualreport listing projects carried out in the preceding fiscal year under 49 U.S.C. § 5307 forassociated transit improvements as defined in 49 U.S.C. § 5302; and

(l) Will comply with 49 U.S.C. § 5329(d) (public transportation agency safety plan).

CATEGORY 9. FORMULA GRANTS FOR RURAL AREAS.

If the applicant will apply for funds made available to it under the Formula Grants for Rural Areas Program (49 U.S.C. § 5311), it must make this certification. Paragraph (a) of this certification helps FTA make the determinations required by 49 U.S.C. § 5310(b)(2)(C). Paragraph (b) of this certification is required by 49 U.S.C. § 5311(f)(2). Paragraph (c) of this certification, which applies to funds apportioned for the Appalachian Development Public Transportation Assistance Program, is necessary to enforce the conditions of 49 U.S.C. § 5311(c)(2)(D).

(a) The applicant certifies that its State program for public transportation service projects,including agreements with private providers for public transportation service—(1) Provides a fair distribution of amounts in the State, including Indian reservations;

and(2) Provides the maximum feasible coordination of public transportation service

assisted under 49 U.S.C. § 5311 with transportation service assisted by otherFederal sources; and

(b) If the applicant will in any fiscal year expend less than 15% of the total amount madeavailable to it under 49 U.S.C. § 5311 to carry out a program to develop and supportintercity bus transportation, the applicant certifies that it has consulted with affectedintercity bus service providers, and the intercity bus service needs of the State are beingmet adequately.

(c) If the applicant will use for a highway project amounts that cannot be used for operatingexpenses authorized under 49 U.S.C. § 5311(c)(2) (Appalachian Development PublicTransportation Assistance Program), the applicant certifies that—(1) It has approved the use in writing only after providing appropriate notice and an

opportunity for comment and appeal to affected public transportation providers;and

(2) It has determined that otherwise eligible local transit needs are being addressed.

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CATEGORY 10. FIXED GUIDEWAY CAPITAL INVESTMENT GRANTS AND THE EXPEDITED PROJECT DELIVERY FOR CAPITAL INVESTMENT GRANTS

PILOT PROGRAM. If the applicant will apply for an award under any subsection of the Fixed Guideway Capital Investment Program (49 U.S.C. § 5309), including an award made pursuant to the FAST Act’s Expedited Project Delivery for Capital Investment Grants Pilot Program (Pub. L. 114-94, div. A, title III, § 3005(b)), the applicant must make the following certification. This certification is required by 49 U.S.C. § 5309(c)(2) and Pub. L. 114-94, div. A, title III, § 3005(b)(3)(B).


(a) Has or will have the legal, financial, and technical capacity to carry out its Award,

including the safety and security aspects of that Award, (b) Has or will have satisfactory continuing control over the use of equipment and facilities

acquired or improved under its Award. (c) Will maintain equipment and facilities acquired or improved under its Award in

accordance with its transit asset management plan; and (d) Will comply with 49 U.S.C. §§ 5303 (metropolitan transportation planning) and 5304

(statewide and nonmetropolitan transportation planning).

CATEGORY 11. GRANTS FOR BUSES AND BUS FACILITIES AND LOW OR NO EMISSION VEHICLE DEPLOYMENT GRANT PROGRAMS.

If the applicant is in an urbanized area and will apply for an award under subsection (a) (formula grants) or subsection (b) (competitive grants) of the Grants for Buses and Bus Facilities Program (49 U.S.C. § 5339), the applicant must make the certification in Category 8 for Urbanized Area Formula Grants (49 U.S.C. § 5307). This certification is required by 49 U.S.C. § 5339(a)(3) and (b)(6), respectively.

If the applicant is in a rural area and will apply for an award under subsection (a) (formula grants) or subsection (b) (competitive grants) of the Grants for Buses and Bus Facilities Program (49 U.S.C. § 5339), the applicant must make the certification in Category 9 for Formula Grants for Rural Areas (49 U.S.C. § 5311). This certification is required by 49 U.S.C. § 5339(a)(3) and (b)(6), respectively.

If the applicant, regardless of whether it is in an urbanized or rural area, will apply for an award under subsection (c) (low or no emission vehicle grants) of the Grants for Buses and Bus Facilities Program (49 U.S.C. § 5339), the applicant must make the certification in Category 8 for Urbanized Area Formula Grants (49 U.S.C. § 5307). This certification is required by 49 U.S.C. § 5339(c)(3).

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Making this certification will incorporate by reference the applicable certifications in Category 8 or Category 9.

CATEGORY 12. ENHANCED MOBILITY OF SENIORS AND INDIVIDUALS WITH

DISABILITIES PROGRAMS. If the applicant will apply for an award under the Formula Grants for the Enhanced Mobility of Seniors and Individuals with Disabilities Program (49 U.S.C. § 5310), it must make the certification in Category 8 for Urbanized Area Formula Grants (49 U.S.C. § 5307). This certification is required by 49 U.S.C. § 5310(e)(1). Making this certification will incorporate by reference the certification in Category 8, except that FTA has determined that (d), (f), (i), (j), and (k) of Category 8 do not apply to awards made under 49 U.S.C. § 5310 and will not be enforced.

In addition to the certification in Category 8, the applicant must make the following certification that is specific to the Formula Grants for the Enhanced Mobility of Seniors and Individuals with Disabilities Program. This certification is required by 49 U.S.C. § 5310(e)(2).

The applicant certifies that:

(a) The projects selected by the applicant are included in a locally developed, coordinated

public transit-human services transportation plan; (b) The plan described in clause (a) was developed and approved through a process that

included participation by seniors, individuals with disabilities, representatives of public, private, and nonprofit transportation and human services providers, and other members of the public;

(c) To the maximum extent feasible, the services funded under 49 U.S.C. § 5310 will be coordinated with transportation services assisted by other Federal departments and agencies, including any transportation activities carried out by a recipient of a grant from the Department of Health and Human Services; and

(d) If the applicant will allocate funds received under 49 U.S.C. § 5310 to subrecipients, it will do so on a fair and equitable basis.

CATEGORY 13. STATE OF GOOD REPAIR GRANTS.

If the applicant will apply for an award under FTA’s State of Good Repair Grants Program (49 U.S.C. § 5337), it must make the following certification. Because FTA generally does not review the transit asset management plans of public transportation providers, this certification is necessary to enforce the provisions of 49 U.S.C. § 5337(a)(4).

The applicant certifies that the projects it will carry out using assistance authorized by the State of Good Repair Grants Program, 49 U.S.C. § 5337, are aligned with the applicant’s most recent

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transit asset management plan and are identified in the investment and prioritization section of such plan, consistent with the requirements of 49 CFR Part 625.

CATEGORY 14. INFRASTRUCTURE FINANCE PROGRAMS.

If the applicant will apply for an award for a project that will include assistance under the Transportation Infrastructure Finance and Innovation Act (“TIFIA”) Program (23 U.S.C. §§ 601–609) or the State Infrastructure Banks (“SIB”) Program (23 U.S.C. § 610), it must make the certifications in Category 8 for the Urbanized Area Formula Grants Program, Category 10 for the Fixed Guideway Capital Investment Grants program, and Category 13 for the State of Good Repair Grants program. These certifications are required by 49 U.S.C. § 5323(o).

Making this certification will incorporate the certifications in Categories 8, 10, and 13 by reference.

CATEGORY 15. ALCOHOL AND CONTROLLED SUBSTANCES TESTING.

If the applicant will apply for an award under FTA’s Urbanized Area Formula Grants Program (49 U.S.C. § 5307), Fixed Guideway Capital Investment Program (49 U.S.C. § 5309), Formula Grants for Rural Areas Program (49 U.S.C. § 5311), or Grants for Buses and Bus Facilities Program (49 U.S.C. § 5339) programs, the applicant must make the following certification. The applicant must make this certification on its own behalf and on behalf of its subrecipients and contractors. This certification is required by 49 CFR § 655.83.

The applicant certifies that it, its subrecipients, and its contractors are compliant with FTA’s regulation for the Prevention of Alcohol Misuse and Prohibited Drug Use in Transit Operations, 49 CFR Part 655.

CATEGORY 16. RAIL SAFETY TRAINING AND OVERSIGHT.

If the applicant is a State with at least one rail fixed guideway system, or is a State Safety Oversight Agency, or operates a rail fixed guideway system, it must make the following certification. The elements of this certification are required by 49 CFR §§ 659.43, 672.31, and 674.39.

The applicant certifies that the rail fixed guideway public transportation system and the State Safety Oversight Agency for the State are:

(a) Compliant with the requirements of 49 CFR Part 659, “Rail Fixed Guideway Systems;

State Safety Oversight”; (b) Compliant with the requirements of 49 CFR Part 672, “Public Transportation Safety

Certification Training Program”; and (c) Compliant with the requirements of 49 CFR Part 674, “Sate Safety Oversight”.

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CATEGORY 17. DEMAND RESPONSIVE SERVICE. If the applicant operates demand responsive service and will apply for an award to purchase a non-rail vehicle that is not accessible within the meaning of 49 CFR Part 37, it must make the following certification. This certification is required by 49 CFR § 37.77.

The applicant certifies that the service it provides to individuals with disabilities is equivalent to that provided to other persons. A demand responsive system, when viewed in its entirety, is deemed to provide equivalent service if the service available to individuals with disabilities, including individuals who use wheelchairs, is provided in the most integrated setting appropriate to the needs of the individual and is equivalent to the service provided other individuals with respect to the following service characteristics:

(a) Response time; (b) Fares; (c) Geographic area of service; (d) Hours and days of service; (e) Restrictions or priorities based on trip purpose; (f) Availability of information and reservation capability; and (g) Any constraints on capacity or service availability.

CATEGORY 18. INTEREST AND FINANCING COSTS.

If the applicant will pay for interest or other financing costs of a project using assistance awarded under the Urbanized Area Formula Grants Program (49 U.S.C. § 5307), the Fixed Guideway Capital Investment Grants Program (49 U.S.C. § 5309), or any program that must comply with the requirements of 49 U.S.C. § 5307, including the Formula Grants for the Enhanced Mobility of Seniors Program (49 U.S.C. § 5310), “flex funds” from infrastructure programs administered by the Federal Highways Administration (see 49 U.S.C. § 5334(i)), or awards to urbanized areas under the Grants for Buses and Bus Facilities Program (49 U.S.C. § 5339), the applicant must make the following certification. This certification is required by 49 U.S.C. §§ 5307(e)(3) and 5309(k)(2)(D).


(a) Its application includes the cost of interest earned and payable on bonds issued by the

applicant only to the extent proceeds of the bonds were or will be expended in carrying out the project identified in its application; and

(b) The applicant has shown or will show reasonable diligence in seeking the most favorable financing terms available to the project at the time of borrowing.

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CATEGORY 19. CONSTRUCTION HIRING PREFERENCES. If the applicant will ask FTA to approve the use of geographic, economic, or any other hiring preference not otherwise authorized by law on any contract or construction project to be assisted with an award from FTA, it must make the following certification. This certification is required by the Consolidated Appropriations Act, 2021, Pub. L. 116-260, div. L, title I, § 199(b).

The applicant certifies the following:

(a) That except with respect to apprentices or trainees, a pool of readily available but

unemployed individuals possessing the knowledge, skill, and ability to perform the work that the contract requires resides in the jurisdiction;

(b) That the grant recipient will include appropriate provisions in its bid document ensuring that the contractor does not displace any of its existing employees in order to satisfy such hiring preference; and

(c) That any increase in the cost of labor, training, or delays resulting from the use of such hiring preference does not delay or displace any transportation project in the applicable Statewide Transportation Improvement Program or Transportation Improvement Program.

CATEGORY 20. CYBERSECURITY CERTIFICATION FOR RAIL ROLLING STOCK

AND OPERATIONS. If the applicant operates a rail fixed guideway public transportation system, it must make this certification. This certification is required by 49 U.S.C. § 5323(v), a new subsection added by the National Defense Authorization Act for Fiscal Year 2020, Pub. L. 116-92, § 7613 (Dec. 20, 2019). For information about standards or practices that may apply to a rail fixed guideway public transportation system, visit https://www.nist.gov/cyberframework and https://www.cisa.gov/.

The applicant certifies that it has established a process to develop, maintain, and execute a written plan for identifying and reducing cybersecurity risks that complies with the requirements of 49 U.S.C. § 5323(v)(2).

CATEGORY 21. PUBLIC TRANSPORTATION ON INDIAN RESERVATIONS

FORMULA AND DISCRETIONARY PROGRAM (TRIBAL TRANSIT PROGRAMS).

Before FTA may provide Federal assistance for an Award financed under either the Public Transportation on Indian Reservations Formula or Discretionary Program authorized under 49 U.S.C. § 5311(c)(1), as amended by the FAST Act, (Tribal Transit Programs), the applicant must select the Certifications in Category 21, except as FTA determines otherwise in writing.

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http://www.nist.gov/cyberframework

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Tribal Transit Program applicants may certify to this Category and Category 1 (Certifications and Assurances Required of Every Applicant) and need not make any other certification, to meet Tribal Transit Program certification requirements. If an applicant will apply for any program in addition to the Tribal Transit Program, additional certifications may be required.

FTA has established terms and conditions for Tribal Transit Program grants financed with Federal assistance appropriated or made available under 49 U.S.C. § 5311(c)(1). The applicant certifies that:

(a) It has or will have the legal, financial, and technical capacity to carry out its Award,

including the safety and security aspects of that Award. (b) It has or will have satisfactory continuing control over the use of its equipment and

facilities acquired or improved under its Award. (c) It will maintain its equipment and facilities acquired or improved under its Award, in

accordance with its transit asset management plan and consistent with FTA regulations, “Transit Asset Management,” 49 CFR Part 625. Its Award will achieve maximum feasible coordination with transportation service financed by other federal sources.

(d) With respect to its procurement system: (1) It will have a procurement system that complies with U.S. DOT regulations,

“Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards,” 2 CFR Part 1201, which incorporates by reference U.S. OMB regulatory guidance, “Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards,” 2 CFR Part 200, for Awards made on or after December 26, 2014,

(2) It will have a procurement system that complies with U.S. DOT regulations, “Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments,” 49 CFR Part 18, specifically former 49 CFR § 18.36, for Awards made before December 26, 2014, or

(3) It will inform FTA promptly if its procurement system does not comply with either of those U.S. DOT regulations.

(e) It will comply with the Certifications, Assurances, and Agreements in: (1) Category 05.1 and 05.2 (Charter Service Agreement and School Bus Agreement), (2) Category 06 (Transit Asset Management Plan), (3) Category 07.1 and 07.2 (Rolling Stock Buy America Reviews and Bus Testing), (4) Category 09 (Formula Grants for Rural Areas), (5) Category 15 (Alcohol and Controlled Substances Testing), and (6) Category 17 (Demand Responsive Service).

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FEDERAL FISCAL YEAR 2021 CERTIFICATIONS AND ASSURANCES FOR FTA ASSISTANCE PROGRAMS

(Signature pages alternate to providing Certifications and Assurances in TrAMS.)

Name of Applicant:

The Applicant certifies to the applicable provisions of categories 01–21.

Or,

The Applicant certifies to the applicable provisions of the categories it has selected:

Category Certification

1 Certifications and Assurances Required of Every Applicant

2 Public Transportation Agency Safety Plans

3 Tax Liability and Felony Convictions

4 Lobbying

5 Private Sector Protections

6 Transit Asset Management Plan

7 Rolling Stock Buy America Reviews and Bus Testing

8 Urbanized Area Formula Grants Program

9 Formula Grants for Rural Areas

10 Fixed Guideway Capital Investment Grants and the Expedited Project Delivery for Capital Investment Grants Pilot Program

11 Grants for Buses and Bus Facilities and Low or No Emission Vehicle Deployment Grant Programs

X

X

X

X

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12 Enhanced Mobility of Seniors and Individuals with Disabilities Programs

13 State of Good Repair Grants

14 Infrastructure Finance Programs

15 Alcohol and Controlled Substances Testing

16 Rail Safety Training and Oversight

17 Demand Responsive Service

18 Interest and Financing Costs

19 Construction Hiring Preferences

20 Cybersecurity Certification for Rail Rolling Stock and Operations

21 Tribal Transit Programs

FEDERAL FISCAL YEAR 2021 FTA CERTIFICATIONS AND ASSURANCES SIGNATURE PAGE

(Required of all Applicants for federal assistance to be awarded by FTA in FY 2021)

AFFIRMATION OF APPLICANT

Name of the Applicant:

BY SIGNING BELOW, on behalf of the Applicant, I declare that it has duly authorized me to make these Certifications and Assurances and bind its compliance. Thus, it agrees to comply with all federal laws, regulations, and requirements, follow applicable federal guidance, and comply with the Certifications and Assurances as indicated on the foregoing page applicable to each application its Authorized Representative makes to the Federal Transit Administration (FTA) in federal fiscal year 2021, irrespective of whether the individual that acted on his or her Applicant’s behalf continues to represent it.

FTA intends that the Certifications and Assurances the Applicant selects on the other side of this document should apply to each Award for which it now seeks, or may later seek federal assistance to be awarded during federal fiscal year 2021.

The Applicant affirms the truthfulness and accuracy of the Certifications and Assurances it has selected in the statements submitted with this document and any other submission made to FTA, and acknowledges that the Program Fraud Civil Remedies Act of 1986, 31 U.S.C. § 3801 et seq., and implementing U.S. DOT regulations, “Program Fraud Civil Remedies,” 49 CFR part 31, apply to any certification, assurance or submission made to

X

X

X

County of Kane

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FTA. The criminal provisions of 18 U.S.C. § 1001 apply to any certification, assurance, or submission made in connection with a federal public transportation program authorized by 49 U.S.C. chapter 53 or any other statute

In signing this document, I declare under penalties of perjury that the foregoing Certifications and Assurances, and any other statements made by me on behalf of the Applicant are true and accurate.

Signature Date:

Name Authorized Representative of Applicant

AFFIRMATION OF APPLICANT’S ATTORNEY

For (Name of Applicant):

As the undersigned Attorney for the above-named Applicant, I hereby affirm to the Applicant that it has authority under state, local, or tribal government law, as applicable, to make and comply with the Certifications and Assurances as indicated on the foregoing pages. I further affirm that, in my opinion, the Certifications and Assurances have been legally made and constitute legal and binding obligations on it.

I further affirm that, to the best of my knowledge, there is no legislation or litigation pending or imminent that might adversely affect the validity of these Certifications and Assurances, or of the performance of its FTA assisted Award.

Signature Date:

Name Attorney for Applicant

Each Applicant for federal assistance to be awarded by FTA must provide an Affirmation of Applicant’s Attorney pertaining to the Applicant’s legal capacity. The Applicant may enter its electronic signature in lieu of the Attorney’s signature within TrAMS, provided the Applicant has on file and uploaded to TrAMS this hard-copy Affirmation, signed by the attorney and dated this federal fiscal year.

County of Kane

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EXHIBIT D

INSTRUCTIONS FOR ANNUAL CERTIFICATION TO COMPLY WITH CODE OF FEDERAL REGULATIONS (CFR) – TITLE 2, PART 200

Project Name:

Does this Project receive federal funds? Yes No

Amount of federal funds:

Federal Project Number: IL-2020-016 CFDA Number*, Federal Agency, Program Title: 20.513

*For CFDA (Catalog of Federal Domestic Assistance) Number, refer to original Federal Award/Grant Agreement.

The Regional Transportation Authority (RTA) is required by federal law to obtain and review the single audit of all Grantees that had any federally participating funds pass through it, irrespective of the amount provided by the RTA. It is the responsibility of the Grantee expending federal funds to comply with the requirements of CFR, Title 2, Part 200 and determine whether they are required to have a single audit performed. Therefore, in accordance with CFR, Title 2-Subtitle A, Chapter II, Part 200, Subpart F, Audit Requirements, you are required to have a single audit performed if $750,000 or more in federal awards from all sources including other agencies were expended in the fiscal year. To comply with this provision, the following must be submitted:

• The Grantee must submit to the RTA the attached Certification Form annually within onemonth of the close of the fiscal year.

• If applicable, a copy of the report of the single audit must be submitted no more than ninemonths after the end of the Grantee’s fiscal year.

If your agency receives multiple awards from the RTA, only one annual submittal of this information is required.

The single audit must be comprised of four parts. The Grantee has the option of including the four parts in one report or a combination of reports. The four parts are commonly known as:

1. Comprehensive Annual Financial Report (Financial Statements).2. Schedule of Expenditures of Federal Awards and Independent Auditor’s Report thereon.3. Independent Auditor’s Report on Internal Control over Financial Reporting and on Compliance

and other matters based on an Audit of Financial Statements performed in accordance withGovernment Auditing Standards.

4. Independent Auditor’s Report on Compliance with Requirements Applicable to each MajorProgram and on Internal Control over Compliance in accordance with CFR, Title 2, Part 200.

Additional information which should be submitted to RTA, if applicable:

1. Corrective Action Plan(s)2. Management Letter3. Status of Prior Year Findings

Ride in Kane Phase 17 & 18

$2,497,996.00

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CODE OF FEDERAL REGULATIONS (CFR) – TITLE 2, PART 200 AUDIT REQUIREMENTS CERTIFICATION FORM

Grantee’s Legal Name:

Grantee’s Address:

Grantee’s Fiscal Year*: ________________________________ (month) (day) (year) (month) (day) (year)

*A fiscal year (or financial year, or sometimes budget year) is a period used for calculating annual ("yearly")financial statements in businesses and other organizations. The fiscal year is not your TSA contract period. Pleaseindicate above the fiscal year this certification covers.

Project Name(s): Please (1) check the appropriate box, (2) sign below, and (3) return this certification to the address below.

I certify our agency did not expend $750,000 or more in federal awards during the fiscal year entered above and was not required to have a single audit conducted.

Our agency will submit the audit no more than nine months after the end of the fiscal year.

Grantee’s Signature: Date:

Print Name and Title:

Phone: (______) E-Mail:

Please email to: Lalaine Alvarez Director, Audit (312) [email protected]

County of Kane


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Section 5310 Page 1 of 30 Program Management Plan

REPORT TITLE Subtitle (optional)

Month 20XX (required)

Section 5310

Program Management Plan

March 2021

Exhibit E

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Contents INTRODUCTION ..................................................................................................................... 4

Overview of the Regional Transportation Authority ...................................................................... 4

Overview of the Section 5310 Program .......................................................................................... 4

Overview of the Program Management Plan ................................................................................. 4

PROGRAM GOALS & OBJECTIVES ........................................................................................... 5

ROLES & RESPONSIBILITIES .................................................................................................... 6

Federal Transit Administration (FTA) .............................................................................................. 6

HSTP Project Advisory Committee (PAC) ........................................................................................ 6

Project Selection Team (PST) .......................................................................................................... 6

Regional Transportation Authority (RTA) ....................................................................................... 6

Illinois Department of Transportation (IDOT)................................................................................. 7

Chicago Metropolitan Agency for Planning (CMAP) ....................................................................... 7

COORDINATION .................................................................................................................... 8

The Coordinated Public Transit – Human Services Transportation Plan ........................................ 8

ELIGIBLE SUBRECIPIENTS ....................................................................................................... 8

LOCAL SHARE & LOCAL FUNDING REQUIREMENTS ................................................................. 9

PROJECT SELECTION CRITERIA & METHOD OF DISTRIBUTING FUNDS .................................... 10

Overview of Project Selection and Funding Allocation Process ................................................... 10

CRRSAA Apportionment Allocation .............................................................................................. 11

Project Selection Criteria .............................................................................................................. 11

Prospective Applicant Outreach Process ...................................................................................... 12

ANNUAL PROGRAM OF PROJECTS DEVELOPMENT & APPROVAL PROCESS ............................ 13

Program of Projects Development ............................................................................................... 13

Approval Process Overview .......................................................................................................... 13

ADMINISTRATION, PLANNING & TECHNICAL ASSISTANCE .................................................... 13

TRANSFER OF FUNDS ........................................................................................................... 14

PRIVATE SECTOR PARTICIPATION......................................................................................... 14

CIVIL RIGHTS ....................................................................................................................... 14

SECTION 504 & ADA REPORTING.......................................................................................... 16

PROGRAM PERFORMANCE MEASURES ................................................................................ 16

PROGRAM MANAGEMENT .................................................................................................. 17

Subrecipient Awardee Requirements ........................................................................................... 17

Operators and Providers as Subcontractors .......................................................................... 18

Procurement .......................................................................................................................... 18

Liquidated Damages Provisions ............................................................................................. 18

Contract Award Announcement ............................................................................................ 19

Contract Provisions ................................................................................................................ 19

Cost Principles and Cost Allocation............................................................................................... 19

Policy ...................................................................................................................................... 19

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Application of Cost Principles in Grants Management .......................................................... 20

Allowability of Costs .............................................................................................................. 20

Direct Costs ............................................................................................................................ 21

Indirect Costs ......................................................................................................................... 21

Designated Recipient Program Management .............................................................................. 21

The Review Process for Subrecipients .................................................................................... 22

Desk Review ........................................................................................................................... 23

Site Visit ................................................................................................................................. 23

Compliance Review Report .................................................................................................... 24

Accounting Systems and Audit ..................................................................................................... 24

Closeout Procedures ..................................................................................................................... 25

Subrecipient Closeout ............................................................................................................ 25

FTA Closeout .......................................................................................................................... 25

OTHER PROVISIONS ............................................................................................................. 26

Title VI Nondiscrimination ............................................................................................................ 26

Equal Employment Opportunity (EEO) ......................................................................................... 26

Section 504 of the Federal Transit Act .......................................................................................... 26

Americans with Disabilities Act ..................................................................................................... 26

Bus Testing Regulations ................................................................................................................ 26

Restrictions on Lobbying ............................................................................................................... 27

Purchasing, including Buy America ............................................................................................... 27

Maintenance, Satisfactory Continuing Control, Section 504 and ADA ......................................... 27

Safety and Security ....................................................................................................................... 28

Charter Bus and School Bus .......................................................................................................... 28

Drug-Free Workplace and Drug and Alcohol Testing ................................................................... 29

Labor Protections .......................................................................................................................... 29

PROGRAM MANAGEMENT PLAN REVISIONS ........................................................................ 29

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INTRODUCTION

Overview of the Regional Transportation Authority The Illinois State Legislature created the RTA in 1974 to provide public transportation in the six counties of Cook, DuPage, Kane, Lake, McHenry, and Will Counties. The RTA, governed by a 16-member Board, is responsible for fiscal planning and policy oversight of public transportation in the six county RTA region. The actual operation of transit services is the responsibility of the RTA's service boards: the Chicago Transit Authority (CTA), the Commuter Rail Division (Metra), and the Suburban Bus Division (Pace).

Overview of the Section 5310 Program The Enhanced Mobility of Seniors and Individuals with Disabilities Program (Section 5310) is a federal program administered by the Federal Transit Administration (FTA). The goal of the program is to improve mobility for seniors and individuals with disabilities throughout the country by removing barriers to transportation service and expanding transportation mobility options. The program supports transportation services planned, designed, and carried out to meet the special transportation needs of seniors and individuals with disabilities. Toward this goal, FTA provides financial assistance for transportation services planned, designed, and carried out to meet the special transportation needs of seniors and individuals with disabilities in all areas—large urbanized, small urbanized, and rural.

The Governor of Illinois designated the RTA to receive and dispense FTA Section 5310 funds. The RTA as the designated recipient is responsible for overseeing and administering a portion of the Section 5310 program in Northeastern Illinois that includes the six-county RTA region, comprising Cook, DuPage, Kane, Lake, McHenry and Will counties, plus the urbanized portions of Kendall County, Sandwich Township (DeKalb County), Somonauk Township (DeKalb County), and Aux Sable Township (Grundy County). The Illinois Department of Transportation (IDOT) is co-designated recipient of Section 5310 funding, and administers the vehicle purchasing through its Combined Vehicle Purchase Program.

Overview of the Program Management Plan This Program Management Plan (PMP) describes the Regional Transportation Authority’s (RTA) policies and procedures for administering the Federal Transit Administration (FTA) Section 5310 Enhanced Mobility of Seniors and Individuals with Disabilities Program. The RTA developed the PMP in accordance with current Federal Transit Laws and regulations as well as Circular 9070.1G. The PMP facilitates RTA’s management and administration of the Section 5310 program in accordance with federal requirements. It also serves as a Section 5310 program guide to the general public and prospective applicants and will assist the FTA in its oversight responsibilities by documenting RTA’s procedures and policies for administering these programs. As the designated recipient, the RTA is required to have an approved PMP on file with the FTA Region V office and to update it regularly to incorporate any changes in program management or new requirements. The PMP will be incorporated by reference and made a part of every Technical Services Agreement (TSA) between the RTA and any subrecipient of Section 5310 funds.

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The RTA continues to monitor the Job Access/Reverse Commute (JARC) program1, an activity that will continue through close-out of the active grants and will continue to be administered as delineated in the RTA’s JARC/NF Program Management Plan.

PROGRAM GOALS & OBJECTIVES The following goals were developed in coordination with the Human Services Transportation Plan (HSTP) Project Advisory Committee, a group of regional stakeholders who serve as an advisory committee to the RTA:

• Improve mobility for seniors and individuals with disabilities throughout Northeastern Illinois by removing barriers to transportation services and expanding the transportation mobility options available. Toward this goal, RTA will provide financial and technical assistance to prospective awardees and recipients of Section 5310 funding for transportation services planned, designed, and carried out to meet the special transportation needs of seniors and individuals with disabilities.

• Meet the federal requirements associated with receiving FTA funding Section 5310.

• Develop projects that encourage local coordination efforts.

• Facilitate the flow and appropriate level of Section 5310 program funding to the region by ensuring that the HSTP fully complies with the federal regulations and with the spirit and intent of the Section 5310 Program.

• Establish a framework by which proposed projects requesting Section 5310 program funding can be solicited and selected through a fair and equitable process.

• Ensure that all components of the Plan/Programs have benefited from a comprehensive public involvement effort that has effectively reached out to public, private, and non-profit transportation providers, human services providers and other stakeholders representing persons with disabilities, seniors, and the general public.

• Encourage not only coordination among services supported by the Section 5310 Program, but also coordination among the broad array of community transportation services in the seven-county region.

1 The federally funded Job Access Reverse Commute (JARC) program provided operating and capital assistance for transportation services that met the needs of low-income individuals and of reverse commuters. The New Freedom program provided public transportation alternatives beyond those required by the Americans with Disabilities Act. The RTA administered these two programs until 2013, when the JARC program was ended and the New Freedom program was rolled into the Section 5310 program.

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ROLES & RESPONSIBILITIES

Federal Transit Administration (FTA) The FTA, through its Region V Office in Chicago, has federal oversight responsibilities over local public and specialized transportation assistance programs. Regional responsibilities include reviewing and approving grant applications, program management plans, and grant management activities.

HSTP Project Advisory Committee (PAC) This committee of regional stakeholders helped update the Human Services Transportation Plan (HSTP). The members include representatives from the RTA Service Boards, IDOT, CMAP, the seven Northeastern Illinois counties, human services agencies that reflect populations of seniors, individuals with disabilities and low-income individuals and private non-profit and private for profit agencies. The HSTP PAC will continue to serve as an advisory body to the RTA, focusing on the ongoing implementation of the Section 5310 program.

Project Selection Team (PST) The project selection team (PST) is made up of seven representatives: two representatives from the Illinois Department of Transportation (IDOT), two from the RTA and two from the Chicago Metropolitan Agency for Planning (CMAP) and one from Easterseals. The PST members review each of the applications and score based on the criteria (identified later in this document) and recommend a Program of Projects that is released for public comment.

Regional Transportation Authority (RTA) The RTA as a designated recipient is responsible for overseeing and administering the Section 5310 Programs in Northeastern Illinois including the development a biennial Program of Projects (POP)2. In this capacity, the RTA also solicits applications, reviews and selects applications for funding, approves the POP, and submits the POP with the award applications to FTA. In addition, the RTA distributes award funds, conducts program planning, certifies the eligibility of applicants and project activities, monitors project activity for compliance with federal requirements, monitors usage of program assets by awardee, and oversees project

2 The Program of Projects (POP) consists of projects (and the associated budgets) selected by the project selection team from the pool of applications submitted during the call for projects.

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audit and close-out. The RTA also provides ongoing technical assistance to subrecipients and prospective subrecipients. RTA was responsible for leading the development of the HSTP and will be responsible for certifying that projects receiving Section 5310 funding were included in the HSTP. The RTA also staffs the HSTP Project Advisory Committee (PAC) and the Project Selection Team. The Project Selection Team is responsible for conducting the technical evaluation of project submittals in accordance with the HSTP.

Illinois Department of Transportation (IDOT) IDOT is a co-designated recipient of Section 5310 funds. The co-designation status was approved by the Chicago Metropolitan Agency for Planning (CMAP), the Metropolitan Planning Organization (MPO) for Northeastern Illinois. Under this arrangement, IDOT will be responsible for project selection and the award of Section 5310 funded paratransit vehicles and RTA will be responsible for all other Section 5310 projects.

IDOT will solicit applications for the Combined Vehicle Program (CVP), review the applications and select awardees. This funding will be for the purchase of lift and ramp-equipped paratransit vehicles for eligible program recipients. IDOT also remains the agency responsible for the management of that program. IDOT is a member of the HSTP PAC and a member of the Project Selection Team.

Chicago Metropolitan Agency for Planning (CMAP) The Chicago Metropolitan Agency for Planning (CMAP) is the regional planning agency for northeastern Illinois and staffs the MPO Policy Committee, which is designated as the region’s Metropolitan Planning Organization (MPO). CMAP has an established committee structure to help carry out the functions of the agency. Two of these committees, Human and Community Development and Transportation, also have specific roles with regard to the 5310 Program within the framework of their respective missions. The Human and Community Development Committee is made up of human service providers and advocates for older adults, persons with disabilities, and individuals with lower incomes. The committee is charged with providing advisory input to the CMAP board on proposed regional plans, projects, and policies from a human services based perspective. The RTA consults with this committee on the 5310 Program. The Human and Community Development Committee provided feedback on the updated HSTP. The CMAP Transportation Committee is charged with promoting a regional transportation system that is safe, efficient, and accessible while sustaining the region’s vision related to the natural environment, economic and community development, social equity, and public health. The Transportation Committee includes public and private transportation providers, IDOT, representatives of municipalities and the counties of Northeastern Illinois. The Transportation Committee is also responsible for recommending projects for inclusion in the region’s long-

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range plan and the region’s Transportation Improvement Program. The updated HSTP was presented to the CMAP Transportation Committee as well as the CMAP MPO Policy Committee for endorsement. Once a recommended POP is developed, it is submitted to the CMAP Human and Community Development Committee and CMAP Transportation Committee during the public comment period for information purposes. Two CMAP staff members also serve on the Project Selection Team. In addition, RTA has adopted the public participation requirements of the MPO in accordance with the FTA C 9030.1E Chapter V, Section 6d.

COORDINATION

The Coordinated Public Transit – Human Services Transportation Plan The Coordinated Public Transit-Human Service Transportation Plan (HSTP) was first developed in 2007 and updated in 2013 to reflect the creation of the Section 5310 program as part of new transportation legislation at the time, Moving Ahead for Progress in the 21st Century (MAP-21) and most recently updated in 2021. The updated HSTP is included in this document as Exhibit A.

The creation of the HSTP and subsequent updates to the document was a collaborative planning effort led by the RTA to identify and recommend regional and local strategies that encourage the most effective use of available community transportation services to enhance mobility for the region’s older adults, persons with disabilities and persons with low incomes. The scope of the project covered the seven counties of Cook, DuPage, Lake, Kane, McHenry, and Will, as well as urbanized portions of Kendall County, Aux Sable Township in Grundy County and Sandwich and Somonauk Townships in DeKalb County. Recommendations were derived from extensive outreach to stakeholders, riders and rider representatives.

Any projects to be funded with Section 5310 funding must be derived or included in a locally developed human services coordinated plan, such as the HSTP.

ELIGIBLE SUBRECIPIENTS Entities considered eligible under federal guidelines for the Section 5310 Programs are eligible for funding in Northeastern Illinois. Generally, private non-profit organizations, or state or local government authorities that: (1) is approved by a state to coordinate services for seniors and individuals with disabilities; or (2) certifies that there are no non-profit organizations readily available in the area to provide the service. Governmental authorities eligible to apply for Section 5310 funds as “coordinators of services for seniors and individuals with disabilities” are those designated by the state to coordinate human service activities in a particular area. Examples of

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such eligible governmental authorities are a county agency on aging or a public transit provider which the state has identified as the lead agency to coordinate transportation services funded by multiple federal or state human service programs. Private taxi companies that provide shared-ride taxi service to the general public on a regular basis are operators of public transportation, and therefore eligible subrecipients. “Shared-ride” means two or more passengers in the same vehicle who are otherwise not traveling together. Similar to general public and ADA demand response service, every trip does not have to be shared-ride in order for a taxi company to be considered a shared-ride operator, but the general nature of the service must include shared rides. The RTA encourages prospective applicants, which may not have the resources to assume the responsibilities of a subrecipient, to consider partnering with an RTA Service Board when the proposed project is within the RTA six-county area. A successful partnering approach eases the administrative burden on the smaller or inexperienced agency, while allowing the public transit operator and partnering agency to pool their expertise to develop a successful project. The RTA is also responsible for entering into supplemental agreements, as necessary, with the RTA Service Boards: Chicago Transit Authority, Metra, and Pace, which, as Section 5307 direct recipients are eligible to be direct recipients for Section 5310 projects.

LOCAL SHARE & LOCAL FUNDING REQUIREMENTS The use of non-cash or soft match for Section 5310 projects is more restrictive than federal guidelines. RTA is allowing non-cash or soft match only for volunteer transportation program activities, physical improvements, computer hardware, and computer software. Restricting the use of non-cash match to certain activities is designed to be consistent with and supportive of developing sustainable projects, a policy that has been strongly supported by the PAC. Obtaining the local cash match for a project in its initial stages, combined with other forms of local support, is a strong indicator of the potential sustainability of the project and thereby is encouraged by this policy. Federal guidelines allow for non-cash match provided either through donations, volunteer services and in-kind contributions or through the use of transportation development credits3. The RTA has elected to permit only the use of cash match.

3 Under this provision, a state is permitted to use certain toll revenue capital expenditures as a credit toward the non-federal matching share of eligible Transit projects.

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If a project is providing service through a contract operator and the project meets the definition of a “traditional” capital project4, that awardee will still provide the equivalent of a 50% match for the contracted operations. The RTA retains discretion to allow for a 20% match (where allowable) in instances of financial need or hardship. This decision was reached to maintain equity among projects that are providing operations and to discourage additional reliance on federal assistance. One issue that was cited in the HSTP is the difficulty of achieving financial sustainability for these services. It was felt that increasing the federal share for projects is counterproductive to developing sustainable projects. Local match funding must be drawn down at the same rate as awarded Section 5310 funds. This is to prevent delayed FTA drawdowns and potential loss of FTA funding due to inactivity. IDOT will be responsible for the awarding and purchase of Section 5310 vehicles, as noted previously. RTA will not be accepting applications for vehicles.

PROJECT SELECTION CRITERIA & METHOD OF DISTRIBUTING FUNDS

Overview of Project Selection and Funding Allocation Process In determining a fair and equitable process for project selection, the PAC took into consideration the needs of projects that are still in operation and the need to allow for the implementation of new projects. The following describes the process for funding allocation in the region:

• Funds will be allocated to IDOT, the designated recipient that will be responsible for selecting and awarding paratransit vehicles grants, based on the recent annual average of Section 5310 paratransit vehicle awards to Northeastern Illinois recipients.

• The balance of the estimated apportionments each year will be available to RTA. RTA will use this amount to defray RTA administration costs (if needed) and award eligible Section 5310 projects to Northeastern Illinois recipients.

4 Section 5310(b) provides that of the amounts apportioned to states and designated recipients, not less than 55 percent shall be available for traditional Section 5310 projects—those public transportation capital projects planned, designed, and carried out to meet the special needs of seniors and individuals with disabilities when public transportation is insufficient, unavailable, or inappropriate. Further, the law provides that a recipient may allocate the funds apportioned to it to: a. A private nonprofit organization; or b. A state or local governmental authority that: is approved by a state to coordinate services for seniors and individuals with disabilities; or (2) certifies that there are no nonprofit organizations readily available in the area to provide the service.

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• A competitive call for projects is released on a biennial basis, which allows for awarding two years of funding to potential operating projects. Applications received will be screened for eligibility by RTA staff and the Project Selection Team

• The Project Selection Team utilizes criteria approved by the PAC. In the event RTA submits an application, the RTA will recuse itself from scoring its own application(s) to ensure a fair and transparent project selection process.

• Separately, IDOT will solicit and evaluate paratransit vehicle grant applications in fulfillment of their role as designated recipient for that portion of the program.

• The Project Selection Team may recommend project approval at an amount and scope less than originally requested for any Section 5310 project submitted for consideration. In that instance, consultation will take place with the project applicant. The Selection criteria is summarized in the next section; detailed application and selection criteria are included in Exhibit B.

CRRSAA Apportionment Allocation On December 27, 2020, the Coronavirus Response and Relief Supplemental Appropriations Act of 2021 (CRRSAA) was signed into law. CRRSAA included supplemental appropriations for COVID-19 relief for the transit industry, specifically including Section 5310. The RTA will award the full Section 5310 appropriation to Pace Suburban Bus to support their ongoing Regional Call Center operations, which support many ongoing Section 5310 operating projects. Any additional recovery funds appropriated in 2021 will be included in the RTA’s biennial Call for Projects.

Project Selection Criteria Projects are first screened to determine whether they meet the following eligibility criteria:

• The proposed project addresses eligibility criteria laid out in the Section 5310 circular (FTA C 9070.1G, page III-9)

• The proposed project application identifies and addresses an unmet need identified in the HSTP

• A local match will be supplied

Eligible projects are then awarded points based on the following categories:

• Consistency with and support for the HSTP, Invest in Transit: The 2018-2023 Regional Transit Strategic Plan for Chicago and Northeastern Illinois and CMAP’s ON TO 2050 plan.

• Project utilizes or coordinates with existing public transportation providers and private human service agencies

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• Project demonstrates coordination between one or more partnering agency and improves access for target population

• Project provides for a mobility management function

• Project markets to the target population and promotes public awareness

• Project coordinates with existing public transportation providers and private human service agencies

• Applicant demonstrates ability to implement proposed project and manage federally-funded grants

• Applicant provides plan for assessing the proposed project’s performance through the course of the project, including tracking yearly data

Prospective Applicant Outreach Process Consistent with establishing and maintaining an open and transparent process, the RTA’s policy is to disseminate information and provide technical assistance to the maximum extent possible. Prospective applicants and the public are provided information on goals, eligible projects and activities, eligible applicants, selection criteria, description of the project selection process and Project Selection Team, available funding, local match guidelines, and the performance-monitoring program. This information is made available and disseminated through a variety of means:

• The RTA releases notice of the Call for Projects through various databases maintained by the RTA and CMAP, notifying over 3,000 individuals and organizations

• The Call for Projects timeline and all application materials are available on the RTA Website

• Program staff will meet with prospective applicants and interested parties in advance of or during the call for projects to answer questions prospective applicants may have

• The selection process utilizes evaluation criteria developed in consultation with the PAC.

• All applications received and the final approved POP are published on the program website rtachicago.com/section5310.

• The RTA will invite each unsuccessful applicant to a separate debriefing session designed to assist the applicant in understanding why a particular project was not chosen and to help RTA gain insights on how the process may be improved for future calls for projects

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• Applicants are provided with RTA staff contact information so they may receive technical assistance with the application or to obtain information on the program.

• Application materials include program information, funding availability and the criteria for screening and/or evaluation of the applications.

ANNUAL PROGRAM OF PROJECTS DEVELOPMENT & APPROVAL PROCESS

Program of Projects Development A competitive call for projects is held biennially (every other year) to solicit new capital and operating projects and continuation projects. Upon the initiation of a call for projects all pertinent materials regarding the selection of projects will be published on the rtachicago.com/Section5310 web site. The call is typically released in the spring with the program of projects selected by the Project Selection Committee (PSC) based on the published eligibility and selection criteria. The recommended program of projects is then presented to the RTA Board for approval in the fall, following a public comment period.

Approval Process Overview Once the recommended POP is developed by the Project Selection Team, it is released for a public comment period. During this public comment period, the recommended POP is presented to CMAP’s Transportation Committee and the HSTP PAC for comment. Upon the conclusion of the public comment period, the RTA Board considers approval of the recommended POP. Once approved by the RTA Board, the projects will be submitted to the Transportation Improvement Program (TIP) 5and the application will be submitted to FTA for approval.

ADMINISTRATION, PLANNING & TECHNICAL ASSISTANCE Based upon federal transportation legislation and FTA guidelines, designated recipients of Section 5310 funding may utilize up to 10% of each annual apportionment to support program

5 The Transportation Improvement Program (TIP) is metropolitan Chicago's agenda of surface transportation projects. The TIP lists all federally funded projects and regionally significant, non-federally funded projects programmed for implementation in the next five years.

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http://www.rtachicago.org/index.php/plans-programs/grants-projects/section-5310.html


administrative costs including administration, planning, and technical assistance (these funds are referred to as “program administration funds”). This activity may be funded entirely by federal funds and does not require local match. In accordance with these guidelines, the RTA will allow up to 10% of the total fiscal year apportionment allocated to RTA to defray administration, planning and technical assistance expenses. RTA will primarily use these funds for the administration of the Section 5310 program and to provide technical assistance to current and prospective recipients. Subrecipients will also be allowed to have up to 10% of the federal portion of their budget assigned to defraying Section 5310 project administrative expenses.

TRANSFER OF FUNDS Pursuant to C9070.1G, Chapter III, Section 5310 Funds cannot be transferred to other programs. Additionally, funds apportioned for large UZAs cannot be transferred to other areas.

PRIVATE SECTOR PARTICIPATION Federal law requires the public to be involved in the transportation planning process, and specifically requires that private providers be provided an opportunity to be consulted in developing transportation plans and programs in both urbanized and rural areas. Public involvement processes must be proactive and provide complete information, timely public notice, full public access to key decisions, and opportunities for early and continuing involvement throughout the transportation planning and programming process. To this end, the HSTP PAC includes private for profit and non-profit representation. As noted previously, the CMAP Human and Community Development and Transportation Committees also have representatives of both private for profit and private non-profit sector represented, providing these agencies an opportunity to participate in the development of the HSTP and the Section 5310 POP.

CIVIL RIGHTS The RTA agrees to comply with all applicable civil rights statutes and implementing regulations notated in the Section 5310 Circular (9070.1G). The RTA filed its most recent Title VI Program with the FTA on October 27, 2017. The program is currently under review by the FTA. In addition, the RTA specifically requires in all third party contracts and grant agreements that the contractor/recipient comply with all requirements of Title VI. Subrecipients are required to maintain and submit to the RTA a Title VI plan that complies with federal requirements.

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The RTA last submitted an update to its DBE program to the FTA in July 2014, and submitted its DBE Triennial goal in August 2017. The RTA will submit an updated Triennial goal in 2019. As required by 49 C.F.R. Part 26 and approved by U.S. DOT, the RTA’s DBE Program is incorporated into and made part of its third party contracts and agreements. The RTA specifically states in its third party contracts/grant agreements that breach of the RTA DBE Program and/or failure by the contractor/recipient to honor all commitments made to DBEs at the time of award will be considered a breach of contract. In addition, the RTA monitors invoices received to ascertain, among other things, that the contractor/recipient is providing the agreed upon work to any DBE subcontractors/subrecipients and that such DBE companies are being paid in a timely fashion. Any awardee under FTA programs is required to comply with all applicable Federal civil rights statutes and with the implementing regulations for the statutes. FTA implements the Civil Rights Act of 1964 by prohibiting discrimination under projects, programs or activities receiving financial assistance because of race, color, creed, national origin, sex or age. The laws include: Title VI of the Civil Rights Act of 1964, Equal Employment Opportunity, Disadvantaged Business Enterprise and Section 504 of the Rehabilitation Act of 1973 and the Americans with Disabilities Act of 1990 (ADA). The requirements for Civil Rights compliance are extended to subrecipients. Subrecipient assurances under Title VI and the other civil rights requirements are included in the application for assistance, in the required Annual Certifications and Assurances and in the contract with RTA. Subrecipient awardees are also required to identify any lawsuits or complaints alleging discrimination in service filed with the awardee. Civil rights monitoring will concentrate on how the awardee is providing service. Title VI also assures that funds are passed through to subrecipients and their project without regard to race, color, or national origin. Subrecipient awardees requesting or receiving capital or operating assistance in excess of $1 million in Federal funds in the previous Federal fiscal year or requests or received planning assistance in excess of $250,000 in the previous Federal fiscal year or employing 100 or more transit-related employees are required to develop and submit an EEO program to the RTA. If the subrecipient meets the foregoing criteria and is also a direct recipient of FTA funds, the subrecipient should continue to submit its EEO program to the FTA. Subrecipients that meet the same monetary threshold but employ 50 or more transit-related employees must prepare and maintain an abbreviated EEO program. EEO programs are developed to ensure that FTA applicants, recipients, subrecipients, contactors, and/or subcontractors will not discriminate against any employee or applicant for employment because of race, color, religion, national origin, sex, age, or disability. Actions covered include but are not limited to hiring, promotion or upgrading, demotion, transfer, recruitment or recruitment advertising, layoff or termination, disciplinary actions, rates of pay or other forms of compensation, and selection for training, including apprenticeship. EEO signs need to be posted in conspicuous places, such as an employee break room, and made available to employees and applicants. Subrecipient awardees

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receiving less than the above amount and employing fewer people need only to post information in their offices. Awardees receiving more than $250,000 in Federal funds, exclusive of rolling stock, must have DBE plans on file with the RTA. Periodic reports on plan compliance are required. Awardees receiving less than the threshold level must still make good faith efforts to utilize DBE’s and must submit periodic reports on these efforts. Subrecipients with an FTA approved DBE program shall be responsible for including all data relative to expenditures of FTA funds, no matter the intermediate source, in required DBE-related FTA submissions, including those funds utilized as a sub-recipient of an FTA grant to the RTA. This provision applies to subawardees at any tier. The RTA shall receive copies of all such reports.

SECTION 504 & ADA REPORTING The RTA agrees to comply with the requirements of 49 U.S.C. § 5301 (d), which state the federal policy that elderly individuals and individuals with disabilities have the same right as other individuals to use public transportation services and facilities, and that special efforts will be made in planning and designing those services and facilities to implement transportation accessibility rights for elderly individuals and individuals with disabilities. The RTA also agrees to comply with all applicable provisions of section 504 of the Rehabilitation Act of 1973, as amended, with 29 U.S.C. § 794 which prohibits discrimination of the basis of disability and with the Americans with Disabilities Act of 1990 (ADA), as amended, 42 U.S.C. §§ 12101 et seq., which requires that accessible facilities and services be made available to individuals with disabilities, and any subsequent amendments to these laws. Finally, the RTA agrees to comply with applicable laws in implementing federal regulations and directives and any subsequent amendments thereto. Section 504 of the Rehabilitation Act of 1973 prohibits discrimination on the basis of handicap by recipients of Federal financial assistance. Recipients of FTA funds are required to make special efforts to provide transportation that is accessible to individuals with disabilities. The RTA will monitor its sub-recipients’ compliance with Section 504 and ADA reporting requirements using the same procedure utilized for Civil Rights compliance, as detailed in the previous section.

PROGRAM PERFORMANCE MEASURES FTA has established performance measures for Section 5310. Designated recipients are responsible for collecting the information from the subrecipients and reporting data to FTA regarding these performance measures. The reporting and data collection measures for the

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Section 5310 Program will be prescribed in the grant agreements with subrecipients. Further, Subrecipients are also required to provide a plan for assessing the project’s success through defined measures as part of their program application. The Circular 9070.1G presents the program measures in Chapter II, at page II-2 and in Chapter VI, at page VI-17. Designated Recipients and States will submit both quantitative and qualitative information available on each of the following measures, as applicable to each subrecipient: (1) Gaps in Service Filled: Provision of transportation options that would not otherwise be available for seniors and individuals with disabilities measures in numbers of seniors and individuals with disabilities afforded mobility they would not have without program support. (2) Ridership: Actual or estimated number of rides (as measured by one-way trips) provided annually for seniors or individuals with disabilities on Section 5310 supported vehicles and services. (3) Physical Improvements: Additions or changes to environmental infrastructure (e.g. transportation facilities, sidewalks, etc.), technology, and vehicles that impact availability of transportation services as a result of project implemented in the current reporting year. The RTA includes additional performance measures above and beyond those required by the FTA and unique to each recommendation from the HSTP. Details can be found in the project application, which is an exhibit to the HSTP.

PROGRAM MANAGEMENT

Subrecipient Awardee Requirements This section applies to all RTA subrecipient awardees that contract with outside sources under the 5310 Program. If a subrecipient awardee accepts operating assistance, these requirements apply to all third party purchase orders and contracts, including contracts for operations. The subrecipient awardee is the entire legal entity even if only a particular component of the entity is designated in the grant agreement and other documents. For the purposes of this Third Party Contracting guidance, "awardee" also includes any subcontractor of the awardee. Furthermore, the subrecipient awardee is responsible for assuring that its subcontractors comply with the requirements and standards of this manual, and that subcontractors are aware of requirements imposed upon them. When procuring property and services a subrecipient awardee will follow the same procurement policies and procedures that it uses for procurements using non-RTA awarded funds providing those procedures do not contradict or lower the minimum contracting

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requirements of this section. Subrecipient awardees must, as a minimum, comply with the requirements of this section and ensure that every purchase order and contract executed by it or a subcontractor using RTA provided funds includes all clauses required by federal statutes and executive orders and their implementing regulations.

Operators and Providers as Subcontractors Subcontractors of awardees acting as either an operator or provider, which are institutions, hospitals or other nonprofit organizations, will administer contracts in accordance with these Third Party Contracting guidelines.

Procurement To ensure compliance with federal procurement requirements, RTA makes guidance and technical assistance accessible to its awardees consistent with oversight responsibilities delegated to RTA by agreements with FTA. Each recipient, including subrecipients, of FTA seeking Federal assistance to acquire property or services in support of its proposed project is requested to certify to FTA, in accordance with FTA Circular 4220.1 and 2 CFR 200, that its procurements and procurement system will comply with all applicable third-party procurement provisions of Federal laws, regulations, and directives, except to the extent FTA has expressly approved otherwise in writing. Certification of compliance will be made a part of each sub-recipient’s application and contract with RTA. The RTA is required to perform reviews of subrecipients in carrying out grant programs with specific reference to their compliance with statutory and administrative requirements. Accordingly, RTA will review subrecipient procurement policies when a subrecipient plans to pursue a procurement subject to its grant agreement with the RTA. This review will only take place at this time. The review shall establish whether the subrecipient’s procurement procedures conform to federal regulations, if not, RTA will require the subrecipient to follow procedures as approved by RTA in accordance with federal regulations. The RTA’s Technical Services Agreement, or “grant agreement,” lists all RTA and other state and federal requirements applicable to RTA’s awardees. The grant agreement will incorporate this document by reference. Many of these requirements are related to awardee procurements. Awardees are advised to consult the grant agreement for additional guidance and requirements.

Liquidated Damages Provisions An awardee may use liquidated damages if it may reasonably expect to suffer damages (increased costs on project) from late completion and the extent or amount of such damages can be reasonably determined. The assessment for damages shall be at a specific rate per day for each day of overrun in contract time, and the rate must be specified in the third party

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contract. Any liquidated damages recovered shall be credited to the project account involved unless RTA permits otherwise.

Contract Award Announcement If an awardee announces contract awards with respect to any procurement for goods and services (including construction services) having an aggregate value of $3,000 or more, the awardee shall:

• Specify the amount of RTA provided funds that will be used to finance the acquisition in any announcement of the contract award for such goods or services; and

• Express the said amount as a percentage of the total costs of the planned acquisition.

Contract Provisions All contracts shall include provisions to define a sound and complete agreement. In addition, contracts and subcontracts shall contain contractual provisions or conditions that allow for:

• Administrative, contractual, or legal remedies in instances where contractors violate or breach contract terms, including sanctions and penalties as may be appropriate.

• Termination for cause and for convenience by the awardee or subcontractor including the manner by which it will be effected and the basis for settlement.

Cost Principles and Cost Allocation This section provides principles for determining costs applicable to service provision performed by operators or providers under third party contracts with an RTA funded awardee; and where applicable, under such grants when the awardee is a multi-purpose organization which provides funded transportation services directly. These principles make no attempt to identify the circumstances or dictate the extent of agency and subcontractor participation in the financing of a particular project. The principles are designed to provide recognition of the full allocated costs of such an operating assistance project work under generally accepted accounting principles. No provision for profit or other increment above cost is intended for government and non-profit subrecipients. In addition, wherever the term subcontractor is used in this section, it shall have the same meaning as provider, operator, and third party contractor.

Policy The successful application of these principles requires development of mutual understanding between RTA, awardees and their third party contractors as to their scope, implementation, and interpretation. It is recognized that:

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• The arrangements for participation in the financing of an operating assistance project are properly subject to negotiation between the subcontractor and the awardee in accordance with whichever state, federal, and local laws and regulations as may be applicable.

• Each awardee, possessing its own unique combination of staff, facilities, and experience, should be encouraged to provide services in a manner consistent with its approved service plan and objectives.

• Each awardee, in the fulfillment of its obligations, should employ sound management practices.

• The application of the principles established herein should require no significant changes in the generally accepted accounting practices of awardees. Where wide variations exist in the treatment of a given cost item, the reasonableness of such treatments will be fully considered during the rate negotiations and audit.

Application of Cost Principles in Grants Management RTA will apply these principles and related policy guides in determining the costs incurred for such work under operating assistance projects funded in any part under an RTA grant agreement. These principles should also be used as a guide in the pricing of fixed-price contracts or lump sum agreements with subcontractors.

Allowability of Costs These are the tests of allowability of costs under these principles:

• Be necessary and reasonable for proper and efficient performance and administration of Federal awards.

• Be allocable to Federal awards under the provisions of this Circular.

• Be authorized or not prohibited under State or local laws or regulations.

• Conform to any limitations or exclusions set forth in these principles, Federal laws, terms and conditions of the Federal award, or other governing regulations as to types or amounts of cost items.

• Be consistent with policies, regulations, and procedures that apply uniformly to both Federal awards and other activities of the governmental unit.

• Be accorded consistent treatment. A cost may not be assigned to a Federal award as a direct cost if any other cost incurred for the same purpose in like circumstances has been allocated to the Federal award as an indirect cost.

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• Be determined in accordance with generally accepted accounting principles.

• Not be included as a cost or used to meet cost sharing or matching requirements of any other Federal award in either the current or a prior period, except as specifically provided by Federal law or regulation.

• Be the net of all applicable credits.

• Be adequately documented.

Direct Costs Direct costs are those costs which can be identified specifically with a particular project objective or activity which can be directly assigned to the project, relatively easily and with a high degree of accuracy.

Indirect Costs Indirect costs are those that have been incurred for common or joint objectives and therefore cannot be identified specifically (in whole or in part) with a particular program. Such costs are normally classified under the following functional categories:

• General administration and general expenses;

• Operating assistance and project administration expenses;

• Fixed facility operation and maintenance expenses; and

• Departmental administration expenses.

Awards under the program awarded prior to December 26, 2014, are subject to administrative requirements and cost principles found in 2 CFR Part 225. Awards made on or after December 26, 2014 shall follow guidance in 2 CFR Part 200 which supersedes and streamlines the former OMB Circulars on Uniform Administrative Guidance, A-87. For additional details regarding cost allocation principles, awardees should refer to either Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, 2 CFR Part 200 (formerly OMB Circular A-87), as amended or 2 CFR Part 230 (formerly OMB Circular A-122), “Cost Principles for Nonprofit Organizations,” as amended.

Designated Recipient Program Management The RTA developed a monitoring program and compliance review process to assure compliance with Federal and state requirements and to assist subrecipients with their efforts to improve project management and administration.

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In general, receipt of any Federal award carries with it contractual requirements for reporting on the project’s progress and for monitoring the use of award monies. Awards made by the Federal Transit Administration (FTA) are additionally monitored through performance reviews, either yearly or triennially, program management plan oversight, and site visits. In many instances, under the 5310 Program, the RTA is directly responsible for monitoring a sub-recipient/awardee’s ability to manage, control, and administer Federal funds.

The Review Process for Subrecipients Prior to the initiation of a grant agreement with a new subrecipient, an orientation meeting is held to review all federal program requirements so that the subrecipient has a clear expectation of what it must do to maintain compliance with federal requirements. Once a subrecipient has an executed grant agreement with the RTA, periodic reviews are undertaken. A full review is required every three years. Its major components are a desk review of files stored at the RTA’s office and an onsite visit of the awardee’s offices and operating facilities. The reviews are customized in accordance with the subrecipient’s project activities. For instance, a procurement review will only be undertaken if the subrecipient has a procurement activity or is expected to have a procurement project activity. The overall compliance review consists of meetings and physically reviewing files, notices, facilities and equipment. The review splits some of the areas for compliance review between the desk review and the site visit depending upon where documentation is maintained or stored and if it is necessary to retain an item at a specific site or that it be posted at a site. The need for site visits at other times also varies with the type of project involved. While they may coincide with a triennial review, these visits differ from those required every three years. They are generally made to review that the Federal and RTA interest is being maintained and in transit usage. For operating projects, the site visit might be conducted once over the term of the specific Federal grant or the subrecipient agreement. For capital projects, the site would be visited once every two years for the entire term that RTA maintains an interest in the project. Some compliance items are combined for review because of the interrelated nature of the source documents for an item or their location. A good example of this would be the on-site review of vehicle and equipment maintenance with ADA compliance and continuing control of grant funded property. Steps in the Review Process:

• Contact with awardee by email or letter to schedule the review

• Desk Review

• Site Visit

• Compliance Report

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For general site visits, the RTA has determined that the frequency will vary depending on the type of project involved. Every awardee will be visited before their project is initially implemented. For operating projects, the site will be visited one or more additional times during the term of the grant. For capital projects, the site will be visited once every two years for the entire term that RTA maintains an interest in the project. At final grant close-out RTA staff will visit the project site.

Desk Review The desk review is performed in the RTA offices and reviews information required to be in the final grant application and ongoing reporting requirements, such as quarterly progress reports, yearly reports or requisitions. Additionally, the RTA will review the subrecipient’s website for all Civil Rights requirements including the Title VI Plan.

Site Visit RTA staff will visit all Section 5310 subrecipients. The administrative purpose of the actual site visit is to:

• Conduct a face to face review meeting with the awardee

• Review the compliance areas that pertain to a specific awardee

• Verify compliance with the regulations associated with the receipt of Federal funds

• Review financial records

• Review project records

• Review written policies

• Review preventative maintenance records and inspect vehicles, equipment and facilities It also gives RTA and awardee staff members the opportunity to discuss technical issues. The general structure for the on-site review day includes:

• Entrance conference

• Visit facilities

• Inspect vehicles

• On-site records review

• Exit interview and meeting. Visiting the facility allows the reviewer to verify that the facility or the part of the facility supporting transit service is in transit usage. Additionally, it allows a general observation on the facility’s condition and whether required signs are properly posted. At some awardee properties it will be necessary to ride a route to review the service and ADA compliance. In the event that an on-site review is not possible, the subrecipient may arrange to review these items virtually via video webinar. A “ride behind” can replace a “ride along” on one of the vehicles to review the vehicle service and ADA compliance. This allows the reviewer to visually inspect without boarding the vehicle.

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The awardee can prepare for the on-site review by reviewing a check list that RTA will provide citing the areas being reviewed and the documents that will need to be made available. A finding of non-compliance in an area means that the awardee will need to focus on accumulating or preparing information to reach compliance. RTA staff will be available to provide assistance with reaching compliance. It is very important that appropriate staff members be available for the entire site visit. Appropriate staff members would include the general manager or executive director, the finance manager and the maintenance manager.

Compliance Review Report Upon the conclusion of the review process a final report will be produced that includes a summary of findings, if any, and their disposition. The report will be based on the results of the on-site review(s) as included in the Compliance Review Report. The Compliance Review Report includes an itemized list of each subject area that may be reviewed as applicable (Exhibit C). Once a subrecipient is notified of a deficiency, the subrecipient will be requested to respond with a plan to take the corrective action. In an instance where the compliance issue is not resolved to the satisfaction of the RTA, the RTA may:

• Suspend grant fund payments.

• Deem a subrecipient ineligible to receive additional grant funds either within the current program or future programs.

• Audit the subrecipient to determine compliance with contractual obligations.

• Terminate the grant contract(s).

Accounting Systems and Audit Awardees, operators, and third party contractors are responsible for establishing and maintaining adequate internal controls over all the functions which relate to project administration and implementation. The control systems must comply with the applicable Federal, FTA Grant Management, Circular 5010.1E, as revised) and all State of Illinois requirements. For grants funding services it is important that the service be marketed to the target populations for the program. The awardee should be able to demonstrate that such a program is in place and in use. The local share for grants must be from non-FTA sources and may include state funds as well as unrestricted Federal funds. Subrecipients are required to have an independent audit for operating grants. This must be prepared by an independent CPA and it must include a schedule

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of costs, revenues, and expenditures in comparison with the Approved Project Budget. All audits performed must meet the requirements of 2 CFR Part 200 Subpart F (formerly OMB Circular A-133), Audits of States, Local Governments, and Non-Profit Organizations. The scope of the audit must include an examination of the awardee and/or contractor records and test of transactions sufficient to enable the audit firm to express an opinion on the following items. That the records of receipts, disbursements, assets and liabilities and the presentation of those records in the financial statements of the awardee and/or contractor are in accordance with generally accepted accounting principles. The principles are consistently applied and present fairly the financial positions of the awardee and/or contractor and the results of its operations for the period covered by the audit. That the costs incurred are eligible under the contract. Finally, the audit must review the degree of compliance with the terms and conditions of the contract, the approved program and with RTA guidance.

Closeout Procedures

RTA will use a two-step process to a move a Federal grant to closeout:

Subrecipient Closeout Subrecipients are responsible for writing “Final Invoice” on the last invoice the subrecipient submits. This process begins when all activities in the Technical Services Agreement (TSA) are completed or all funds in in the agreement are fully expended. A final status report should accompany the final invoice. The final status report should state whether all project goals have been accomplished.

FTA Closeout The RTA is responsible for administering the Federal grant closeout through the FTA’s TrAMS system. The RTA will make any necessary adjustments to the project budget and conduct a final grant project audit as required by Title 2 – Part 200. Grant closeout procedures are outlined in the following FTA Circulars: Section 5310, 9070.1G, page VI-15 and Grant Management Requirements, C. 5010.1E, as revised, page III-14.

“The awardee must initiate close-out of a grant when all approved activities are completed and/or applicable Federal funds expended. All close-out documentation must be submitted within 90 days of the completion of all activities in the grant. This requires notifying FTA by letter or e-mail that the grant is ready for close-out. The awardee should electronically submit the following in TRAMS as part of the grant close-out process: 1) a final budget reflecting actual project costs by scope and activity; 2) a final Federal Financial Report; 3) a final narrative MPR indicating the actual completion date of each ALI; a discussion of each ALI contained in the final budget and list of project property purchased under the grant; 4) a request to deobligate any

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unexpended balance of Federal funds; and 5) any other reports required as part of the terms and conditions of the grant.” The Milestone Report will include information on the completion of the individual projects as well as the total project. All project records will be maintained by the RTA for three years.

OTHER PROVISIONS Prospective applicants are advised to carefully review the requirements of participating in RTA funded programs. In addition to state and local contractual provisions, subrecipient awardees must comply with the various federal requirements governing federal financial assistance programs. Accordingly, prospective applicants and awardees are advised to review the required federal provisions (and source documents) detailed in this section.

Title VI Nondiscrimination Requires that no person because of race, color, national origin, be excluded from participation in, or denied the benefits of any project funded in whole or in part with federal funds.

Equal Employment Opportunity (EEO) Requires that any recipient of FTA funds shall not discriminate against any employee or applicant for employment based on race, color, religion, sex, or national origin.

Section 504 of the Federal Transit Act Prohibits discrimination on the basis of disability by recipients of Federal financial assistance.

Americans with Disabilities Act Prohibits discrimination against qualified individuals in all programs, activities and services of public entities, as well as imposes specific requirements on public and private providers of public transportation.

Bus Testing Regulations Requires awardees to certify compliance with the federal bus testing requirements before accepting any new bus model.

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Restrictions on Lobbying Requires that no federal funds are used for lobbying and if other funds are used that specific reporting requirements are met.

Purchasing, including Buy America

• The “Common Rule “, U.S. DOT regulations, “Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments,”49 CFR part 18. and “Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals, and other Non-Profit Organizations,” 49 CFR part 19, permits states to follow the same policies and procedures which they use for procurements funded with non-federal funds, to the extent permitted by Federal statutes and regulations.

• The purchasing area includes all third party purchases and contracts entered into by the awardee with Federal funds. Awardees at a minimum must have established internal procurement procedures. Awardees must insure that every purchase order and contract issued by the awardee or a subcontractor using Federal funds includes all clauses required by Federal, state, RTA and local statutes, executive orders and implementing regulations.

The RTA permits awardees to follow their own procurement policies provided that the basic Federal Third Party Contracting Guidelines standards are included in the procurement action. Those standards are detailed in FTA Circular 4220.1F, as revised. If a awardee enters into agreement to operate service with a third party contractor the contractor is obligated to follow FTA procurement guidelines, regardless of the organizational status of the contractor, private for-profit or private non-profit.

Maintenance, Satisfactory Continuing Control, Section 504 and ADA Section 504 of the Rehabilitation Act, which preceded the Americans with Disabilities Act (ADA), prohibits discrimination of individuals on the basis of handicap by recipients of Federal financial assistance. The ADA, in addition to requiring the provision for complementary paratransit service, requires that vehicles and facilities be accessible. ADA regulations require that public and private entities providing transportation services maintain in operative condition all accessibility features such as lifts, elevators, ramps, securement devices, signage and communication equipment. Review of the awardee’s facilities, maintenance procedures and vehicles will include a review of facility accessibility and vehicle accessibility including lifts and other accessibility features. Training materials for operators will be reviewed. A bus route may be ridden to watch the system in operation.

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Under State of Illinois guidelines all equipment must be utilized 100% for transit purposes. This is consistent with FTA circulars and their requirements for continuing control of project property (C5010.1E, as revised, Chapter IV – Project Management at Section 3 e (1)) FTA C. 9070.G, at page VI-3, does encourage maximum use of vehicles funded under the program. In all instances the vehicles must be used first for program related needs. Federal policy does allow some incidental use if the other program or project uses are currently or were previously supported with Federal funds. This is considered incidental as long as it does not interfere with the program use outlined in the application.

Safety and Security The development of formal safety and security plans is mandated for all programs. RTA will provide assistance and direction to subrecipients with the intention of making sure that the subrecipient recognizes the need for and benefit of a safety and security plan. FTA’s authority in the area of safety is set forth in 49 USC 5329. Under this section FTA may conduct investigations into safety hazards and security risks. FTA and RTA are both concerned with the safety and security of transit passengers and transit workers. While conducting the on-site compliance part of the monitoring program RTA staff should be aware of any safety or security issues at the awardee’s property. Manufacturers of vehicles and equipment will have procedures available for the safe operation of their products and for the training of operators. Certain transit providers may be affected by Federal Motor Carrier Safety Regulations and state motor carrier regulations. Insurance carriers expect and may require that specific equipment and operational practices be followed and that workplace safety guidelines be developed. Emergency preparedness procedures should be coordinated with other local agencies and governments. Awardees should develop screening and training programs for volunteer drivers. The Agency Council on Coordinated Transportation (ACCT) published a guide “Volunteer Drivers – A Guide to Practices” to assist agencies in developing such programs. It contains useful information about managing a volunteer driver program including safety measures.

Charter Bus and School Bus The Charter Bus requirements, Title 49 U.S.C. 5323(d), generally limit the use by public transportation operators of federally funded equipment and facilities for charters unless there are no willing and able private operators available to operate the charter. Charter regulations (49 CFR Part 604), published in the Federal Register on January 14, 2008 (73 FR 2326) state, at §604.2 (e), “The requirements of this part shall not apply to a recipient that uses Federal financial

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assistance from FTA for program purposes only, under 49 U.S.C. 5310…..” This relieves the operator of a 5310 project from this requirement while operating service under this program. Additionally at Sub-part B – Exceptions §604.7 provides an exception for recipients providing charter service to a Qualified Human Services Organization. This type of organization is defined as “…an organization that serves persons who qualify for human services or transportation - related programs or services due to disability, income or advanced age.” §604.3(q). The School Bus requirements, Title 49 U.S.C. 5323(f), prohibit the use of FTA funds for exclusive school bus transportation for school students and school personnel. The regulations do permit regular service to be modified to accommodate students along with the general public.

Drug-Free Workplace and Drug and Alcohol Testing All recipients of FTA funding are required under 49 CFR part 32 to maintain a drug-free workplace for all employees and to have an anti-drug policy, awareness program and training program. Awardees/subrecipients must notify employees that the use, manufacture, distribution, or possession of a controlled substance is prohibited in the workplace. Illinois state regulations at 30 ILCS 580/1 do require that all awardees certify that they provide a drug-free workplace. FTA awardees that receive only 5310 program assistance are not subject to FTA’s Drug and Alcohol testing rules, but must comply with Federal Motor Carrier Safety Administration (FMCSA) rule for employees who hold Commercial Driver’s Licenses (CDL)(49 CFR part 382). All drivers of vehicles designed to transport 16 or more passengers (including the driver) must have a CDL. Mechanics that drive the vehicles must also have a CDL.

Labor Protections For FTA programs, 49 U.S.C. 5333(a) imposes Davis-Bacon Act prevailing wage requirements on construction projects. Section 5333(a) requires the Secretary ensure that all laborers and mechanics employed by contractors or subcontractors in the performance of construction work financed with the assistance of loans or grants under Chapter 53 be paid wages at rates not less than those prevailing on similar construction in the locality as determined by the Secretary of Labor in accordance with the Davis-Bacon Act, as amended.

PROGRAM MANAGEMENT PLAN REVISIONS The RTA will submit this PMP to FTA for review and approval. FTA will keep copy of this PMP on file at the FTA Region V offices. An approved PMP remains valid until FTA approves a later plan submitted by the RTA, an FTA management review results in a specific request to the RTA by FTA for a revised PMP, or FTA announces significant new program documentation requirements. The RTA is responsible for revising this PMP to ensure consistency with Federal / FTA requirements. The RTA will issue timely revisions to this PMP, when needed and especially

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when the information will be helpful to minority applicants, sub-recipients, and third-party contractors that will be affected by the revision. If the RTA proposes significant revisions to this PMP, the RTA will provide an opportunity for Members of the PAC to provide comments on the proposed changes. Additionally, if this PMP is significantly changed or if the changes are considered “pervasive,” the RTA will submit a revised PMP to FTA Region V for review and approval. The RTA is not required to submit minor changes to this PMP to FTA for review and approval; however, the RTA will ensure that FTA Region V is notified regarding changes to this PMP and will provide FTA Region V with an up-to-date copy of this PMP.

Revision Date Description

September 2018

Updated for FAST Act compliance and streamlining of content most useful for potential applicants and current awardees

March 2021 Updated to reflect the revised Human Services Transportation Plan (HSTP) and new policies and procedures for the Section 5310 program, including local match and funding policies, selection criteria and project selection team. CRRSAA apportionment and future recovery funds allocation policy documentation.

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Resolution No.

Approving a Technical Services Agreement Between the Regional Transportation Authority and the County of Kane for the Ride in Kane Program, Contract No. JARC-2021-05, Federal Project No. IL-37-X084



Budget Information:



Summary:

Kane County is currently in the process of transitioning to grantee of the Ride in Kane program. The transition involves the consideration and approval of various contracts and agreements related to the operations (providing rides) and mobility management (staffing and administration) of the program. The Regional Transportation Authority has presented this technical services agreement (TSA) which provides $824,767.79 in Job Access Reverse Commute (JARC) Federal Transit Funds for rides for persons over 65, individuals with disabilities and low income individuals. This amount represents the 50% federal share, with Kane County and the Ride in Kane sponsors providing the required 50% local matching funds. Matching funds in the amount of $800,000 have been requested from the County’s American Rescue Plan funds. The JARC funds associated with this TSA were previously awarded to the current grantee, the Association for Individual Development (AID) in 2012 and have not been fully used. Consequently, the RTA is requesting that these funds be transferred to Kane County to allow for the continued operations of the program. Kane County will utilize these funds to provide work type trips for qualifying low income residents as part of the program expansion as grantee.

Consideration of this contract also includes authorizing the County Engineer to execute individual Sponsor Agreements to secure commitments for the required 50% local match. These are separate agreements which are required by the RTA as part of the grant process for these funds.

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STATE OF ILLINOIS

COUNTY OF KANE

RESOLUTION NO.

APPROVING A TECHNICAL SERVICES AGREEMENT BETWEEN THE REGIONAL TRANSPORTATION AUTHORITY AND THE COUNTY OF KANE FOR THE RIDE IN KANE

PROGRAM, CONTRACT NO. JARC-2021-05, FEDERAL PROJECT NO. IL-37-X084

WHEREAS, the Illinois Constitution of 1970, Article VII, Section 10 and 5 ILCS 220/1, et seq. authorizes the County of Kane (County) and the Regional Transportation Authority (RTA) to cooperate in the performance of their respective duties and responsibilities by contract and other agreements; and

WHEREAS, the County and RTA desire to enter into an intergovernmental agreement to

designate the County as administrator and fiscal agent of and to appropriate funds for the Ride In Kane (hereinafter the “RIK”) Program, (hereinafter the Agreement), (a copy of which Agreement is on file in the office of the Kane County Clerk); and

WHEREAS, the RIK Program provides transportation services for eligible Kane County

persons over 65 and individuals with disabilities and is also intended as a cooperative undertaking between the County and eighteen (18) other public and not for profit entities within the boundaries of Kane County (hereinafter the RIK Sponsors) who designate eligible riders within their respective jurisdictions and pay to defray the cost of the RIK Program services provided to their respective ridership; and

WHEREAS, the approval of the RIK Program will require the County to yearly enter into

separate agreements with each of the RIK Sponsors to provide for the reimbursement for each Sponsors’ share of the RIK Program costs; and

WHEREAS, the RTA Agreement provides $824,767.79 in Job Access Reverse Commute

(JARC) Federal Transit Funds for part of the cost of up to but not to exceed fifty percent (50%) of the RIK Program ride services to designate eligible riders to include eligible low income individuals while JARC funds remain available; and

WHEREAS, the RTA is requesting the Job Access Reverse Commute (JARC) Federal

Transit Funds be transferred to the County to allow for continued operations of the RIK Program pursuant to the Agreement.

NOW, THEREFORE, BE IT RESOLVED by the Kane County Board that the Agreement with

RTA for the Ride in Kane Program is hereby approved and that the County Board Chairman is hereby authorized to execute said Agreement with RTA.

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BE IT FURTHER RESOLVED by the Kane County Board that the Kane County Engineer is hereby authorized under his/her signature to enter into the yearly agreements with each RIK Sponsor; which agreements shall provide for the reimbursement by each RIK Sponsor of fifty percent (50%) of the RIK Sponsors local share of the RIK Program JARC Fund costs.



Vote:

22-01 RTARIKJARC

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Final 12/9/2020

TECHNICAL SERVICES AGREEMENT

between

THE REGIONAL TRANSPORTATION AUTHORITY

and

COUNTY OF KANE

Contract No.: JARC-2012-05

CFDA No.: 20.516

Federal Project No.: IL-37-X084 Award Date: 05/29/2013

DUNS No. 945248565

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S5310-2012-05

TABLE OF CONTENTS

ARTICLE I: DEFINITIONS ................................................................................................................................................. 1 ARTICLE II: THE RECIPIENT’S AUTHORITY AND COMMITMENT ...................................................................................... 2 ARTICLE III: TERM OF AGREEMENT ................................................................................................................................ 2 ARTICLE IV: TECHNICAL SERVICES AGREEMENT ............................................................................................................. 2 ARTICLE V: METHOD OF FUNDING ................................................................................................................................. 4 ARTICLE VI: ACCOMPLISHMENT OF THE PROJECT(S) ...................................................................................................... 4 ARTICLE VII: PASS-THROUGH FUNDING PROVISIONS ..................................................................................................... 6 ARTICLE VIII: PROJECT ADMINISTRATION AND MANAGEMENT ..................................................................................... 7 ARTICLE IX: REQUISITION, PAYMENT PROCEDURES, AND RECORD KEEPING................................................................. 7 ARTICLE X: RIGHT OF THE RTA TO TERMINATE ............................................................................................................ 10 ARTICLE XI: SETTLEMENT AND CLOSE-OUT .................................................................................................................. 11 ARTICLE XII: PROCUREMENT ........................................................................................................................................ 11 ARTICLE XIII: THIRD PARTY CONTRACT DISPUTES OR BREACHES ................................................................................. 13 ARTICLE XIV: ASSIGNMENT OF CONTRACT -- SUBCONTRACTORS ................................................................................ 13 ARTICLE XV: INDEMNIFICATION ................................................................................................................................... 13 ARTICLE XVI: INDEPENDENCE OF RECIPIENT ................................................................................................................ 14 ARTICLE XVII: NON-COLLUSION .................................................................................................................................... 14 ARTICLE XVIII: CONFLICTS OF INTEREST ....................................................................................................................... 14 ARTICLE XIX: RECIPIENT’S RESPONSIBILITY FOR COMPLIANCE ..................................................................................... 15 ARTICLE XX: LABOR LAW COMPLIANCE ........................................................................................................................ 15 ARTICLE XXI: CIVIL RIGHTS ............................................................................................................................................ 16 ARTICLE XXII: ENVIRONMENTAL COMPLIANCE ............................................................................................................ 21 ARTICLE XXIII: DRUG FREE WORKPLACE ....................................................................................................................... 21 ARTICLE XXIV: RESTRICTIONS ON LOBBYING ................................................................................................................ 22 ARTICLE XXV: PUBLIC RELATION ................................................................................................................................... 22

ARTICLE XXVI: SEVERABILITY ........................................................................................................................................ 22 ARTICLE XXVII: ASSIGNMENT AND AGREEMENT .......................................................................................................... 23 ARTICLE XXVIII: AMENDMENT ...................................................................................................................................... 23 ARTICLE XXIX: TITLES ............................................................................................................................................... 23 ARTICLE XXX: OWNERSHIP OF DOCUMENTS/TITLE TO WORK ..................................................................................... 23 ARTICLE XXXI: ETHICS ............................................................................................................................................... 23 ARTICLE XXXII: PRIVACY ............................................................................................................................................... 23 ARTICLE XXXIII: DOCUMENTS FORMING THIS AGREEMENT ......................................................................................... 23 ARTICLE XXXIV: SPECIAL CONDITIONS .......................................................................................................................... 26 ARTICLE XXXV: MISCELLANEOUS .................................................................................................................................. 26

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1

This Technical Services Agreement (this “Agreement”) is made by and between the Regional

Transportation Authority, a municipal corporation and body politic formed under the laws of Illinois (the "RTA"), and the County of Kane, a municipal corporation and a body politic formed under the laws of the State of Illinois hereinafter referred to as “Recipient” (also referred to as “Grantee," which term shall include its successors, assigns and subrecipients/subgrantees)1 as of the later date of execution by the RTA or the Grantee. WHEREAS, the Recipient wishes to undertake one or more public transportation projects; and WHEREAS, the Recipient has made application to the RTA for financial assistance or financial and technical assistance for the project(s) in accordance with the procedures established by the RTA; and WHEREAS, the Recipient’s application has been reviewed and approved by the RTA; NOW, THEREFORE, in consideration of the mutual covenants hereinafter set forth, this Agreement is made to provide financial assistance or financial and technical assistance to the Recipient in the form of a technical services agreement, to set forth the terms and conditions upon which the Agreement will be made, and to set forth the Agreement of the parties as to the manner in which the project(s) will be undertaken, completed, and used.

ARTICLE I: DEFINITIONS

1.1 "Allowable Cost" means an expense with respect to the Project(s) which meets the requirements of Article IX of this Agreement.

1.2 "Application" means the application submitted by the Recipient with

respect to the Project(s). In the event of a conflict between the Application and the attached Exhibit A, Scope of Services, Exhibit A shall govern.

1.3 "Local Share" means that portion of the Net Project Cost of each

Project provided by the Recipient pursuant to this Agreement.

1.4 "Net Project Cost" means the sum of the allowable costs incurred in performing the work on each Project, including work done by the Recipient.

1.5 "Project(s)" means the scope of specific activities for which the funds

provided in this Agreement are to be expended, as set forth in Exhibit A, Scope of Services and in the plans, specifications, and schedules set forth in the Application.

1 This document incorporates Federal Certifications and Assurances copied incorporated verbatim from federal circulars. The Certifications and Assurances also use the terms “Recipient,” “Subrecipient” and “Applicant” interchangeably. The terms of this agreement and all federal requirements apply to any recipient of federal funds regardless of its status as Recipient, Subrecipient, Grantee, Subgrantee or Applicant, vis-à-vis the federal granting agency.

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2

1.6 "Project Budget" means the anticipated Net Project Cost for each Project as shown in Exhibit B, Project Budget, as may be amended from time to time by the Recipient with RTA approval and in a format approved by the RTA.

1.7 "Project Facilities" means any facilities, equipment, or real property

purchased, acquired, constructed, improved, renovated, or refurbished as part of each Project through the application of the RTA's Agreement funds.

1.8 “Service Life” shall mean, with respect to each Project Facility, the

period set forth with respect to such Project Facility on Exhibit B, if applicable.

ARTICLE II: THE RECIPIENT’S AUTHORITY AND COMMITMENT 2.1 The Recipient represents and warrants that it has the legal authority and the financial, technical, and managerial capacity to apply for, plan, manage, and complete the Project(s) for which funding is being provided under this Agreement. 2.2 The Recipient acknowledges that if it makes a false, fictitious, or fraudulent claim, statement, submission, or certification to the United States or State of Illinois in connection with this Project, they reserve the right to impose on the Recipient the penalties of 18 USC 1001, 49 USC 5307, 31 USC 3801, and 49 CFR 31, as they may deem appropriate. Recipient agrees to include this clause in all state and federally-assisted contracts and subcontracts. 2.3 The Recipient agrees to undertake and complete the scope of each Project as set out in Exhibit A, Scope of Services, and in accordance with the Project Budget as set out in Exhibit B, Project Budget, and to provide for the use of Project Facilities as described in Exhibit A and the Application, in accordance with this Agreement and all applicable laws.

ARTICLE III: TERM OF AGREEMENT

3.1 The term of this Agreement shall be from 7/01/2021 thru 6/30/2025.

ARTICLE IV: TECHNICAL SERVICES AGREEMENT 4.1 RTA Budget Commitment. (a) Subject to the annual appropriation of funds by the RTA, the RTA hereby commits to provide the funds pursuant to paragraph 4.1(b) and as listed in Exhibit B, Project Budget, for the Project(s) in Exhibit A, Scope of Services. (b) The RTA will provide 50.00% of the aggregate actual cost of all Projects as set forth on Exhibit B or $824,676.79 whichever is less. The RTA shall have no liability regarding any Project funded by this Agreement in excess of the funds actually appropriated for the Project.

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3

4.2 Recipient Commitment to Complete Project(s) or Seek Amendment. Subject to the RTA's appropriation of the funds described in paragraph 4.1, the Recipient agrees to complete the scope of all the Projects, and to provide funding up to the amount of Local Share of the Project Budget, or to seek an amendment in accordance with this subparagraph. The Recipient shall request an amendment to the Agreement in order to (1) add or delete a Project, (2) change the scope of any Project, or (3) change the Project Budget(s). 4.3 Conformity with Project Budget. (a) The Recipient shall carry out each Project and shall incur obligations against and disburse Project funds only in conformance with the latest approved Project Budget attached hereto as Exhibit B. A proposed revised Project Budget shall accompany any request to amend this Agreement. (b) The Recipient must seek the prior approval of the RTA to revise the Project Budget(s) to increase or decrease the estimated Net Project Cost. In making this request the Recipient must demonstrate the following:

(1) A justifiable rationale for the revision in a particular Project;

(2) The revised budget for the Project covers the full scope of the Project funded under this Agreement, i.e., the revised budget of the Project is intended to be adequate for the completion of the Project;

(3) There are sufficient unspent funds in the Agreement contingency, should one be part of this Agreement, or any other Project which may be reallocated to the revised budget of the revised Project;

(4) The funds remaining in the Agreement contingency, should one be part of

this Agreement, or any other Project after reallocation of funds to the revised budget for the Project are sufficient to provide for the uncompleted portions of all other Projects within the Agreement; and

(5) The proposed revision will not cause the aggregate amount of all Project

Budgets as set forth on Exhibit B to be exceeded.

4.4 Conformity with Program Management Plan (PMP).

(a) The Recipient shall adhere to the Program Management Plan (PMP) as included in Exhibit E.

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ARTICLE V: METHOD OF FUNDING

5.1 The RTA may finance its obligations, or any portion thereof, under this Agreement in any way it deems, in its sole discretion, to be most advantageous and fiscally sound, provided that nothing in this Agreement shall cause the Recipient to be obligated to any creditor of the RTA with respect to such financing. 5.2 All or part of any share of the Net Project Cost to be contributed by the Recipient may, with the express written prior approval of the RTA, be provided by the Recipient in the form of contributions of professional, technical or other services. The amount or value of any share of the Net Project Cost contributed by the Recipient is shown in Exhibit B. 5.3 In the event that the Recipient receives funds from any source with respect to the completion of the Project which do not appear in Exhibit B and were not included in determining the RTA share under paragraph 4.1(b) of this Agreement, the amount of this Agreement shall be recalculated and a proportionate amount of the RTA funding shall be refunded to the RTA. Such funds include, but are not limited to, the proceeds of any sale and leaseback arrangement with respect to Project Facilities, if any. This Section 5.3 shall survive the termination or expiration of this Agreement, whether by lapse of time or otherwise for a period equal to the Service Life of the relevant Project Facility.

ARTICLE VI: ACCOMPLISHMENT OF THE PROJECT(S)

6.1 General. (a) The Recipient shall commence, carry on, and complete the Project(s) with all practicable dispatch, in a sound, economical, and efficient manner, and in accordance with the provisions of this Agreement. The Recipient shall cause all contractors involved with the Project(s) to deliver and complete the Project(s) in accordance with the Project schedules submitted at time of application or as revised pursuant to paragraph 6.2(b) of this Agreement. (b) In performance of its obligations pursuant to this Agreement, the Recipient and the contractors shall comply with all applicable provisions of federal, state, and local law. Specifically, Recipient and contractors agree to administer the Project in accordance with the applicable federal and state provisions, including all applicable Federal Transit Administration (hereinafter referred to as “FTA”) Circulars and 49 CFR 18 and 19. All limits and standards set forth in this Agreement to be observed in the performance of a Project are minimum requirements and shall not affect the application of more restrictive standards to the performance of the Project. (c) At or prior to the time that funds are needed to meet Project costs, the Recipient shall initiate and prosecute to completion all proceedings necessary to enable the Recipient to provide any share of the Net Project Cost which is to be provided by the Recipient.

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(d) Nothing in this Agreement is intended to subject the RTA to any obligations or liabilities to contractors of the Recipient, or their respective subcontractors, or any other person not a party to this Agreement in connection with the performance of any Project pursuant to the provisions of this Agreement, notwithstanding its concurrence in or approval of the award of any contract or subcontract or the solicitation thereof. 6.2 Project Completion. (a) Any failure, except a force majeure event or any other reason beyond the control of the Recipient, to make progress which significantly endangers substantial performance of a Project within a reasonable time shall be deemed to be a violation of the terms of this Agreement. (b) The Recipient shall complete each Project in accordance with the Project completion date provided at time of application or as revised. In the event the Recipient determines that, for whatever reason, a Project cannot be completed in accordance with the Project schedule, the Recipient shall immediately notify the RTA in writing, within thirty days, of: 1) the nature and extent of the delay; 2) the reason or reasons for the delay; 3) the adjustments to the Project schedule which can be made to ensure that the Project is completed on schedule; and 4) if the Project cannot be completed on schedule, the implications on the Project Budget due to the delay. 6.3 Use of Facilities. (a) The Project Facilities, if any, shall be used by the Recipient as described in the Recipient's final, approved Application. (b) If during the Service Life, the Project Facilities are not used in this manner, are sold or are otherwise disposed of, or are withdrawn from mass transportation service at the initiative of the Recipient (if applicable), the Recipient shall immediately notify the RTA and shall, at the RTA's discretion, remit to the RTA a proportional amount of the fair market value, if any, of the Project Facilities (determined on the basis of the ratio of the amounts paid by the RTA pursuant to this Agreement to the total cost of such Project Facilities). The fair market value shall be deemed to be the value of the Project Facilities as determined by a competent appraisal conducted as soon as feasible after such withdrawal or misuse occurs; or the actual proceeds from the public sale of such property, whichever is approved by the RTA; or, for rolling stock, the unamortized value of the remaining service life per unit based on straight-line depreciation of the original purchase price. Any appraiser employed for such purposes shall be subject to disapproval by the RTA on the grounds that it is not an independent appraiser.

(c) The Recipient shall maintain, in an amount and form satisfactory to the RTA, insurance or self-insurance with such reserves as will be adequate to protect Project Facilities throughout the period of their useful lives. The cost of such insurance shall not be an Allowable Cost for the Projects.

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(d) This Section 6.3 shall survive the termination or expiration of this Agreement,

whether by lapse of time or otherwise, for a period equal to the Service Life of the relevant Project Facility.

ARTICLE VII: PASS-THROUGH FUNDING PROVISIONS

7.1 If this Agreement provides any portion of funding for which the RTA receives funds from a governmental entity subject to agreement, grant, or contract, the provisions contained therein and as detailed in the attached Exhibit C, Federal Certifications and Assurances, are hereby incorporated by reference and made a part of this Agreement. If the recipient will receive federal funds pursuant to this grant, the Master Agreement between RTA and the U.S. Department of Transportation, as may be amended from time to time, is also incorporated and made part of this Agreement. The Master Agreement may be found here or an updated copy requested from RTA. The provisions and requirements of the Master Agreement shall flow down to all sub-recipients and third parties at every tier and must be expressly incorporated into all procurement and non-procurement awards involving funds provided pursuant to this Agreement. The Recipient shall carry out each Project in such a manner as to comply with the requirements contained herein and the requirements of any governmental agreement, rules and regulations applicable to this Project. If it is not possible to carry out the project in such a manner, the Recipient shall, as soon as practicable, notify the RTA in writing of the specific provisions of each agreement, rule or regulation in conflict and reasons for conflict in order that appropriate arrangements may be made between the parties and any governmental entity to permit the Project to proceed.

7.2 The Recipient acknowledges that federal and state governmental requirements may change and the changed requirements will apply to the Project as required. The Recipient acknowledges that a reference to a specific law in this Agreement is considered to be a reference to 1) such law as it may be amended, modified or supplemented from time to time, 2) all regulations and rules pertaining to or promulgated pursuant to such law, (c) the successor to the law resulting from recodification or similar reorganizing of laws and (d) all future laws pertaining to the same or similar subject matter. The Recipient agrees to include in all subcontracts or lower tier agreements specific notice to this effect. 7.3 The Illinois Department of Transportation (IDOT) and the FTA shall not be subject to any obligations or liabilities by or to the Recipient or contractors of the Recipient or their subcontractors or any other person not party to this Agreement in connection with the performance of this Project, without their respective express written consent, notwithstanding the concurrence in or approval of the solicitation or the award by IDOT or FTA to such contractors or subcontractor(s). The Recipient agrees to include this clause in each subcontract or lower tier agreement financed in whole or in part with federal and/or state assistance.

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ARTICLE VIII: PROJECT ADMINISTRATION AND MANAGEMENT

8.1 Project Management. (a) The Recipient is responsible for administration and management of each Project. (b) The RTA or its designee may conduct periodic on-site inspections of each Project to evaluate the effectiveness of the Recipient’s arrangement for supervision and inspection and to evaluate the work done on the Project and adherence to this Agreement. The Recipient shall provide reasonable access to its premises, or cause its contractors to provide reasonable access to their premises, for the RTA and its designee to permit these inspections. Inspection of, or concurrence by, RTA in Project work does not relieve the Recipient of its responsibilities and liabilities. Any inspection must be coordinated with the Recipient’s personnel for purposes of providing reasonable notice and adhering to safety regulations. (c) Any Project management plan or amendment to such plan provided pursuant to any governmental agreement, grant or contract for any Project in this Agreement shall require written approval of the RTA. (d) The Recipient shall report to the RTA regarding all Projects in this Agreement and shall provide to the RTA such information that the RTA deems necessary to meet its reporting responsibilities or other requests from the FTA or any other governmental agency. When requesting reimbursement from the RTA, the Recipient will be required to submit detailed requisitions and progress reports supported by properly executed payrolls, time records, invoices, contracts, or vouchers, evidencing in detail the nature and propriety of the charges.

ARTICLE IX: REQUISITION, PAYMENT PROCEDURES, AND RECORD KEEPING 9.1 The Recipient shall establish and maintain as a separate set of accounts, or as an integral part of its current accounting scheme, accounts for each Project in conformity with requirements established by the RTA.

9.2 Allowable Costs. Funds provided by the RTA under this Agreement shall only be used to pay or reimburse the Recipient for allowable costs for a Project which meets all of the requirements set forth below: (a) They shall be made in conformance with the final, approved Exhibit A, Scope of Services, and Exhibit B, Project Budget(s), and all other provisions of this Agreement; (b) They shall be necessary in order to accomplish the Project; (c) They shall be reasonable in amount for the goods or services purchased;

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(d) They shall be actual net costs to the Recipient (i.e., the price paid minus any refunds, rebates, or other items of value received by the Recipient which have the effect of reducing the cost actually incurred); (e) They shall be incurred (and for work performed) after the effective date of this Agreement, unless specific authorization from the RTA to the contrary is received (in no event will the RTA provide funding to reimburse expenses incurred after expiration of this Agreement); (f) To the extent applicable, they shall be in conformance with the standards for allowability of costs established by IDOT. State of Illinois rates apply for travel, lodging, meals and other expenses, as applicable. (g) They shall be satisfactorily documented; (h) They shall be treated uniformly and consistently under accounting principles and procedures approved or prescribed by generally accepted accounting principles, and those approved or prescribed by the Recipient for its contractors; and (i) They shall be supported by properly executed payrolls, time records, invoices, contracts, or vouchers evidencing in detail the nature and propriety of the charges. (In the event that it may be impractical to determine exact costs of indirect or service functions, allowable costs will include such allowances for these costs as may be approved by the RTA.) 9.3 Payment Procedures. (a) The Recipient may make requests for payment of allowable costs under the Agreement, and the RTA shall honor such requests in the manner set forth in this paragraph. In order to receive payments, the Recipient shall:

(1) Execute and submit to the RTA a requisition for approval by the RTA;

(2) Have submitted all financial, progress, and other reports required by the RTA; and

(3) Have received approval by the RTA for any budget revisions required to cover all costs to be incurred by the end of the requisition period.

(b) Upon receipt of the completed requisition form and the accompanying information in satisfactory form, the RTA shall process the requisition. If the Recipient is complying with its obligations pursuant to the Agreement, the RTA shall reimburse apparent allowable costs incurred by the Recipient up to the maximum amount of the RTA Agreement funds. Such reimbursement shall be made within sixty (60) days after receipt of each request for same from the recipient. However, reimbursement of any cost pursuant to this paragraph shall not constitute a final determination by the RTA of the allowability of such cost and shall not constitute a waiver of any

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violation of the terms of this Agreement committed by the Recipient. The RTA will make a final determination as to the allowability of costs only after a final audit of the Agreement has been conducted pursuant to Article XI of the Agreement. (c) In the event that the RTA determines that the payment should not be made, it shall notify the Recipient within twenty (20) days after receipt of the completed requisition form, stating the reasons for such determination. (d) The Recipient agrees that upon completion of all of the Projects in this Agreement and after payment or provision for payment or reimbursement of all allowable costs, the Recipient shall refund to the RTA any unexpended balance of funds received by the Recipient under this Agreement. 9.4 Records Retention. (a) All books, records, and supporting documents to verify the amounts, recipients, and uses of all disbursements of funds passing in conjunction with this Agreement, this Agreement and all books, records, and supporting documents related to the Agreement must be retained by Recipient for a minimum of five (5) years after completion of this Agreement or such longer time as may be required by any governmental agency from which funds are obtained and shall be available for review and audit by authorized representatives of the RTA, the Illinois Auditor General, IDOT, the FTA, or another governmental agency with the following qualifications:

(1) All records must be retained until final audit is completed and all audit findings are resolved, unless otherwise agreed to by the RTA;

(2) If any litigation or claim is initiated before completion of the final audit,

records must be retained until all litigation or claims involving these records have been resolved; and

(3) Records of any property acquired with RTA funds must be retained for three

years after final disposition of the property. (b) Should the Recipient administer any system of records on behalf of the Federal or State Government, the Privacy Act of 1974, 5 USC 552 and 49 CFR 10, Subpart C, imposes information restrictions on the party managing the system of records.

9.5 Audits.

(a) Pursuant to all applicable Office of Management and Budget Circulars, the Recipient shall permit, and shall require its contractors to permit, at any time, the RTA, or IDOT or other state or federal agency, authorized to perform such audit and inspection, to inspect all work, materials, payrolls, and other data and records, including computer or electronically generated records, documents, and data, with

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regard to each Project, and to audit the books, records, and accounts of the Recipient and its contractors with regard to each Project. The RTA also may require the Recipient to furnish at any time prior to w of the Agreement, audit reports with respect to the Agreement prepared according to generally accepted accounting principles. The Recipient agrees to promptly comply with recommendations contained in any RTA, IDOT or other state or federal agency final audit report.

(b) In accordance with 49 USC 5325(g), the Grantee agrees to require

each third party whose contract award is not based on competitive bidding procedures as defined by the Secretary of U.S. DOT, to permit the Secretary, Comptroller General of the U.S., IDOT, the RTA, or their duly authorized representatives, to inspect all work, materials, payrolls, and other data and records involving that third party contract and audit the books, records, and accounts involved.

ARTICLE X: RIGHT OF THE RTA TO TERMINATE

10.1 Upon written notice to the Recipient, the RTA may suspend or terminate all or part of the financial and/or technical assistance provided herein if the Recipient is or has been in violation of the terms of the Agreement (including its obligation to provide for a portion of the funding for each Project as reflected on Exhibit B, if applicable), or if funding provided to the RTA pursuant to paragraph 7.1 is terminated. Termination of any Project in this Agreement will not invalidate obligations of the RTA to reimburse the Recipient for Project costs incurred up to and including the date of termination, nor invalidate obligations of the Recipient, properly incurred by the Recipient, to the extent they are noncancellable. The acceptance of a remittance by the RTA of any or all Project funds previously received by the Recipient or the closing out of the RTA financial participation in the Project shall not constitute a waiver of any claim which the RTA may otherwise have arising out of this Agreement. For example, the foregoing remedies shall become available to the RTA if one of the following occurs:

(a) There is any misrepresentation of a material nature in the Application, or amendment thereof, or in respect to this Agreement or any document or data furnished pursuant hereto, or any other submission of the Recipient required by the RTA in connection with this Agreement;

(b) There is pending litigation which, in the opinion of the RTA, may jeopardize

funding provided to the RTA pursuant to paragraph 7.1 of this Agreement;

(c) There has been in connection with the funding provided to the RTA pursuant to paragraph 7.1, any violation of the state or federal regulations, ordinances or statutes applicable to the Recipient, its officers or employees which, in the opinion of the RTA, affects this Agreement;

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(d) Any funds provided by the RTA pursuant to this Agreement are used for an ineligible purpose;

(e) The Recipient is unable to substantiate the proper use of funding provided to

the RTA pursuant to paragraph 7.1;

(f) The Recipient is in default under any of the provisions of this Agreement;

(g) There is failure to make progress which significantly endangers substantial completion of performance of the Project within a reasonable time, which failure shall be deemed to be a violation of the terms of this Agreement;

(h) The Recipient has failed to maintain the Project Facilities as required by this

Agreement;

(i) The RTA determines that the purposes of the applicable governing laws would not be adequately served by continuation of state or federal assistance to the Project;

(j) The State Legislature or any federal agency fails to make sufficient

appropriations for funding pertinent to that provided to the RTA pursuant to paragraph 7.1.

ARTICLE XI: SETTLEMENT AND CLOSE-OUT

11.1 Upon receipt of notice of successful completion of the Agreement or upon termination by the RTA, the RTA at its discretion will perform or contract for the performance of a final audit to determine the final allowability of costs incurred, and shall make final settlement of the RTA’s obligations described in this Agreement. If the RTA has made payments to the Recipient in excess of the total amount of such RTA obligations, the Recipient shall promptly remit such excess to the RTA. The Agreement close-out occurs when the RTA notifies the Recipient and forwards the final Agreement payment or when an appropriate refund of RTA Agreement funds has been received from the Recipient and acknowledged by the RTA. Agreement close-out shall be subject to any continuing obligations imposed on the Recipient by this Agreement or contained in the final notification or acknowledgment from the RTA.

ARTICLE XII: PROCUREMENT 12.1 Procurement Procedures. (a) The Recipient shall follow applicable federal, state, and local law and procedures when awarding and administering contracts for goods and services funded by this Agreement. Any such contract or subcontract for goods, property and services exceeding $40,000 shall contain all

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the clauses pursuant to FTA Circular 4220.1F and 49 CFR 18.36, 19.40-19.48, and the parties shall comply with the requirements therein.

(b) Apart from inconsistent requirements imposed by federal and state law, theRecipient (and its subcontractors) agrees that no federal or state funds shall be used to support procurement utilizing exclusionary or discriminatory specifications and it will comply with 49 USC 5323(h)(2).

(c) The Recipient agrees to comply with U.S. Maritime Administration Regulations,“Cargo Preference – U.S. Flag Vessels,” 46 CFR 381, to the extent those regulations apply to the Project, and insert the substance of the provisions of this clause in all subcontracts issued pursuant to this Agreement.

(d) To the extent applicable, the Recipient agrees to comply with the requirements of 49USC 5323 and FTA regulations, “Bus Testing”, 49 CFR 665, and agrees to provide the RTA with applicable certifications and obtain applicable certifications from contractors, subcontractors and manufacturers.

(e) Each third party contract (valued at more than $100,000 for Construction andAcquisition of Goods or Rolling Stock) utilizing FTA assistance must conform with 49 USC 5323(j), and FTA regulations, “Buy America Requirements,” 49 CFR 661.

(f) The Recipient agrees to refrain from using state or local geographic preferences,except those expressly mandated or encouraged by federal statute, and as permitted by IDOT and FTA.

(g) The Recipient agrees to comply with the requirements of Executive Order No. 12549and 12689 “Debarment and Suspension,” and U.S. Department of Transportation (DOT) regulations on Debarment, 49 CFR 29, and agrees to obtain applicable certifications from contractors and subcontractors and otherwise comply with federal and state regulations.

(h) The Recipient certifies that it has not been convicted of bribery or attempting to bribean officer or employee of the State of Illinois or local government, nor has the Recipient made an admission of guilt of such conduct which is a matter of record, nor has an official, agent or employee of the Recipient committed bribery or attempted bribery on behalf of the Recipient and pursuant to the direction or authorization of a responsible official of the Recipient. The Recipient further certifies that it has not been barred from contracting with a unit of the State or local government as a result of a violation of Title III, Part E, Article 33 of the Criminal Code. These certifications shall apply equally to any subrecipient or contractor, at all levels, without regard to the value of the subagreement or contract.

(i) Electronic and Information Technology – to the extent applicable, Recipient agreesto include in its specification requirements that all reports or information will be prepared and provided using electronic or information technology capable of assuring that, when provided to the

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RTA, it will meet with the applicable accessibility standards of Section 508 of the Rehabilitation Act of 1973, as amended, 29 USC 794(d) and U.S. Architecture and Transportation Barriers Compliance Board (ATBCB) regulations “Electronic and Information Technology Accessibility Standards,” 36 CFR 1194. 12.2 Procurement Review. The Recipient must obtain pre-award approval from the RTA for: (1) any proposed third party contract; (2) any change order with a third party contractor; and (3) any use of force account for activities funded by this Agreement.

ARTICLE XIII: THIRD PARTY CONTRACT DISPUTES OR BREACHES 13.1 The RTA, and any state or federal granting agency, has a vested interest in the settlement of disputes, defaults, or breaches involving any RTA-assisted third party or subrecipient contracts for any Project. The RTA retains a right to a proportional share, based on the percentage of the RTA share committed to any Project, of any proceeds derived from any third party recovery, after taking into account any costs incurred by the Recipient in securing the recovery. Therefore, the Recipient shall avail itself of all legal rights available under any third party contract.

The Recipient shall promptly notify the RTA of any litigation, default, breach or major dispute pertaining to any third party or subrecipient contract. This responsibility shall flow down to all sub-recipients at every tier and must be expressly contained in all procurement and non-procurement awards and agreements involving funds provided pursuant to this grant.

The RTA reserves the right to concur in any compromise or settlement of the Recipient’s

claim(s) involving any third party or subrecipient contract. If the third party or subrecipient contract contains a liquidated damages provision, such proportional share of any liquidated damages recovered shall be credited to the Project account unless the RTA permits otherwise.

ARTICLE XIV: ASSIGNMENT OF CONTRACT - SUBCONTRACTORS 14.1 The Recipient agrees that no contract for services of any kind in connection with a Project funded by this Agreement shall be assigned, transferred, conveyed, sublet, or otherwise disposed of without the prior written consent of the RTA. All subcontracts shall contain all applicable contract clauses pursuant to federal and state requirements, and as required by this Agreement.

ARTICLE XV: INDEMNIFICATION 15.1 The Recipient agrees to save or hold harmless and indemnify the RTA from and against any and all losses, expenses, damages (including loss of use), demands, and claims, and shall defend any suit or action, whether at law or in equity, brought against it based on any alleged injury (including death) or damage relating to or arising out of any act or omission of the Recipient, its officers, employees and agents with respect to any Project funded by this Agreement and shall pay

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all damages, judgments, costs, and expenses, including attorney's fees, in connection with any demands and claims resulting therefrom; provided, however, that the Recipient shall not be required to save harmless, indemnify, or defend the RTA due to the negligence or misconduct of the RTA or its successors, assigns, agents, or employees or their respective failure to reasonably perform under this Agreement. This Section 15.1 shall survive the termination or expiration of this Agreement, whether by lapse of time or otherwise.

ARTICLE XVI: INDEPENDENCE OF RECIPIENT

16.1 In no event shall the Recipient or any of its employees, agents, contractors or subcontractors be considered agents or employees of the RTA, IDOT, FTA, U.S. Department of Transportation, or State of Illinois. Furthermore, the Recipient agrees that none of its employees, agents, contractors, or subcontractors will hold themselves out as, or claim to be, agents, officers, or employees of the RTA, U.S. Government, or State of Illinois and will not by reason of any relationship with the Agreement make any claim, demand, or application to or for any right or privilege applicable to an agent, officer, or employees of the RTA, U.S. Government, or State of Illinois, including but not limited to, rights and privileges concerning workmen’s compensation and occupational diseases coverage, unemployment compensation benefits, Social Security coverage, or retirement membership or credit.

ARTICLE XVII: NON-COLLUSION 17.1 The Recipient warrants that it has not paid and agrees not to pay any bonus, commission, fee, or gratuity for the purpose of obtaining any approval of its Application for any Project pursuant to this Agreement. No Recipient officer or employee, or member of any unit of local government which contributes funds to any Project funded by this Agreement shall be admitted to any share or part of this Agreement or to any benefit arising therefrom other than nominal.

ARTICLE XVIII: CONFLICTS OF INTEREST

18.1 The Recipient hereby certifies that: (1) no employee, officer, board member, or agent of the Recipient is a director, officer or employee of the RTA or (2) if such relationship exists, it is not prohibited by any applicable conflict of interest laws. The Recipient further certifies that, to its knowledge, no employee, officer, board member, or agent of the Recipient has participated in the selection, award, or administration of a contract supported by federal or state funds where such participation constitutes a conflict of interest, whether real or apparent. This conflict of interest requirement applies to all former employees, officers, board members, and agents for one year from the date the employee, officer, board member, or agent ended its employment with the Recipient.

The Recipient acknowledges that no director, officer or employee of the RTA may represent

the Recipient with respect to any application or agreement in regard to which such director, officer or employee may be called upon to vote. The Recipient hereby certifies that it has not been, and

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shall not be, represented by any director, officer or employee of the RTA with respect to its application for financial or financial and technical assistance or this Agreement.

The Recipient agrees that its 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 sub-agreements. The RTA 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 Recipient relating to such contract, subcontract, or arrangement. 18.2 The Recipient agrees that it will prevent any real and 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 recipient or impair the objectivity in performing the contract work.

ARTICLE XIX: RECIPIENT’S RESPONSIBILITY FOR COMPLIANCE 19.1 Irrespective of the participation of other parties or third party contractors, the Recipient remains primarily responsible for compliance with this Agreement and all applicable federal, state, and local laws and regulations. This responsibility shall flow down to all sub-recipients and third parties at every tier and must be expressly contained in all procurement and non-procurement awards and agreements involving the funds provided pursuant to this Agreement. If the Recipient will receive federal funds or funds from the Illinois Department of Transportation under this Agreement, the Recipient must complete Exhibit C, Certifications and Assurances, and comply with applicable terms and conditions therein. In addition, if the Recipient will receive federal funds under this Agreement, the Recipient must complete Exhibit D, Annual Certification to Comply with Code of Federal Regulations (CFR) – Title 2, Part 200 Audit Requirements, and comply with the terms and conditions therein as well as those of the Master Agreement between RTA and the U.S. Department of Transportation, as may be amended from time to time. In particular, provisions of the Master Agreement requiring Flow-Down to third parties such as subrecipients and contractors at all tiers must be expressly contained in all procurement and non-procurement awards and agreements involving funds provided pursuant to this grant The Master Agreement may be found here or an updated copy requested from RTA.

ARTICLE XX: LABOR LAW COMPLIANCE 20.1 The Recipient agrees to comply with the labor law compliance provisions of any FTA grant contract pertaining to any Project funded by this Agreement and all applicable federal and state labor laws and regulations including, but not limited to, such laws and regulations relating to minimum wages to be paid to employees, limitations upon the employment of minors, minimum

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fair wage standards for minors, payment of wages due employees, and health and safety of employees. (a) Contract Work Hours and Safety Standards. The requirements of the clauses contained in 29 CFR 5.5(b) are applicable to any contract subject to the overtime provisions of the Contract Work Hours and Safety Standards Act and not to any of the other statutes cited in 29 CFR 5.1. The Recipient and its subcontractors shall maintain payrolls and basic payroll records during the course of the work and shall preserve them for a period of three years from the completion of the contracts for all laborers and mechanics, including guards and watchmen, working on the contract. Such records shall contain the name and address of each such employee, social security number, correct classification, hourly rates of wages paid, daily and weekly number of hours worked, deductions made, and actual wages paid. The records to be maintained under this clause shall be made available by the Recipient or its subcontractors for inspection, copying, or transcription by authorized representatives of the FTA, U.S. Department of Transportation, or Department of Labor, and the Recipient or its subcontractors will permit such representatives to interview employees during working hours on the job. (b) The Recipient or contractor shall insert in any subcontract the clauses set forth in 29 CFR 5.5(b), and also a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The prime contractor shall be responsible for compliance by any subcontractor or lower tier subcontractor with the clauses set forth in 29 CFR 5.5(b) involving overtime pay, unpaid wages and withholding for unpaid wages. 20.2 The Recipient also agrees to require any contractor performing professional or consulting service in connection with any Project funded by this Agreement to agree to adhere to the requirements of this Article.

ARTICLE XXI: CIVIL RIGHTS 21.1 Non-Discrimination. The Recipient shall comply with and shall require its contractors and subcontractors to comply with all federal, state, and local laws, rules, regulations and ordinances relating to non-discrimination including, but not limited to, all requirements of Title VI of the Civil Rights Act of 1964, 42 USC 2000(d); Section 303 of the Age Discrimination Act of 1975, as amended, 42 USC 6101, Section 202 of the Americans with Disabilities Act of 1990, 42 USC 12101 et seq., Federal Transit Law at 49 USC 5332, and US DOT regulations, “Nondiscrimination in Federally-Assisted Programs of the Department of Transportation – Effectuation of Title VI of the Civil Rights Act,” 49 CFR 21, and any implementing requirements the FTA may issue.

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21.2 Equal Employment Opportunity Clauses.

(a) Federal Equal Employment Opportunity – The following requirements apply to the Project and the Recipient agrees to include these requirements in each contract and subcontract financed in whole or in part with federal assistance provided by FTA. (1) Discrimination Prohibited – In accordance with 42 USC 2000(e), 49 USC 5332, the Recipient agrees to comply with any applicable Federal statutes, executive orders, regulations, and Federal policies including the U.S. Department of Labor regulations, “Office of Federal Contract Compliance Programs, Equal Employment Opportunity, Department of Labor,” 41 CFR 60 et seq., (which implement E.O. No. 11246, “Equal Employment Opportunity,” as amended by E.O. No. 11375, “Amending E.O. No. 11246 relating to Equal Employment Opportunity,”) that may in the future affect construction activities undertaken in the course of this Project. The Recipient agrees to take affirmative action to ensure that applicants are employed, and that employees are treated during their employment, without regard to race, color, creed, sex, age or national origin. Such action shall include, but not be limited to, the following: employment, upgrading, demotion or transfer, recruitment or recruitment advertising, layoff or termination, rates of pay or other forms of compensation; and selection for training, including apprenticeship. In addition, the Recipient agrees to comply with any implementing requirements FTA may issue. (2) EEO Program Incorporated by Reference – If the Recipient is required to submit and obtain approval of its EEO program, that EEO program approved by the United States or State of Illinois government is incorporated by reference and made a part of this Agreement. Failure by the Recipient to carry out the terms of that EEO program shall be treated as a violation of this Agreement. Upon notification of its failure to carry out the approved EEO program, the RTA and the United States or State of Illinois government may impose such remedies as it considers appropriate, including termination of financial assistance, or other measures that may affect the Recipient’s eligibility to obtain future financial assistance in transportation projects. (3) Age – In accordance with 49 USC 5332, the Recipient agrees to refrain from discrimination against present and prospective employees for reasons of age. In addition, the Recipient agrees to comply with any implementing requirements FTA may issue. (4) Disabilities – In accordance with 42 USC 12101, the Grantee agrees that it will comply with the requirements of 29 CFR 1630, pertaining to the employment of persons with disabilities. In addition, the Recipient agrees to comply with any implementing requirements FTA may issue. (5) Sex – In accordance with Title IX of The Educational Amendments of 1972, as amended, 20 USC 1681 et seq., and U.S. Department of Transportation regulations 45 CFR 86, the Recipient agrees to comply with prohibitions against discrimination on the basis of sex, and any federal requirements that may be promulgated.

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(6) Language Proficiency – In accordance with Executive Order No. 13166, the Grantee agrees to comply with the applicable provisions of said Executive Order, “Improving Access to Services for Persons with Limited English Proficiency,” for improving access to services for persons with limited English proficiency, see 42 USC 2000d-1. (7) Environmental Justice – The Recipient shall comply with the applicable policies of Executive Order No. 12898, “Federal Actions to Address Environmental Justice in Minority Populations and Low-Income Populations”, see 42 USC 4321 note. (b) Sexual Harassment – The Recipient will have written sexual harassment policies that shall include, at a minimum, the following information: (i) the illegality of sexual harassment; (ii) the definition of sexual harassment, under state law; (iii) a description of sexual harassment, utilizing examples; (iv) the Recipient’s internal complaint process including penalties; (v) the legal recourse, investigative, and complaint process available through the Department of Human Resources and the Human Rights Commission; (vi) directions on how to contact the Department and Commission; and (vii) protection against retaliation as provided by Section 6-101 of the Illinois Human Rights Act, 775 ILCS 5/1-101 et seq. A copy shall be provided to the RTA upon request. (c) Illinois Human Rights Act - In the event of the Recipient’s non-compliance with the provisions of the Illinois Equal Employment Opportunity Clause, the Illinois Human Rights Act or the rules and regulations (the “Rules and Regulations”) of the Illinois Department of Human Rights (the “IDHR”), the Recipient may be declared ineligible for future contracts or subcontracts with the State of Illinois or any of its political subdivisions or municipal corporations, and this Agreement may be canceled or voided in whole or in part, and such other sanctions or penalties may be imposed or remedies invoked as provided by statute or regulation. During the performance of this Agreement the Recipient agrees as follows: (1) That it will not discriminate against any employee or applicant for employment because of race, color, religion, sex, marital status, national origin or ancestry, age, physical or mental handicap unrelated to ability, or an unfavorable discharge from military service; and further that it will examine all job classifications to determine if minority persons or women are underutilized and will take appropriate affirmative action to rectify any such underutilization. (2) That, if it hires additional employees in order to perform this Agreement or any portion thereof, it will determine the availability (in accordance with the IDHR Rules and Regulations) of minorities and women in the area(s) from which it may reasonably recruit and it will hire for each job classification for which employees are hired in such a way that minorities and women are not underutilized. (3) That, in all solicitations or advertisements for employees placed by it or on its behalf, it will state that all applicants will be afforded equal opportunity without discrimination because of race, color, religion, sex, marital status, national origin or ancestry, age, physical or mental handicap unrelated to ability, or an unfavorable discharge from military service.

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(4) That it will send to each labor organization or representative of workers with which it has or is bound by a collective bargaining or other agreement or understanding, a notice advising such labor organization or representative of the Recipient’s obligations under the Illinois Human Rights Act and the IDHR Rules and Regulations. If any such labor organization or representative fails or refuses to cooperate with the Recipient in its efforts to comply with such Act and Rules and Regulations, the Recipient will promptly so notify the IDHR and the contracting agency and will recruit employees for other sources when necessary to fulfill its obligations thereunder. (5) That it will submit reports as required by the IDHR Rules and Regulations, furnish all relevant information as may from time to time be requested by the IDHR or the contracting agency, and in all respects comply with the Illinois Human Rights Act and the IDHR Rules and Regulations. (6) That it will permit access to all relevant books, records, accounts and work sites by personnel for the contracting agency and the IDHR for purposes of investigation to ascertain compliance with the Illinois Human Rights Act and the IDHR Rules and Regulations. (7) That it will include verbatim or by reference the provisions of this section in every subcontract it awards under which any portion of the contract obligations are undertaken or assumed, so that such provisions will be binding upon such subcontractor. In the same manner as with other provisions of this Agreement, the Contractor will be liable for compliance with applicable provisions of this clause by such subcontractors; and further it will promptly notify the contracting agency and the IDHR in the event any subcontractor fails to or refuses to comply therewith. In addition, the Contractor will not utilize any subcontractor declared by the Illinois Human Rights Commission to be ineligible for contracts or subcontracts with the State of Illinois or any of its political subdivisions or municipal corporations. 21.3 Disabilities. The Recipient shall comply with and shall require its contractors and subcontractors to comply with all applicable federal and state requirements under the ADA and all applicable federal and state laws and regulations relating to procurement and access requirements in accommodating individuals with disabilities. The Recipient shall comply with, and agrees to include the following requirements in each contract or subcontract, applicable state and federal requirements of the Americans with Disabilities Act of 1990 (ADA), 42 USC 12101, et seq.; 49 USC 5301(d); Section 504 of the Rehabilitation Act of 1973, as amended, 29 USC 794; Architectural Barriers Act, as amended, 42 USC 4151, et. seq.; including any amendments to the aforementioned Acts; and the following regulations and amendments thereto: (a) DOT regulations, “Transportation Services for Individuals with Disabilities (ADA),” 49 CFR 37; “Nondiscrimination on the Basis of Handicap in Programs and Activities Receiving Federal Financial Assistance,” 49 CFR 27; “Americans with Disabilities Act (ADA) Accessibility Guidelines/Specifications for Transportation Vehicles,” 36 CFR 1192 and 49 CFR 38;

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(b) Department of Justice (DOJ) regulations, “Nondiscrimination on the Basis of Disability in State and Local Government Services,” 28 CFR 35; and “Nondiscrimination on the Basis of a Disability by Public Accommodations and in Commercial Facilities,” 28 CFR 36;

(c) Uniform Federal Accessibility Standards, Appendix A to 41 CFR 101-19.6 (Copies of

the Uniform Federal Accessibility Standards are available from the Office of Fair Housing and Equal Opportunity, U.S. Department of Housing and Urban Development, 451 Seventh Street, S.W., Washington, DC 20410, telephone (202) 708-1112;

(d) U.S. EEOC regulations to implement the equal employment provisions of the ADA, 29

CFR 1630; (e) Federal Communications Commission regulations, “Telecommunications Relay

Services and Related Customer Premises Equipment for the Hearing and Speech Disabled,” 47 CFR 64, Subpart F;

(f) FTA regulations, “Transportation for Elderly and Handicapped Persons,” 49 CFR 609; (g) U.S. ATBCB regulations “Electronic and Information Technology Accessibility

Standards”, 36 CFR 1194; and (h) Any implementing requirements FTA may issue.

21.4 Disadvantaged Business Enterprises. The following provisions shall apply to all Recipients as well as any subrecipients or subgrantees at any and all tiers who receive the funds provided in this Agreement in order to implement the Project. (a) In accordance with 49 CFR Part 26.13(a), as amended, the Recipient assures the RTA that it shall not discriminate on the basis of race, color, national origin or sex in the performance of this Agreement or the award and performance of any subcontract hereunder. Furthermore, the Recipient shall carry out applicable requirements of 49 CFR Part 26 in the award and administration of DOT-assisted contracts. Failure by the Recipient to carry out these requirements is a material breach of this Agreement, which may result in its termination or such other remedy as the RTA deems appropriate.

(b) Any Recipient with an FTA approved DBE program shall include the funds provided in this Agreement when submitting DBE-related data in reports required by the FTA pursuant to its approved program. The RTA shall receive copies of all such reports and will not be responsible for providing DBE-related data to the FTA regarding the funds provided in this Agreement.

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(c) Any Recipient without an FTA approved DBE program shall adopt and abide by the

RTA’s DBE program, which is incorporated as though fully set forth herein. The Recipient must inform the RTA whether it intends to abide by its own, or the RTA’s DBE program.

(d) The Recipient shall agree to include the language set forth in this Disadvantaged

Business Enterprise Assurance in each subcontract it executes.

ARTICLE XXII: ENVIRONMENTAL COMPLIANCE The Recipient shall comply with and shall require its contractors and subcontractors to comply with all federal, state, and local laws, rules, regulations and ordinances imposing environmental, resource conservation, and energy requirements with respect to the Project. The Recipient expressly understands that the following items do not constitute the Recipient’s entire obligation to meet federal requirements. The Recipient agrees to comply with the following requests: 22.1 Energy Conservation – The Recipient and its contractors at all tiers shall comply with applicable mandatory standards and policies relating to energy efficiency that are contained in applicable state energy conservation plans issued in compliance with the Energy Policy and Conservation Act, 42 USC 6321 et seq.

22.2 Clean Fuels – To the extent applicable the Recipient and its contractors and subcontractors shall comply with the requirements of “Clean Fuels Formula Grant Program”, 49 CFR 624 and any other applicable federal requirements, and 49 USC 5308.

ARTICLE XXIII: DRUG FREE WORKPLACE

23.1 The Recipient certifies and agrees that it will provide a drug-free workplace as required by the Drug Free Workplace Act (30 ILCS 580/1 et seq.) and that it will comply with all provisions thereof. Further, the Recipient agrees to comply with the U.S. DOT Drug Free Workplace Act, and U.S. DOT regulations, “Governmentwide Requirements for Drug-Free Workplace (Financial Assistance)”, 49 CFR 32, and other U.S. DOT and FTA regulations and guidance pertaining to substance abuse (drugs and alcohol) that may be promulgated.

23.2 If applicable, the Recipient also agrees to comply with all aspects of the anti-drug program outlined in the “Prevention of Alcohol Misuse and Prohibited Drug Use in Transit Operations” regulation, 49 CFR 655; “Procedures for Transportation Workplace Drug and Alcohol Testing Programs” regulation, 49 CFR 40, and to require contractors and subcontractors, when applicable under 49 U.S.C. 5331 and 49 CFR 655, to do the same.

23.3 Confidentiality – Drugs or Alcohol Abuse. The Recipient shall comply with, and agrees

to include the following requirements in each contract or subcontract, applicable state and federal requirements of confidentiality and other Civil Rights provisions of the Drug Abuse Office and Treatment Act of 1972, as amended, 21 USC 1174 et seq. and the Public Health Service Act of 1912, 42 USC 290dd-2, including any amendments to the aforementioned Acts;

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ARTICLE XXIV: RESTRICTIONS ON LOBBYING

24.1 (a) If this Agreement provides funding in whole or in part from federal funds for a Project(s), the Recipient agrees to comply with Section 319 of the 1990 Department of Interior and Related Agencies Appropriations Act, 31 USC 1352 relating to restrictions on influencing or attempting to influence federal officials in connection with grants, cooperative agreements, or contracts. By executing this Agreement, the Recipient certifies its compliance with this Act as specifically described in subparagraphs (b) and (c) below. (b) The Recipient agrees that 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 any 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. (c) The Recipient further agrees that 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 Federal Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions. (d) The Recipient shall require that the language of this Article XXIV be included in the award documents for all third party contracts and that all such contractors shall certify and disclose accordingly.

ARTICLE XXV: PUBLIC RELATIONS

25.1 The Recipient agrees to notify the RTA of the following: (i) upon receipt of any media,

press, or mass information distribution system inquiry regarding the Project(s); (ii) upon receipt of any request for documents pursuant to the Freedom of Information Act (FOIA) pertaining to the Project(s); (iii) prior to issuing any press release or other media statement regarding the Project(s). The Recipient acknowledges that the duty to notify the RTA extends through Project(s) completion, and potentially beyond the term of this Agreement.

ARTICLE XXVI: SEVERABILITY

26.1 If any provision of this Agreement is held invalid for any reason whatsoever, the remaining provisions shall not be affected thereby if such remainder would continue to conform to the purposes, terms, and requirements of applicable law.

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ARTICLE XXVII: ASSIGNMENT AND AGREEMENT

27.1 This Agreement shall not be assigned, transferred, conveyed, sublet, or otherwise

disposed of by the Recipient without the prior written consent of the RTA.

ARTICLE XXVIII: AMENDMENT 28.1 The Parties agree that no change of the aggregate amount of all Project Budgets or a modification in scope of this Agreement shall be of any force or effect unless such amendment is dated, reduced to writing, executed by both parties, and attached to and made a part of this Agreement. No work shall be commenced and no costs or obligations incurred in consequence of any amendment to this Agreement or any attachments hereto unless and until such amendment has been executed and made a part of this Agreement and Exhibit A, Scope of Services, and Exhibit B, Project Budget, for each Project as appropriate, has been amended to conform thereto.

ARTICLE XXIX: TITLES

29.1 The Parties agree that the titles of the articles and paragraphs of this Agreement are inserted for convenience of identification only and shall not be considered for any other purpose.

ARTICLE XXX: OWNERSHIP OF DOCUMENTS/TITLE TO WORK

30.1 All documents, data, and records produced by Recipient and its contractors in carrying out Recipient’s obligations and services hereunder, without limitation and whether preliminary or final, as between the RTA and Recipient shall become and remain the property of the RTA. The RTA shall have the right to use all such documents, data, and records without restriction or limitation and without additional compensation to Recipient. All documents, data, and records utilized in performing research shall be available for examination by the RTA upon request. Upon completion of the services hereunder or at the termination of this Agreement, all such documents, data, and records shall, at the option of the RTA, be appropriately arranged, indexed, and delivered to the RTA by Recipient. 30.2 In accordance with 37 CFR 401, if any invention, improvement, or discovery of the Recipient or any of its subconsultants is conceived or first actually reduced to practice in the course of or under this Project, and that invention, improvement, or discovery is patentable under the laws of the United States of America or any foreign country, the Recipient agrees to notify the RTA, IDOT and FTA immediately and provide a detailed report. The rights and responsibilities of the Recipient, its subcontractors, the RTA, IDOT, and FTA, with respect to such invention, improvement, or discovery will be determined in accordance with applicable state and federal laws, regulations, policies, and any waiver thereof. The Recipient agrees to insert the substance of the provisions of this clause in all subcontracts issued pursuant to this Agreement.

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30.3 Rights in Data and Copyrights: The Recipient agrees as follows:

(a) The term “subject data” used in this section means recorded information, whether

or not copyrighted, that is delivered or specified to be delivered under this Agreement. The term includes graphic or pictorial delineation in media, such as drawings or photographs; text in specifications or related performance or design-type documents; machine forms, such as punched cards, magnetic tape, or computer memory printouts; and information retained in computer memory. Examples include, but are not limited to: computer software, engineering drawings and associated lists, specifications, standards, process sheets, manuals, technical reports, catalog item identifications, and related information. The term does not include financial reports, cost analyses, and similar information incidental to project administration.

(b) The following provisions apply to all subject data first produced in the performance of this Agreement:

(1) Except for its own internal use, the Recipient may not publish or reproduce subject data in whole or in part, or in any manner or form, nor may the Recipient authorize others to do so, without the written consent of RTA, IDOT, or FTA, until such time as RTA, IDOT, or FTA, may have either released or approved the release of such data to the public; this restriction on publication, however, does not apply to agreements with academic institutions.

(2) As authorized by 49 CFR Part 18.34 and 49 CFR Part 19.36, RTA, IDOT and FTA reserve a royalty-free, non-exclusive, and irrevocable license to reproduce, publish, or otherwise use, and to authorize others to use, for “federal and state government purposes:”

(i) Any subject data developed under a grant, cooperative agreement, subgrant, subagreement, or third party contract, irrespective of whether or not a copyright has been obtained; and

(ii) Any rights of copyright to which a third party consultant purchases ownership with federal or state assistance.

(c) When the federal or state government provides assistance to a grantee for a

Project involving planning, research, development, or a demonstration, it is generally FTA and IDOT’s intent to increase the body of mass transportation knowledge, rather than to limit the benefits of the Project to those parties that have participated therein. Therefore, unless FTA or IDOT determine otherwise, the recipient of IDOT or FTA assistance to support planning, research, development, or a demonstration financed under the Acts, as amended, understands and agrees that, in addition to the rights set forth in section 29.3 (b) above, IDOT or FTA may make available to any government grantee, third party consultant, or third party subconsultant, either the federal or state

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government’s license in the copyright to the subject data first produced under this Agreement. In the event that such a Project, which is the subject of this Agreement, is not completed for any reason whatsoever, all data developed under that Project shall become subject data as defined in section 29.3 (a) above, and shall be delivered as RTA may direct. This subsection, however, does not apply to adaptations of automatic data processing equipment or programs for the Recipient’s use, which costs are financed in whole or in part with IDOT or FTA assistance for transportation capital projects.

(d) Unless prohibited by state law, the Recipient agrees to indemnify, save, and holdharmless the RTA, the State of Illinois and FTA, as their officers, agents, and employees acting within the scope of their official duties, against any liability, including costs and expenses, resulting from any violation by the Recipient of proprietary rights, copyrights, or right of privacy, arising out of the publication, translation, reproduction, delivery, use, or disposition of any data furnished under this Agreement. The Recipient shall not be required to indemnify the RTA, the State of Illinois and FTA for any such liability arising out of the wrongful acts of employees or agents of the RTA, the State of Illinois or FTA.

(e) Nothing contained in this section on rights in data shall imply a license to the RTA,IDOT or FTA under any patent to be construed as affecting the scope of any license or other right otherwise granted to the RTA, IDOT and FTA under any patent.

(f) The requirements of sub-sections (c), (d), and (e) of section 29.3 above, do not applyto material furnished to the Recipient by the RTA, IDOT and FTA and incorporated in the work carried out under this Agreement; provided that such incorporated material is identified by the Recipient at time of delivery of such work.

(g) The Recipient understands and agrees that data and information submitted to theRTA, IDOT or FTA may be required to be made available under the Freedom of Information Act or other state or federal statutes in accordance with 49 CFR 19.36, as revised.

ARTICLE XXXI: ETHICS

31.1 Bribery - Non-governmental Grantees and third-party contractors shall certify that they have not been convicted of bribery or attempting to bribe an officer or employee of the State of Illinois or local government. They also certify that they have not admitted guilt of such conduct which is a matter of record, nor do they have an official, agent, or employee who has committed bribery or attempted bribery on the firm’s behalf under the direction or authorization of one of the Grantee’s responsible officials. They also certify that they have not been barred from contracting with a State or local governmental unit as a result of a violation of Title III, Part E, Article 33 of the Illinois Criminal Code.

ARTICLE XXXII: PRIVACY

32.1 Should the Grantee, or any of its third party contractors, or their employees, administer any system of records on behalf of the Federal or State Government, the Privacy Act of

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1974, 5 U.S.C. 552 and 49 CFR 10, Subpart C, imposes information restrictions on the party managing the system of records.

ARTICLE XXXIII: DOCUMENTS FORMING THIS AGREEMENT

33.1 The Parties agree that this constitutes the entire Agreement between the Parties hereto, that there are no agreements or understandings, implied or expressed, except as specifically set forth or incorporated by reference in the Agreement and that all prior arrangements and understandings in the connection are merged into and contained in this Agreement. The Parties hereto further agree that this Agreement consists of this “Technical Services Agreement,” and:

• Exhibit A, Scope of Services• Exhibit B, Project Budget• Exhibit C, Certifications and Assurances• Exhibit D, Certifications of Compliance with Code of Federal

Regulations (CFR) - Title 2, Part 200• Exhibit E, Program Management Plan (PMP)

ARTICLE XXXIV: SPECIAL CONDITIONS

34.1 The Recipient shall submit quarterly progress reports in accordance with RTA’s schedule. The Recipient also agrees to submit invoices for reimbursement on a monthly basis.

ARTICLE XXXV: MISCELLANEOUS

35.1 Notices. All notices, other communications and approvals required or permitted by this Agreement shall be in writing and shall be delivered, sent by certified or registered mail (return receipt requested and postage prepaid), addressed as follows:

(a) in the case of the RTA:175 West Jackson BoulevardSuite 1650Chicago, Illinois 60604Attention: Sr. DED, Capital Programming and Planning

(c) in the case of the Recipient:41W011 Burlington RoadSt. Charles, Illinois 60175Attn: Deputy, Chief of Staff

or such other persons or addresses as either party may from time to time designate by notice to the other. All notices required hereunder shall be in writing and shall be deemed properly served if delivered in person or if sent by registered or certified mail, with postage prepaid and return receipt requested, to the addresses specified. All notices required hereunder shall be deemed received on the date of delivery, or attempted delivery, if delivered in person, or if mailed, on the date which is two (2) days after the date such notice is deposited in the mail.

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35.2 Entire Agreement. This Agreement constitutes the entire agreement between the parties pertaining to the subject matter hereof and supersedes all prior agreements, negotiations, discussions and understandings, written or oral, between the parties.

35.3 Governing Law. This Agreement shall be governed by, and interpreted and enforced in accordance with, the laws in force in the State of Illinois (excluding any conflict of laws rule or principle which might refer such interpretation to the laws of another jurisdiction).

35.4 Digital and Electronic Signatures. The parties hereby agree that this Agreement may be signed via electronic or digital signature. The parties further agree that the electronic or digital signatures appearing on and affixed to this Agreement are the same as handwritten signatures for the purposes of validity, enforceability, and admissibility, and are acknowledged as compliant with federal and state law and as secure electronic signatures pursuant to the Illinois Electronic Commerce Security Act (5 ILCS 175/10-110).

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IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be executed by their duly authorized representatives.

RECIPIENT:

CORINNE M. PIEROG DATE CHAIR, COUNTY BOARD

REGIONAL TRANSPORTATION AUTHORITY

___________________________________________ ______________ LEANNE P. REDDEN DATE EXECUTIVE DIRECTOR

COUNTY OF KANE

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EXHIBIT A

SCOPE OF SERVICES for

JARC-2012-05

Applicant: County of Kane

RTA Project Number: 191201001

Project Name: Ride in Kane Phase 9 & 10

Project Description:

This project coordinates and provides low cost, curb to curb paratransit services in Kane County by optimizing transportation resources for older adults, person with disabilities and low-income individuals.

Funds will be utilized to continue to provide rides to and from work or work-related activities for individuals with disabilities, seniors (age 65 or older) and individuals who are deemed low income.

The project partners include private, non-profit organizations and local units of government. Currently these partners are the Association for Individual Development, Aurora Township, Batavia Township, City of Batavia, Blackberry Township, Campton Township, City of Geneva, City of Elgin, Dundee Township, Kane County, Senior Services Association, City of St. Charles, St. Charles Township, the Village of South Elgin and Elgin Township.

This project is not a Research & Development

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EXHIBIT B

PROJECT BUDGETfor

JARC-2012-05

Applicant:

Total Project Budget:

County of Kane

$1,649,353.58

RTA Project Number/ Title:

Project Budget Inkind Expected Project Funds Cash Share

RTA $824,676.79 $0.00 $0.00 50.00% Local $824,676.79 $0.00 $0.00 50.00% Other $0.00 $0.00 0.00% Indirect Cost Rate 0 $0.00 $0.00 0.00%

Total: $1,649,353.58 $0.00 $0.00 100.00%

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INSTRUCTIONS FOR FISCAL YEAR 2021 CERTIFICATIONS AND ASSURANCES FOR FTA GRANTS

AND COOPERATIVE AGREEMENTS1

1 What are the Certifications and Assurances?

Awards of FTA funding are subject to certain mandatory certifications on the part of the recipient. These certifications variously are required by statutes, regulations, or FTA or U.S. DOT policies. Some certifications must be included with an application for assistance as a condition of FTA considering the application for an award. Other certifications may be made post-award. For the convenience of FTA’s recipients, and pursuant to 49 U.S.C. § 5323(n), FTA consolidates all required certifications into a single document called the Certifications and Assurances that each applicant must submit once annually in any fiscal year in which it will apply for a new award or an amendment to an existing award.

FTA normally issues a new version of its Certifications and Assurances for each federal fiscal year at the time FTA publishes its notice of funding apportionment in the Federal Register for that fiscal year. An applicant must execute the latest Certifications and Assurances available in the fiscal year in which it is submitting an application. A regular applicant that receives formula assistance from FTA each year should be prepared to execute its annual Certifications and Assurances within 90 days of FTA’s publication of a new annual version of the Certifications and Assurances, to ensure that award processing is not delayed.

Any award by FTA is conditioned explicitly on the applicant’s Certifications and Assurances. FTA cannot make an award to an applicant that has not submitted current Certifications and Assurances.

Unless FTA later determines otherwise, the applicant must comply with the Certifications and Assurances it made to receive its award. The applicant’s Certifications and Assurances remain in effect until the award is closed or the disposition of any project property funded by the award, whichever is later.

The purpose of the Certifications and Assurances is to consolidate the affirmative representations an applicant or recipient must make as a condition of receiving an award from FTA. THE CERTIFICATIONS AND ASSURANCES DO NOT INCLUDE ALL FEDERAL REQUIREMENTS THAT APPLY TO AN AWARD.

2 Which certifications must the applicant make?

The Certifications and Assurances are grouped into several categories that broadly correspond with FTA’s funding programs or the activities to be undertaken in an award. An applicant must certify to every category that applies to the applicant and the applications it will submit in the fiscal year.

1 The contents of this document do not have the force and effect of law and are not meant to bind the public in any way. This document is intended only to provide clarity to the public regarding existing requirements under the law or agency policies. This policy and compliance notice is not legally binding in its own right and will not be relied upon by the U.S. Department of Transportation as a separate basis for affirmative enforcement action or other administrative penalty. Conformity with this policy and compliance notice is voluntary only and nonconformity will not affect rights and obligations under existing statutes and regulations.

EXHIBIT C

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For the applicant’s convenience, FTA’s Certifications and Assurances provide an option for the applicant to make all certifications at once, instead of selecting specific certifications.

Not every provision of every certification will apply to every applicant or award. If a provision of a certification does not apply to the applicant or its award, FTA will not enforce that provision.

3 Who may execute the Certifications and Assurances on behalf of the applicant?

The Certifications and Assurances must be executed by the applicant’s authorized representative. The authority of the authorized representative to make certifications on behalf of the applicant must be demonstrated by submitting a resolution of the applicant’s board, a statute, ordinance, or other appropriate source of authority. If the applicant’s authorized representative changes in subsequent years, the applicant may have to submit new authority identifying the new authorized representative.

The certifications also must be affirmed by the applicant’s attorney. The attorney affirms that the applicant and the applicant’s authorized representative have the legal authority to make the certifications, and that there is no pending or imminent legislation, litigation, or other legal matter that could adversely affect the validity of any certification.

4 What if an applicant cannot make one of the required certifications, or the applicant falls out of compliance with a previously made certification?

The applicant must contact the FTA regional office for the region in which the applicant is located as soon as possible.

5 What are the applicant’s responsibilities for third parties?

With few exceptions, an applicant makes certifications on its own behalf, and not on behalf of its subrecipients, contractors, or other third parties. Nonetheless, the applicant bears the ultimate responsibility for the performance of its award. The applicant must take all necessary measures to ensure that the participation of any third party in its award does not invalidate any of the certifications made to FTA.

6 What is the significance of italicized text in the Certifications and Assurances?

Text that is in italic typeface is prefatory and explanatory. It provides instructions to the applicant about a certification. This text is included for the convenience of the reader, and it is not part of a certification.

7 How does the applicant submit the Certifications and Assurances?

The applicant must make its certifications in FTA’s Transit Award Management System (TrAMS). TrAMS includes an electronic module for selecting and digitally signing the Certifications and Assurances. The applicant’s authorized representative and attorney must be registered in TrAMS and have a personal identification number (“PIN”) to submit Certifications and Assurances by this method.

In some cases, particularly where an applicant relies on outside counsel for attorney services, it may be impractical for the applicant’s attorney to have a TrAMS account. In such cases, the applicant’s authorized representative may digitally sign as both the authorized representative and the attorney,

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and the applicant’s attorney may sign the attorney affirmation by hand and submit a copy to TrAMS as a Recipient Document.

8 What are the penalties for a false or fraudulent certification?

False statements may incur federal civil and criminal penalties under the Program Fraud Civil Remedies Act of 1986, as amended, 31 U.S.C. §§ 3801 et seq.; U.S. Department of Transportation regulations, “Program Fraud Civil Remedies,” 49 C.F.R. part 31; or 49 U.S.C. § 5323(l)(1), which authorizes criminal penalties and termination of federal assistance for false statements. Penalties may apply to the recipient of Federal assistance as an entity, and may apply personally to the individual who made the false statement.

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CATEGORY 1. CERTIFICATIONS AND ASSURANCES REQUIRED OF EVERY APPLICANT.

All applicants must make the certifications in this category.

1.1. Standard Assurances.

The certifications in this subcategory appear as part of the applicant’s registration or annual registration renewal in the System for Award Management (SAM.gov) and on the Office of Management and Budget’s standard form 424B “Assurances—Non-Construction Programs”. This certification has been modified in places to include analogous certifications required by U.S. DOT statutes or regulations.


(a) Has the legal authority to apply for Federal assistance and the institutional, managerial,and financial capability (including funds sufficient to pay the non-Federal share of projectcost) to ensure proper planning, management and completion of the project described inthis application.

(b) Will give the awarding agency, the Comptroller General of the United States and, ifappropriate, the State, through any authorized representative, access to and the right toexamine all records, books, papers, or documents related to the award; and will establisha proper accounting system in accordance with generally accepted accounting standardsor agency directives.

(c) Will establish safeguards to prohibit employees from using their positions for a purposethat constitutes or presents the appearance of personal or organizational conflict ofinterest, or personal gain.

(d) Will initiate and complete the work within the applicable time frame after receipt ofapproval of the awarding agency.

(e) Will comply with the Intergovernmental Personnel Act of 1970 (42 U.S.C. §§ 4728–4763) relating to prescribed standards for merit systems for programs funded under oneof the 19 statutes or regulations specified in Appendix A of OPM’s Standards for a MeritSystem of Personnel Administration (5 CFR 900, Subpart F).

Not every provision of every certification will apply to every applicant or award. If a provision of a certification does not apply to the applicant or its award, FTA will not enforce that provision. Refer to FTA’s accompanying Instructions document for more information.

Text in italics is guidance to the public. It does not have the force and effect of law, and is not meant to bind the public in any way. It is intended only to provide clarity to the public regarding existing requirements under the law or agency policies.

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(f) Will comply with all Federal statutes relating to nondiscrimination. These include but are

not limited to: (1) Title VI of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits

discrimination on the basis of race, color or national origin, as effectuated by U.S. DOT regulation 49 CFR Part 21;

(2) Title IX of the Education Amendments of 1972, as amended (20 U.S.C. §§ 1681– 1683, and 1685–1686), which prohibits discrimination on the basis of sex, as effectuated by U.S. DOT regulation 49 CFR Part 25;

(3) Section 5332 of the Federal Transit Law (49 U.S.C. § 5332), which prohibits any person being excluded from participating in, denied a benefit of, or discriminated against under, a project, program, or activity receiving financial assistance from FTA because of race, color, religion, national origin, sex, disability, or age.

(4) Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. § 794), which prohibits discrimination on the basis of handicaps, as effectuated by U.S. DOT regulation 49 CFR Part 27;

(5) The Age Discrimination Act of 1975, as amended (42 U.S.C. §§ 6101–6107), which prohibits discrimination on the basis of age;

(6) The Drug Abuse Office and Treatment Act of 1972 (P.L. 92-255), as amended, relating to nondiscrimination on the basis of drug abuse;

(7) The comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 (P.L. 91–616), as amended, relating to nondiscrimination on the basis of alcohol abuse or alcoholism;

(8) Sections 523 and 527 of the Public Health Service Act of 1912 (42 U.S.C. §§ 290 dd-3 and 290 ee-3), as amended, relating to confidentiality of alcohol and drug abuse patient records;

(9) Title VIII of the Civil Rights Act of 1968 (42 U.S.C. §§ 3601 et seq.), as amended, relating to nondiscrimination in the sale, rental, or financing of housing;

(10) Any other nondiscrimination provisions in the specific statute(s) under which application for Federal assistance is being made; and,

(11) the requirements of any other nondiscrimination statute(s) which may apply to the application.

(g) Will comply, or has already complied, with the requirements of Titles II and III of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (“Uniform Act”) (P.L. 91-646) which provide for fair and equitable treatment of persons displaced or whose property is acquired as a result of Federal or federally-assisted programs. These requirements apply to all interests in real property acquired for project purposes regardless of Federal participation in purchases. The requirements of the Uniform Act are effectuated by U.S. DOT regulation 49 CFR Part 24.

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(h) Will comply, as applicable, with provisions of the Hatch Act (5 U.S.C. §§ 1501–1508

and 7324–7328) which limit the political activities of employees whose principal employment activities are funded in whole or in part with Federal funds.

(i) Will comply, as applicable, with the provisions of the Davis–Bacon Act (40 U.S.C. §§ 276a to 276a-7), the Copeland Act (40 U.S.C. § 276c and 18 U.S.C. § 874), and the Contract Work Hours and Safety Standards Act (40 U.S.C. §§ 327–333), regarding labor standards for federally assisted construction sub agreements.

(j) Will comply, if applicable, with flood insurance purchase requirements of Section 102(a) of the Flood Disaster Protection Act of 1973 (P.L. 93-234) which requires recipients in a special flood hazard area to participate in the program and to purchase flood insurance if the total cost of insurable construction and acquisition is $10,000 or more.

(k) Will comply with environmental standards which may be prescribed pursuant to the following: (1) Institution of environmental quality control measures under the National

Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order (EO) 11514;

(2) Notification of violating facilities pursuant to EO 11738; (3) Protection of wetlands pursuant to EO 11990; (4) Evaluation of flood hazards in floodplains in accordance with EO 11988; (5) Assurance of project consistency with the approved State management program

developed under the Coastal Zone Management Act of 1972 (16 U.S.C. §§ 1451 et seq.);

(6) Conformity of Federal actions to State (Clean Air) Implementation Plans under Section 176(c) of the Clean Air Act of 1955, as amended (42 U.S.C. §§ 7401 et seq.);

(7) Protection of underground sources of drinking water under the Safe Drinking Water Act of 1974, as amended (P.L. 93-523); and

(8) Protection of endangered species under the Endangered Species Act of 1973, as amended (P.L. 93–205).

(l) Will comply with the Wild and Scenic Rivers Act of 1968 (16 U.S.C. §§ 1271 et seq.) related to protecting components or potential components of the national wild and scenic rivers system.

(m) Will assist the awarding agency in assuring compliance with Section 106 of the National Historic Preservation Act of 1966, as amended (16 U.S.C. § 470), EO 11593 (identification and protection of historic properties), and the Archaeological and Historic Preservation Act of 1974 (16 U.S.C. §§ 469a-1 et seq.).

(n) Will comply with P.L. 93-348 regarding the protection of human subjects involved in research, development, and related activities supported by this award of assistance.

(o) Will comply with the Laboratory Animal Welfare Act of 1966 (P.L. 89-544, as amended, 7 U.S.C. §§ 2131 et seq.) pertaining to the care, handling, and treatment of warm blooded

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animals held for research, teaching, or other activities supported by this award of assistance.

(p) Will comply with the Lead-Based Paint Poisoning Prevention Act (42 U.S.C. §§ 4801 et seq.) which prohibits the use of lead-based paint in construction or rehabilitation of residence structures.

(q) Will cause to be performed the required financial and compliance audits in accordance with the Single Audit Act Amendments of 1996 and 2 CFR Part 200, Subpart F, “Audit Requirements”, as adopted and implemented by U.S. DOT at 2 CFR Part 1201.

(r) Will comply with all applicable requirements of all other Federal laws, executive orders, regulations, and policies governing the program under which it is applying for assistance.

(s) Will comply with the requirements of Section 106(g) of the Trafficking Victims Protection Act (TVPA) of 2000, as amended (22 U.S.C. § 7104) which prohibits grant award recipients or a sub-recipient from: (1) Engaging in severe forms of trafficking in persons during the period of time that

the award is in effect; (2) Procuring a commercial sex act during the period of time that the award is in

effect; or (3) Using forced labor in the performance of the award or subawards under the

award. 1.2. Standard Assurances: Additional Assurances for Construction Projects.

This certification appears on the Office of Management and Budget’s standard form 424D “Assurances—Construction Programs” and applies specifically to federally assisted projects for construction. This certification has been modified in places to include analogous certifications required by U.S. DOT statutes or regulations.


(a) Will not dispose of, modify the use of, or change the terms of the real property title or

other interest in the site and facilities without permission and instructions from the awarding agency; will record the Federal awarding agency directives; and will include a covenant in the title of real property acquired in whole or in part with Federal assistance funds to assure nondiscrimination during the useful life of the project.

(b) Will comply with the requirements of the assistance awarding agency with regard to the drafting, review, and approval of construction plans and specifications.

(c) Will provide and maintain competent and adequate engineering supervision at the construction site to ensure that the complete work confirms with the approved plans and specifications and will furnish progressive reports and such other information as may be required by the assistance awarding agency or State.

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1.3. Procurement.

The Uniform Administrative Requirements, 2 CFR § 200.324, allow a recipient to self-certify that its procurement system complies with Federal requirements, in lieu of submitting to certain pre-procurement reviews.

The applicant certifies that its procurement system complies with:

(a) U.S. DOT regulations, “Uniform Administrative Requirements, Cost Principles, and

Audit Requirements for Federal Awards,” 2 CFR Part 1201, which incorporates by reference U.S. OMB regulatory guidance, “Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards,” 2 CFR Part 200, particularly 2 CFR §§ 200.317–200.326 “Procurement Standards;

(b) Federal laws, regulations, and requirements applicable to FTA procurements; and (c) The latest edition of FTA Circular 4220.1 and other applicable Federal guidance.

1.4. Suspension and Debarment.

Pursuant to Executive Order 12549, as implemented at 2 CFR Parts 180 and 1200, prior to entering into a covered transaction with an applicant, FTA must determine whether the applicant is excluded from participating in covered non-procurement transactions. For this purpose, FTA is authorized to collect a certification from each applicant regarding the applicant’s exclusion status. 2 CFR § 180.300. Additionally, each applicant must disclose any information required by 2 CFR § 180.335 about the applicant and the applicant’s principals prior to entering into an award agreement with FTA. This certification serves both purposes.

The applicant certifies, to the best of its knowledge and belief, that the applicant and each of its principals:

(a) Is not presently debarred, suspended, proposed for debarment, declared ineligible, or

voluntarily or involuntarily excluded from covered transactions by any Federal department or agency;

(b) Has not, within the preceding three years, been convicted of or had a civil judgment rendered against him or her for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public or private agreement or transaction; violation of Federal or State antitrust statutes, including those proscribing price fixing between competitors, allocation of customers between competitors, and bid rigging; commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, tax evasion, receiving stolen property, making false claims, or obstruction of justice; or commission of any other offense indicating a lack of business integrity or business honesty;

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(c) Is not presently indicted for or otherwise criminally or civilly charged by a governmental

entity (Federal, State, or local) with commission of any offense described in paragraph (b) of this certification;

(d) Has not, within the preceding three years, had one or more public transactions (Federal, State, or local) terminated for cause or default.

1.5. Coronavirus Response and Relief Supplemental Appropriations Act, 2021, and

CARES Act Funding. The applicant certifies that, to the maximum extent possible, and consistent with the Consolidated Appropriations Act, 2021 (Public Law 116–260):

(a) Funds made available under title IV of division M of the Consolidated Appropriations

Act, 2021 (Public Law 116–260), and in title XII of division B of the CARES Act (Public Law 116–136; 134 Stat. 599) shall be directed to payroll and operations of public transit (including payroll and expenses of private providers of public transportation); or

(b) The applicant certifies that the applicant has not furloughed any employees.

CATEGORY 2. PUBLIC TRANSPORTATION AGENCY SAFETY PLANS This certification is required of each applicant under the Urbanized Area Formula Grants Program (49 U.S.C. § 5307), each rail operator that is subject to FTA’s state safety oversight programs, and each State that is required to draft and certify a public transportation agency safety plan on behalf of a small public transportation provider pursuant to 49 CFR § 673.11(d). This certification is required by 49 CFR § 673.13.

This certification does not apply to any applicant that receives financial assistance from FTA exclusively under the Formula Grants for the Enhanced Mobility of Seniors Program (49 U.S.C. § 5310), the Formula Grants for Rural Areas Program (49 U.S.C. § 5311), or combination of these two programs.

If the applicant is an operator, the applicant certifies that it has established a public transportation agency safety plan meeting the requirements of 49 CFR Part 673.

If the applicant is a State, the applicant certifies that:

(a) It has drafted a public transportation agency safety plan for each small public

transportation provider within the State, unless the small public transportation provider provided notification to the State that it was opting-out of the State-drafted plan and drafting its own public transportation agency safety plan; and

(b) Each small public transportation provider within the state has a public transportation agency safety plan that has been approved by the provider’s Accountable Executive

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(as that term is defined at 49 CFR § 673.5) and Board of Directors or Equivalent Authority (as that term is defined at 49 CFR § 673.5).

CATEGORY 3. TAX LIABILITY AND FELONY CONVICTIONS.

If the applicant is a business association (regardless of for-profit, not for-profit, or tax exempt status), it must make this certification. Federal appropriations acts since at least 2014 have prohibited FTA from using funds to enter into an agreement with any corporation that has unpaid Federal tax liabilities or recent felony convictions without first considering the corporation for debarment. E.g., Consolidated Appropriations Act, 2021, Pub. L. 116-260, div. E, title VII, §§ 744–745. U.S. DOT Order 4200.6 defines a “corporation” as “any private corporation, partnership, trust, joint-stock company, sole proprietorship, or other business association”, and applies the restriction to all tiers of subawards. As prescribed by U.S. DOT Order 4200.6, FTA requires each business association applicant to certify as to its tax and felony status.

If the applicant is a private corporation, partnership, trust, joint-stock company, sole proprietorship, or other business association, the applicant certifies that:

(a) It has no unpaid Federal tax liability that has been assessed, for which all judicial and

administrative remedies have been exhausted or have lapsed, and that is not being paid in a timely manner pursuant to an agreement with the authority responsible for collecting the tax liability; and

(b) It has not been convicted of a felony criminal violation under any Federal law within the preceding 24 months.

CATEGORY 4. LOBBYING.

If the applicant will apply for a grant or cooperative agreement exceeding $100,000, or a loan, line of credit, loan guarantee, or loan insurance exceeding $150,000, it must make the following certification and, if applicable, make a disclosure regarding the applicant’s lobbying activities. This certification is required by 49 CFR § 20.110 and app. A to that part.

This certification does not apply to an applicant that is an Indian Tribe, Indian organization, or an Indian tribal organization exempt from the requirements of 49 CFR Part 20.

4.1. Certification for Contracts, Grants, Loans, and Cooperative Agreements.

The undersigned certifies, to the best of his or her knowledge and belief, that:

(a) 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

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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.

(b) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, “Disclosure Form to Report Lobbying,” in accordance with its instructions.

(c) 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.

4.2. Statement for Loan Guarantees and Loan Insurance.

The undersigned states, to the best of his or her knowledge and belief, that:

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 Form to Report Lobbying,” 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.

CATEGORY 5. PRIVATE SECTOR PROTECTIONS.

If the applicant will apply for funds that it will use to acquire or operate public transportation facilities or equipment, the applicant must make the following certification regarding protections for the private sector.

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5.1. Charter Service Agreement.

To enforce the provisions of 49 U.S.C. § 5323(d), FTA’s charter service regulation requires each applicant seeking assistance from FTA for the purpose of acquiring or operating any public transportation equipment or facilities to make the following Charter Service Agreement. 49 CFR § 604.4.

The applicant agrees that it, and each of its subrecipients, and third party contractors at any level who use FTA-funded vehicles, may provide charter service using equipment or facilities acquired with Federal assistance authorized under the Federal Transit Laws only in compliance with the regulations set out in 49 CFR Part 604, the terms and conditions of which are incorporated herein by reference.

5.2. School Bus Agreement.

To enforce the provisions of 49 U.S.C. § 5323(f), FTA’s school bus regulation requires each applicant seeking assistance from FTA for the purpose of acquiring or operating any public transportation equipment or facilities to make the following agreement regarding the provision of school bus services. 49 CFR § 605.15.

(a) If the applicant is not authorized by the FTA Administrator under 49 CFR § 605.11 to

engage in school bus operations, the applicant agrees and certifies as follows: (1) The applicant and any operator of project equipment agrees that it will not engage

in school bus operations in competition with private school bus operators. (2) The applicant agrees that it will not engage in any practice which constitutes a

means of avoiding the requirements of this agreement, part 605 of the Federal Mass Transit Regulations, or section 164(b) of the Federal-Aid Highway Act of 1973 (49 U.S.C. 1602a(b)).

(b) If the applicant is authorized or obtains authorization from the FTA Administrator to engage in school bus operations under 49 CFR § 605.11, the applicant agrees as follows: (1) The applicant agrees that neither it nor any operator of project equipment will

engage in school bus operations in competition with private school bus operators except as provided herein.

(2) The applicant, or any operator of project equipment, agrees to promptly notify the FTA Administrator of any changes in its operations which might jeopardize the continuation of an exemption under § 605.11.

(3) The applicant agrees that it will not engage in any practice which constitutes a means of avoiding the requirements of this agreement, part 605 of the Federal Transit Administration regulations or section 164(b) of the Federal-Aid Highway Act of 1973 (49 U.S.C. 1602a(b)).

(4) The applicant agrees that the project facilities and equipment shall be used for the provision of mass transportation services within its urban area and that any other

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use of project facilities and equipment will be incidental to and shall not interfere with the use of such facilities and equipment in mass transportation service to the public.

CATEGORY 6. TRANSIT ASSET MANAGEMENT PLAN.

If the applicant owns, operates, or manages capital assets used to provide public transportation, the following certification is required by 49 U.S.C. § 5326(a).

The applicant certifies that it is in compliance with 49 CFR Part 625.

CATEGORY 7. ROLLING STOCK BUY AMERICA REVIEWS AND BUS TESTING.

7.1. Rolling Stock Buy America Reviews.

If the applicant will apply for an award to acquire rolling stock for use in revenue service, it must make this certification. This certification is required by 49 CFR § 663.7.

The applicant certifies that it will conduct or cause to be conducted the pre-award and post- delivery audits prescribed by 49 CFR Part 663 and will maintain on file the certifications required by Subparts B, C, and D of 49 CFR Part 663.

7.2. Bus Testing.

If the applicant will apply for funds for the purchase or lease of any new bus model, or any bus model with a major change in configuration or components, the applicant must make this certification. This certification is required by 49 CFR § 665.7.

The applicant certifies that the bus was tested at the Bus Testing Facility and that the bus received a passing test score as required by 49 CFR Part 665. The applicant has received or will receive the appropriate full Bus Testing Report and any applicable partial testing reports before final acceptance of the first vehicle.

CATEGORY 8. URBANIZED AREA FORMULA GRANTS PROGRAM.

If the applicant will apply for an award under the Urbanized Area Formula Grants Program (49 U.S.C. § 5307), or any other program or award that is subject to the requirements of 49 U.S.C. § 5307, including the Formula Grants for the Enhanced Mobility of Seniors Program (49 U.S.C. § 5310); “flex funds” from infrastructure programs administered by the Federal Highways Administration (see 49 U.S.C. § 5334(i)); projects that will receive an award authorized by the Transportation Infrastructure Finance and Innovation Act (“TIFIA”) (23 U.S.C. §§ 601–609) or State Infrastructure Bank Program (23 U.S.C. § 610) (see 49 U.S.C. § 5323(o)); formula awards or competitive awards to urbanized areas under the Grants for

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Buses and Bus Facilities Program (49 U.S.C. § 5339(a) and (b)); or low or no emission awards to any area under the Grants for Buses and Bus Facilities Program (49 U.S.C. § 5339(c)), the applicant must make the following certification. This certification is required by 49 U.S.C. § 5307(c)(1).


(a) Has or will have the legal, financial, and technical capacity to carry out the program of

projects (developed pursuant 49 U.S.C. § 5307(b)), including safety and security aspects of the program;

(b) Has or will have satisfactory continuing control over the use of equipment and facilities; (c) Will maintain equipment and facilities in accordance with the applicant’s transit asset

management plan; (d) Will ensure that, during non-peak hours for transportation using or involving a facility or

equipment of a project financed under this section, a fare that is not more than 50 percent of the peak hour fare will be charged for any— (1) Senior; (2) Individual who, because of illness, injury, age, congenital malfunction, or any

other incapacity or temporary or permanent disability (including an individual who is a wheelchair user or has semi-ambulatory capability), cannot use a public transportation service or a public transportation facility effectively without special facilities, planning, or design; and

(3) Individual presenting a Medicare card issued to that individual under title II or XVIII of the Social Security Act (42 U.S.C. §§ 401 et seq., and 1395 et seq.);

(e) In carrying out a procurement under 49 U.S.C. § 5307, will comply with 49 U.S.C. §§ 5323 (general provisions) and 5325 (contract requirements);

(f) Has complied with 49 U.S.C. § 5307(b) (program of projects requirements); (g) Has available and will provide the required amounts as provided by 49 U.S.C. § 5307(d)

(cost sharing); (h) Will comply with 49 U.S.C. §§ 5303 (metropolitan transportation planning) and 5304

(statewide and nonmetropolitan transportation planning); (i) Has a locally developed process to solicit and consider public comment before raising a

fare or carrying out a major reduction of transportation; (j) Either—

(1) Will expend for each fiscal year for public transportation security projects, including increased lighting in or adjacent to a public transportation system (including bus stops, subway stations, parking lots, and garages), increased camera surveillance of an area in or adjacent to that system, providing an emergency telephone line to contact law enforcement or security personnel in an area in or adjacent to that system, and any other project intended to increase the security and safety of an existing or planned public transportation system, at least

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1 percent of the amount the recipient receives for each fiscal year under 49 U.S.C. § 5336; or

(2) Has decided that the expenditure for security projects is not necessary; (k) In the case of an applicant for an urbanized area with a population of not fewer than

200,000 individuals, as determined by the Bureau of the Census, will submit an annual report listing projects carried out in the preceding fiscal year under 49 U.S.C. § 5307 for associated transit improvements as defined in 49 U.S.C. § 5302; and

(l) Will comply with 49 U.S.C. § 5329(d) (public transportation agency safety plan).

CATEGORY 9. FORMULA GRANTS FOR RURAL AREAS. If the applicant will apply for funds made available to it under the Formula Grants for Rural Areas Program (49 U.S.C. § 5311), it must make this certification. Paragraph (a) of this certification helps FTA make the determinations required by 49 U.S.C. § 5310(b)(2)(C). Paragraph (b) of this certification is required by 49 U.S.C. § 5311(f)(2). Paragraph (c) of this certification, which applies to funds apportioned for the Appalachian Development Public Transportation Assistance Program, is necessary to enforce the conditions of 49 U.S.C. § 5311(c)(2)(D).

(a) The applicant certifies that its State program for public transportation service projects,

including agreements with private providers for public transportation service— (1) Provides a fair distribution of amounts in the State, including Indian reservations;

and (2) Provides the maximum feasible coordination of public transportation service

assisted under 49 U.S.C. § 5311 with transportation service assisted by other Federal sources; and

(b) If the applicant will in any fiscal year expend less than 15% of the total amount made available to it under 49 U.S.C. § 5311 to carry out a program to develop and support intercity bus transportation, the applicant certifies that it has consulted with affected intercity bus service providers, and the intercity bus service needs of the State are being met adequately.

(c) If the applicant will use for a highway project amounts that cannot be used for operating expenses authorized under 49 U.S.C. § 5311(c)(2) (Appalachian Development Public Transportation Assistance Program), the applicant certifies that— (1) It has approved the use in writing only after providing appropriate notice and an

opportunity for comment and appeal to affected public transportation providers; and

(2) It has determined that otherwise eligible local transit needs are being addressed.

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CATEGORY 10. FIXED GUIDEWAY CAPITAL INVESTMENT GRANTS AND THE EXPEDITED PROJECT DELIVERY FOR CAPITAL INVESTMENT GRANTS

PILOT PROGRAM. If the applicant will apply for an award under any subsection of the Fixed Guideway Capital Investment Program (49 U.S.C. § 5309), including an award made pursuant to the FAST Act’s Expedited Project Delivery for Capital Investment Grants Pilot Program (Pub. L. 114-94, div. A, title III, § 3005(b)), the applicant must make the following certification. This certification is required by 49 U.S.C. § 5309(c)(2) and Pub. L. 114-94, div. A, title III, § 3005(b)(3)(B).


(a) Has or will have the legal, financial, and technical capacity to carry out its Award,

including the safety and security aspects of that Award, (b) Has or will have satisfactory continuing control over the use of equipment and facilities

acquired or improved under its Award. (c) Will maintain equipment and facilities acquired or improved under its Award in

accordance with its transit asset management plan; and (d) Will comply with 49 U.S.C. §§ 5303 (metropolitan transportation planning) and 5304

(statewide and nonmetropolitan transportation planning).

CATEGORY 11. GRANTS FOR BUSES AND BUS FACILITIES AND LOW OR NO EMISSION VEHICLE DEPLOYMENT GRANT PROGRAMS.

If the applicant is in an urbanized area and will apply for an award under subsection (a) (formula grants) or subsection (b) (competitive grants) of the Grants for Buses and Bus Facilities Program (49 U.S.C. § 5339), the applicant must make the certification in Category 8 for Urbanized Area Formula Grants (49 U.S.C. § 5307). This certification is required by 49 U.S.C. § 5339(a)(3) and (b)(6), respectively.

If the applicant is in a rural area and will apply for an award under subsection (a) (formula grants) or subsection (b) (competitive grants) of the Grants for Buses and Bus Facilities Program (49 U.S.C. § 5339), the applicant must make the certification in Category 9 for Formula Grants for Rural Areas (49 U.S.C. § 5311). This certification is required by 49 U.S.C. § 5339(a)(3) and (b)(6), respectively.

If the applicant, regardless of whether it is in an urbanized or rural area, will apply for an award under subsection (c) (low or no emission vehicle grants) of the Grants for Buses and Bus Facilities Program (49 U.S.C. § 5339), the applicant must make the certification in Category 8 for Urbanized Area Formula Grants (49 U.S.C. § 5307). This certification is required by 49 U.S.C. § 5339(c)(3).

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Making this certification will incorporate by reference the applicable certifications in Category 8 or Category 9.

CATEGORY 12. ENHANCED MOBILITY OF SENIORS AND INDIVIDUALS WITH

DISABILITIES PROGRAMS. If the applicant will apply for an award under the Formula Grants for the Enhanced Mobility of Seniors and Individuals with Disabilities Program (49 U.S.C. § 5310), it must make the certification in Category 8 for Urbanized Area Formula Grants (49 U.S.C. § 5307). This certification is required by 49 U.S.C. § 5310(e)(1). Making this certification will incorporate by reference the certification in Category 8, except that FTA has determined that (d), (f), (i), (j), and (k) of Category 8 do not apply to awards made under 49 U.S.C. § 5310 and will not be enforced.

In addition to the certification in Category 8, the applicant must make the following certification that is specific to the Formula Grants for the Enhanced Mobility of Seniors and Individuals with Disabilities Program. This certification is required by 49 U.S.C. § 5310(e)(2).


(a) The projects selected by the applicant are included in a locally developed, coordinated

public transit-human services transportation plan; (b) The plan described in clause (a) was developed and approved through a process that

included participation by seniors, individuals with disabilities, representatives of public, private, and nonprofit transportation and human services providers, and other members of the public;

(c) To the maximum extent feasible, the services funded under 49 U.S.C. § 5310 will be coordinated with transportation services assisted by other Federal departments and agencies, including any transportation activities carried out by a recipient of a grant from the Department of Health and Human Services; and

(d) If the applicant will allocate funds received under 49 U.S.C. § 5310 to subrecipients, it will do so on a fair and equitable basis.

CATEGORY 13. STATE OF GOOD REPAIR GRANTS.

If the applicant will apply for an award under FTA’s State of Good Repair Grants Program (49 U.S.C. § 5337), it must make the following certification. Because FTA generally does not review the transit asset management plans of public transportation providers, this certification is necessary to enforce the provisions of 49 U.S.C. § 5337(a)(4).

The applicant certifies that the projects it will carry out using assistance authorized by the State of Good Repair Grants Program, 49 U.S.C. § 5337, are aligned with the applicant’s most recent

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transit asset management plan and are identified in the investment and prioritization section of such plan, consistent with the requirements of 49 CFR Part 625.

CATEGORY 14. INFRASTRUCTURE FINANCE PROGRAMS.

If the applicant will apply for an award for a project that will include assistance under the Transportation Infrastructure Finance and Innovation Act (“TIFIA”) Program (23 U.S.C. §§ 601–609) or the State Infrastructure Banks (“SIB”) Program (23 U.S.C. § 610), it must make the certifications in Category 8 for the Urbanized Area Formula Grants Program, Category 10 for the Fixed Guideway Capital Investment Grants program, and Category 13 for the State of Good Repair Grants program. These certifications are required by 49 U.S.C. § 5323(o).

Making this certification will incorporate the certifications in Categories 8, 10, and 13 by reference.

CATEGORY 15. ALCOHOL AND CONTROLLED SUBSTANCES TESTING.

If the applicant will apply for an award under FTA’s Urbanized Area Formula Grants Program (49 U.S.C. § 5307), Fixed Guideway Capital Investment Program (49 U.S.C. § 5309), Formula Grants for Rural Areas Program (49 U.S.C. § 5311), or Grants for Buses and Bus Facilities Program (49 U.S.C. § 5339) programs, the applicant must make the following certification. The applicant must make this certification on its own behalf and on behalf of its subrecipients and contractors. This certification is required by 49 CFR § 655.83.

The applicant certifies that it, its subrecipients, and its contractors are compliant with FTA’s regulation for the Prevention of Alcohol Misuse and Prohibited Drug Use in Transit Operations, 49 CFR Part 655.

CATEGORY 16. RAIL SAFETY TRAINING AND OVERSIGHT.

If the applicant is a State with at least one rail fixed guideway system, or is a State Safety Oversight Agency, or operates a rail fixed guideway system, it must make the following certification. The elements of this certification are required by 49 CFR §§ 659.43, 672.31, and 674.39.

The applicant certifies that the rail fixed guideway public transportation system and the State Safety Oversight Agency for the State are:

(a) Compliant with the requirements of 49 CFR Part 659, “Rail Fixed Guideway Systems;

State Safety Oversight”; (b) Compliant with the requirements of 49 CFR Part 672, “Public Transportation Safety

Certification Training Program”; and (c) Compliant with the requirements of 49 CFR Part 674, “Sate Safety Oversight”.

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CATEGORY 17. DEMAND RESPONSIVE SERVICE. If the applicant operates demand responsive service and will apply for an award to purchase a non-rail vehicle that is not accessible within the meaning of 49 CFR Part 37, it must make the following certification. This certification is required by 49 CFR § 37.77.

The applicant certifies that the service it provides to individuals with disabilities is equivalent to that provided to other persons. A demand responsive system, when viewed in its entirety, is deemed to provide equivalent service if the service available to individuals with disabilities, including individuals who use wheelchairs, is provided in the most integrated setting appropriate to the needs of the individual and is equivalent to the service provided other individuals with respect to the following service characteristics:

(a) Response time; (b) Fares; (c) Geographic area of service; (d) Hours and days of service; (e) Restrictions or priorities based on trip purpose; (f) Availability of information and reservation capability; and (g) Any constraints on capacity or service availability.

CATEGORY 18. INTEREST AND FINANCING COSTS.

If the applicant will pay for interest or other financing costs of a project using assistance awarded under the Urbanized Area Formula Grants Program (49 U.S.C. § 5307), the Fixed Guideway Capital Investment Grants Program (49 U.S.C. § 5309), or any program that must comply with the requirements of 49 U.S.C. § 5307, including the Formula Grants for the Enhanced Mobility of Seniors Program (49 U.S.C. § 5310), “flex funds” from infrastructure programs administered by the Federal Highways Administration (see 49 U.S.C. § 5334(i)), or awards to urbanized areas under the Grants for Buses and Bus Facilities Program (49 U.S.C. § 5339), the applicant must make the following certification. This certification is required by 49 U.S.C. §§ 5307(e)(3) and 5309(k)(2)(D).


(a) Its application includes the cost of interest earned and payable on bonds issued by the

applicant only to the extent proceeds of the bonds were or will be expended in carrying out the project identified in its application; and

(b) The applicant has shown or will show reasonable diligence in seeking the most favorable financing terms available to the project at the time of borrowing.

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CATEGORY 19. CONSTRUCTION HIRING PREFERENCES. If the applicant will ask FTA to approve the use of geographic, economic, or any other hiring preference not otherwise authorized by law on any contract or construction project to be assisted with an award from FTA, it must make the following certification. This certification is required by the Consolidated Appropriations Act, 2021, Pub. L. 116-260, div. L, title I, § 199(b).

The applicant certifies the following:

(a) That except with respect to apprentices or trainees, a pool of readily available but

unemployed individuals possessing the knowledge, skill, and ability to perform the work that the contract requires resides in the jurisdiction;

(b) That the grant recipient will include appropriate provisions in its bid document ensuring that the contractor does not displace any of its existing employees in order to satisfy such hiring preference; and

(c) That any increase in the cost of labor, training, or delays resulting from the use of such hiring preference does not delay or displace any transportation project in the applicable Statewide Transportation Improvement Program or Transportation Improvement Program.

CATEGORY 20. CYBERSECURITY CERTIFICATION FOR RAIL ROLLING STOCK

AND OPERATIONS. If the applicant operates a rail fixed guideway public transportation system, it must make this certification. This certification is required by 49 U.S.C. § 5323(v), a new subsection added by the National Defense Authorization Act for Fiscal Year 2020, Pub. L. 116-92, § 7613 (Dec. 20, 2019). For information about standards or practices that may apply to a rail fixed guideway public transportation system, visit https://www.nist.gov/cyberframework and https://www.cisa.gov/.

The applicant certifies that it has established a process to develop, maintain, and execute a written plan for identifying and reducing cybersecurity risks that complies with the requirements of 49 U.S.C. § 5323(v)(2).

CATEGORY 21. PUBLIC TRANSPORTATION ON INDIAN RESERVATIONS

FORMULA AND DISCRETIONARY PROGRAM (TRIBAL TRANSIT PROGRAMS).

Before FTA may provide Federal assistance for an Award financed under either the Public Transportation on Indian Reservations Formula or Discretionary Program authorized under 49 U.S.C. § 5311(c)(1), as amended by the FAST Act, (Tribal Transit Programs), the applicant must select the Certifications in Category 21, except as FTA determines otherwise in writing.

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http://www.nist.gov/cyberframework

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18

Tribal Transit Program applicants may certify to this Category and Category 1 (Certifications and Assurances Required of Every Applicant) and need not make any other certification, to meet Tribal Transit Program certification requirements. If an applicant will apply for any program in addition to the Tribal Transit Program, additional certifications may be required.

FTA has established terms and conditions for Tribal Transit Program grants financed with Federal assistance appropriated or made available under 49 U.S.C. § 5311(c)(1). The applicant certifies that:

(a) It has or will have the legal, financial, and technical capacity to carry out its Award,

including the safety and security aspects of that Award. (b) It has or will have satisfactory continuing control over the use of its equipment and

facilities acquired or improved under its Award. (c) It will maintain its equipment and facilities acquired or improved under its Award, in

accordance with its transit asset management plan and consistent with FTA regulations, “Transit Asset Management,” 49 CFR Part 625. Its Award will achieve maximum feasible coordination with transportation service financed by other federal sources.

(d) With respect to its procurement system: (1) It will have a procurement system that complies with U.S. DOT regulations,

“Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards,” 2 CFR Part 1201, which incorporates by reference U.S. OMB regulatory guidance, “Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards,” 2 CFR Part 200, for Awards made on or after December 26, 2014,

(2) It will have a procurement system that complies with U.S. DOT regulations, “Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments,” 49 CFR Part 18, specifically former 49 CFR § 18.36, for Awards made before December 26, 2014, or

(3) It will inform FTA promptly if its procurement system does not comply with either of those U.S. DOT regulations.

(e) It will comply with the Certifications, Assurances, and Agreements in: (1) Category 05.1 and 05.2 (Charter Service Agreement and School Bus Agreement), (2) Category 06 (Transit Asset Management Plan), (3) Category 07.1 and 07.2 (Rolling Stock Buy America Reviews and Bus Testing), (4) Category 09 (Formula Grants for Rural Areas), (5) Category 15 (Alcohol and Controlled Substances Testing), and (6) Category 17 (Demand Responsive Service).

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1

FEDERAL FISCAL YEAR 2021 CERTIFICATIONS AND ASSURANCES FOR FTA ASSISTANCE PROGRAMS

(Signature pages alternate to providing Certifications and Assurances in TrAMS.)

Name of Applicant:

The Applicant certifies to the applicable provisions of categories 01–21.

Or,

The Applicant certifies to the applicable provisions of the categories it has selected:

Category Certification

1 Certifications and Assurances Required of Every Applicant

2 Public Transportation Agency Safety Plans

3 Tax Liability and Felony Convictions

4 Lobbying

5 Private Sector Protections

6 Transit Asset Management Plan

7 Rolling Stock Buy America Reviews and Bus Testing

8 Urbanized Area Formula Grants Program

9 Formula Grants for Rural Areas

10 Fixed Guideway Capital Investment Grants and the Expedited Project Delivery for Capital Investment Grants Pilot Program

11 Grants for Buses and Bus Facilities and Low or No Emission Vehicle Deployment Grant Programs

X

X

X

X

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12 Enhanced Mobility of Seniors and Individuals with Disabilities Programs

13 State of Good Repair Grants

14 Infrastructure Finance Programs

15 Alcohol and Controlled Substances Testing

16 Rail Safety Training and Oversight

17 Demand Responsive Service

18 Interest and Financing Costs

19 Construction Hiring Preferences

20 Cybersecurity Certification for Rail Rolling Stock and Operations

21 Tribal Transit Programs

FEDERAL FISCAL YEAR 2021 FTA CERTIFICATIONS AND ASSURANCES SIGNATURE PAGE

(Required of all Applicants for federal assistance to be awarded by FTA in FY 2021)

AFFIRMATION OF APPLICANT

Name of the Applicant:

BY SIGNING BELOW, on behalf of the Applicant, I declare that it has duly authorized me to make these Certifications and Assurances and bind its compliance. Thus, it agrees to comply with all federal laws, regulations, and requirements, follow applicable federal guidance, and comply with the Certifications and Assurances as indicated on the foregoing page applicable to each application its Authorized Representative makes to the Federal Transit Administration (FTA) in federal fiscal year 2021, irrespective of whether the individual that acted on his or her Applicant’s behalf continues to represent it.

FTA intends that the Certifications and Assurances the Applicant selects on the other side of this document should apply to each Award for which it now seeks, or may later seek federal assistance to be awarded during federal fiscal year 2021.

The Applicant affirms the truthfulness and accuracy of the Certifications and Assurances it has selected in the statements submitted with this document and any other submission made to FTA, and acknowledges that the Program Fraud Civil Remedies Act of 1986, 31 U.S.C. § 3801 et seq., and implementing U.S. DOT regulations, “Program Fraud Civil Remedies,” 49 CFR part 31, apply to any certification, assurance or submission made to

X

X

X

County of Kane

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FTA. The criminal provisions of 18 U.S.C. § 1001 apply to any certification, assurance, or submission made in connection with a federal public transportation program authorized by 49 U.S.C. chapter 53 or any other statute

In signing this document, I declare under penalties of perjury that the foregoing Certifications and Assurances, and any other statements made by me on behalf of the Applicant are true and accurate.

Signature Date:

Name Authorized Representative of Applicant

AFFIRMATION OF APPLICANT’S ATTORNEY

For (Name of Applicant):

As the undersigned Attorney for the above-named Applicant, I hereby affirm to the Applicant that it has authority under state, local, or tribal government law, as applicable, to make and comply with the Certifications and Assurances as indicated on the foregoing pages. I further affirm that, in my opinion, the Certifications and Assurances have been legally made and constitute legal and binding obligations on it.

I further affirm that, to the best of my knowledge, there is no legislation or litigation pending or imminent that might adversely affect the validity of these Certifications and Assurances, or of the performance of its FTA assisted Award.

Signature Date:

Name Attorney for Applicant

Each Applicant for federal assistance to be awarded by FTA must provide an Affirmation of Applicant’s Attorney pertaining to the Applicant’s legal capacity. The Applicant may enter its electronic signature in lieu of the Attorney’s signature within TrAMS, provided the Applicant has on file and uploaded to TrAMS this hard-copy Affirmation, signed by the attorney and dated this federal fiscal year.

County of Kane

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EXHIBIT D

INSTRUCTIONS FOR ANNUAL CERTIFICATION TO COMPLY WITH CODE OF FEDERAL REGULATIONS (CFR) – TITLE 2, PART 200

No

Project Name:

Does this Project receive federal funds? Yes

Amount of federal funds:

Federal Project Number: IL-37-X084 CFDA Number*, Federal Agency, Program Title: 20.516

*For CFDA (Catalog of Federal Domestic Assistance) Number, refer to original Federal Award/Grant Agreement.

The Regional Transportation Authority (RTA) is required by federal law to obtain and review the single audit of all Grantees that had any federally participating funds pass through it, irrespective of the amount provided by the RTA. It is the responsibility of the Grantee expending federal funds to comply with the requirements of CFR, Title 2, Part 200 and determine whether they are required to have a single audit performed. Therefore, in accordance with CFR, Title 2-Subtitle A, Chapter II, Part 200, Subpart F, Audit Requirements, you are required to have a single audit performed if $750,000 or more in federal awards from all sources including other agencies were expended in the fiscal year. To comply with this provision, the following must be submitted:

• The Grantee must submit to the RTA the attached Certification Form annually within onemonth of the close of the fiscal year.

• If applicable, a copy of the report of the single audit must be submitted no more than ninemonths after the end of the Grantee’s fiscal year.

If your agency receives multiple awards from the RTA, only one annual submittal of this information is required.

The single audit must be comprised of four parts. The Grantee has the option of including the four parts in one report or a combination of reports. The four parts are commonly known as:

1. Comprehensive Annual Financial Report (Financial Statements).2. Schedule of Expenditures of Federal Awards and Independent Auditor’s Report thereon.3. Independent Auditor’s Report on Internal Control over Financial Reporting and on Compliance

and other matters based on an Audit of Financial Statements performed in accordance withGovernment Auditing Standards.

4. Independent Auditor’s Report on Compliance with Requirements Applicable to each MajorProgram and on Internal Control over Compliance in accordance with CFR, Title 2, Part 200.

Additional information which should be submitted to RTA, if applicable:

1. Corrective Action Plan(s)2. Management Letter3. Status of Prior Year Findings

Ride in Kane Phase 9 & 10 JARC Operating

$824,676.79

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CODE OF FEDERAL REGULATIONS (CFR) – TITLE 2, PART 200 AUDIT REQUIREMENTS CERTIFICATION FORM

Grantee’s Legal Name:

Grantee’s Address:

Grantee’s Fiscal Year*: ________________________________ (month) (day) (year) (month) (day) (year)

*A fiscal year (or financial year, or sometimes budget year) is a period used for calculating annual ("yearly")financial statements in businesses and other organizations. The fiscal year is not your TSA contract period. Pleaseindicate above the fiscal year this certification covers.

Project Name(s): Please (1) check the appropriate box, (2) sign below, and (3) return this certification to the address below.

I certify our agency did not expend $750,000 or more in federal awards during the fiscal year entered above and was not required to have a single audit conducted.

Our agency will submit the audit no more than nine months after the end of the fiscal year.

Grantee’s Signature: Date:

Print Name and Title:

Phone: (______) E-Mail:

Please email to: Lalaine Alvarez Director, Audit (312) [email protected]


County of Kane

JARC Operating

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REPORT TITLE Subtitle (optional)

Month 20XX (required)

Section 5310

Program Management Plan

March 2021

Exhibit E

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Contents INTRODUCTION ..................................................................................................................... 4

Overview of the Regional Transportation Authority ...................................................................... 4

Overview of the Section 5310 Program .......................................................................................... 4

Overview of the Program Management Plan ................................................................................. 4

PROGRAM GOALS & OBJECTIVES ........................................................................................... 5

ROLES & RESPONSIBILITIES .................................................................................................... 6

Federal Transit Administration (FTA) .............................................................................................. 6

HSTP Project Advisory Committee (PAC) ........................................................................................ 6

Project Selection Team (PST) .......................................................................................................... 6

Regional Transportation Authority (RTA) ....................................................................................... 6

Illinois Department of Transportation (IDOT)................................................................................. 7

Chicago Metropolitan Agency for Planning (CMAP) ....................................................................... 7

COORDINATION .................................................................................................................... 8

The Coordinated Public Transit – Human Services Transportation Plan ........................................ 8

ELIGIBLE SUBRECIPIENTS ....................................................................................................... 8

LOCAL SHARE & LOCAL FUNDING REQUIREMENTS ................................................................. 9

PROJECT SELECTION CRITERIA & METHOD OF DISTRIBUTING FUNDS .................................... 10

Overview of Project Selection and Funding Allocation Process ................................................... 10

CRRSAA Apportionment Allocation .............................................................................................. 11

Project Selection Criteria .............................................................................................................. 11

Prospective Applicant Outreach Process ...................................................................................... 12

ANNUAL PROGRAM OF PROJECTS DEVELOPMENT & APPROVAL PROCESS ............................ 13

Program of Projects Development ............................................................................................... 13

Approval Process Overview .......................................................................................................... 13

ADMINISTRATION, PLANNING & TECHNICAL ASSISTANCE .................................................... 13

TRANSFER OF FUNDS ........................................................................................................... 14

PRIVATE SECTOR PARTICIPATION......................................................................................... 14

CIVIL RIGHTS ....................................................................................................................... 14

SECTION 504 & ADA REPORTING.......................................................................................... 16

PROGRAM PERFORMANCE MEASURES ................................................................................ 16

PROGRAM MANAGEMENT .................................................................................................. 17

Subrecipient Awardee Requirements ........................................................................................... 17

Operators and Providers as Subcontractors .......................................................................... 18

Procurement .......................................................................................................................... 18

Liquidated Damages Provisions ............................................................................................. 18

Contract Award Announcement ............................................................................................ 19

Contract Provisions ................................................................................................................ 19

Cost Principles and Cost Allocation............................................................................................... 19

Policy ...................................................................................................................................... 19

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Application of Cost Principles in Grants Management .......................................................... 20

Allowability of Costs .............................................................................................................. 20

Direct Costs ............................................................................................................................ 21

Indirect Costs ......................................................................................................................... 21

Designated Recipient Program Management .............................................................................. 21

The Review Process for Subrecipients .................................................................................... 22

Desk Review ........................................................................................................................... 23

Site Visit ................................................................................................................................. 23

Compliance Review Report .................................................................................................... 24

Accounting Systems and Audit ..................................................................................................... 24

Closeout Procedures ..................................................................................................................... 25

Subrecipient Closeout ............................................................................................................ 25

FTA Closeout .......................................................................................................................... 25

OTHER PROVISIONS ............................................................................................................. 26

Title VI Nondiscrimination ............................................................................................................ 26

Equal Employment Opportunity (EEO) ......................................................................................... 26

Section 504 of the Federal Transit Act .......................................................................................... 26

Americans with Disabilities Act ..................................................................................................... 26

Bus Testing Regulations ................................................................................................................ 26

Restrictions on Lobbying ............................................................................................................... 27

Purchasing, including Buy America ............................................................................................... 27

Maintenance, Satisfactory Continuing Control, Section 504 and ADA ......................................... 27

Safety and Security ....................................................................................................................... 28

Charter Bus and School Bus .......................................................................................................... 28

Drug-Free Workplace and Drug and Alcohol Testing ................................................................... 29

Labor Protections .......................................................................................................................... 29

PROGRAM MANAGEMENT PLAN REVISIONS ........................................................................ 29

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INTRODUCTION

Overview of the Regional Transportation Authority The Illinois State Legislature created the RTA in 1974 to provide public transportation in the six counties of Cook, DuPage, Kane, Lake, McHenry, and Will Counties. The RTA, governed by a 16-member Board, is responsible for fiscal planning and policy oversight of public transportation in the six county RTA region. The actual operation of transit services is the responsibility of the RTA's service boards: the Chicago Transit Authority (CTA), the Commuter Rail Division (Metra), and the Suburban Bus Division (Pace).

Overview of the Section 5310 Program The Enhanced Mobility of Seniors and Individuals with Disabilities Program (Section 5310) is a federal program administered by the Federal Transit Administration (FTA). The goal of the program is to improve mobility for seniors and individuals with disabilities throughout the country by removing barriers to transportation service and expanding transportation mobility options. The program supports transportation services planned, designed, and carried out to meet the special transportation needs of seniors and individuals with disabilities. Toward this goal, FTA provides financial assistance for transportation services planned, designed, and carried out to meet the special transportation needs of seniors and individuals with disabilities in all areas—large urbanized, small urbanized, and rural.

The Governor of Illinois designated the RTA to receive and dispense FTA Section 5310 funds. The RTA as the designated recipient is responsible for overseeing and administering a portion of the Section 5310 program in Northeastern Illinois that includes the six-county RTA region, comprising Cook, DuPage, Kane, Lake, McHenry and Will counties, plus the urbanized portions of Kendall County, Sandwich Township (DeKalb County), Somonauk Township (DeKalb County), and Aux Sable Township (Grundy County). The Illinois Department of Transportation (IDOT) is co-designated recipient of Section 5310 funding, and administers the vehicle purchasing through its Combined Vehicle Purchase Program.

Overview of the Program Management Plan This Program Management Plan (PMP) describes the Regional Transportation Authority’s (RTA) policies and procedures for administering the Federal Transit Administration (FTA) Section 5310 Enhanced Mobility of Seniors and Individuals with Disabilities Program. The RTA developed the PMP in accordance with current Federal Transit Laws and regulations as well as Circular 9070.1G. The PMP facilitates RTA’s management and administration of the Section 5310 program in accordance with federal requirements. It also serves as a Section 5310 program guide to the general public and prospective applicants and will assist the FTA in its oversight responsibilities by documenting RTA’s procedures and policies for administering these programs. As the designated recipient, the RTA is required to have an approved PMP on file with the FTA Region V office and to update it regularly to incorporate any changes in program management or new requirements. The PMP will be incorporated by reference and made a part of every Technical Services Agreement (TSA) between the RTA and any subrecipient of Section 5310 funds.

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The RTA continues to monitor the Job Access/Reverse Commute (JARC) program1, an activity that will continue through close-out of the active grants and will continue to be administered as delineated in the RTA’s JARC/NF Program Management Plan.

PROGRAM GOALS & OBJECTIVES The following goals were developed in coordination with the Human Services Transportation Plan (HSTP) Project Advisory Committee, a group of regional stakeholders who serve as an advisory committee to the RTA:

• Improve mobility for seniors and individuals with disabilities throughout Northeastern Illinois by removing barriers to transportation services and expanding the transportation mobility options available. Toward this goal, RTA will provide financial and technical assistance to prospective awardees and recipients of Section 5310 funding for transportation services planned, designed, and carried out to meet the special transportation needs of seniors and individuals with disabilities.

• Meet the federal requirements associated with receiving FTA funding Section 5310.

• Develop projects that encourage local coordination efforts.

• Facilitate the flow and appropriate level of Section 5310 program funding to the region by ensuring that the HSTP fully complies with the federal regulations and with the spirit and intent of the Section 5310 Program.

• Establish a framework by which proposed projects requesting Section 5310 program funding can be solicited and selected through a fair and equitable process.

• Ensure that all components of the Plan/Programs have benefited from a comprehensive public involvement effort that has effectively reached out to public, private, and non-profit transportation providers, human services providers and other stakeholders representing persons with disabilities, seniors, and the general public.

• Encourage not only coordination among services supported by the Section 5310 Program, but also coordination among the broad array of community transportation services in the seven-county region.

1 The federally funded Job Access Reverse Commute (JARC) program provided operating and capital assistance for transportation services that met the needs of low-income individuals and of reverse commuters. The New Freedom program provided public transportation alternatives beyond those required by the Americans with Disabilities Act. The RTA administered these two programs until 2013, when the JARC program was ended and the New Freedom program was rolled into the Section 5310 program.

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ROLES & RESPONSIBILITIES

Federal Transit Administration (FTA) The FTA, through its Region V Office in Chicago, has federal oversight responsibilities over local public and specialized transportation assistance programs. Regional responsibilities include reviewing and approving grant applications, program management plans, and grant management activities.

HSTP Project Advisory Committee (PAC) This committee of regional stakeholders helped update the Human Services Transportation Plan (HSTP). The members include representatives from the RTA Service Boards, IDOT, CMAP, the seven Northeastern Illinois counties, human services agencies that reflect populations of seniors, individuals with disabilities and low-income individuals and private non-profit and private for profit agencies. The HSTP PAC will continue to serve as an advisory body to the RTA, focusing on the ongoing implementation of the Section 5310 program.

Project Selection Team (PST) The project selection team (PST) is made up of seven representatives: two representatives from the Illinois Department of Transportation (IDOT), two from the RTA and two from the Chicago Metropolitan Agency for Planning (CMAP) and one from Easterseals. The PST members review each of the applications and score based on the criteria (identified later in this document) and recommend a Program of Projects that is released for public comment.

Regional Transportation Authority (RTA) The RTA as a designated recipient is responsible for overseeing and administering the Section 5310 Programs in Northeastern Illinois including the development a biennial Program of Projects (POP)2. In this capacity, the RTA also solicits applications, reviews and selects applications for funding, approves the POP, and submits the POP with the award applications to FTA. In addition, the RTA distributes award funds, conducts program planning, certifies the eligibility of applicants and project activities, monitors project activity for compliance with federal requirements, monitors usage of program assets by awardee, and oversees project

2 The Program of Projects (POP) consists of projects (and the associated budgets) selected by the project selection team from the pool of applications submitted during the call for projects.

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audit and close-out. The RTA also provides ongoing technical assistance to subrecipients and prospective subrecipients. RTA was responsible for leading the development of the HSTP and will be responsible for certifying that projects receiving Section 5310 funding were included in the HSTP. The RTA also staffs the HSTP Project Advisory Committee (PAC) and the Project Selection Team. The Project Selection Team is responsible for conducting the technical evaluation of project submittals in accordance with the HSTP.

Illinois Department of Transportation (IDOT) IDOT is a co-designated recipient of Section 5310 funds. The co-designation status was approved by the Chicago Metropolitan Agency for Planning (CMAP), the Metropolitan Planning Organization (MPO) for Northeastern Illinois. Under this arrangement, IDOT will be responsible for project selection and the award of Section 5310 funded paratransit vehicles and RTA will be responsible for all other Section 5310 projects.

IDOT will solicit applications for the Combined Vehicle Program (CVP), review the applications and select awardees. This funding will be for the purchase of lift and ramp-equipped paratransit vehicles for eligible program recipients. IDOT also remains the agency responsible for the management of that program. IDOT is a member of the HSTP PAC and a member of the Project Selection Team.

Chicago Metropolitan Agency for Planning (CMAP) The Chicago Metropolitan Agency for Planning (CMAP) is the regional planning agency for northeastern Illinois and staffs the MPO Policy Committee, which is designated as the region’s Metropolitan Planning Organization (MPO). CMAP has an established committee structure to help carry out the functions of the agency. Two of these committees, Human and Community Development and Transportation, also have specific roles with regard to the 5310 Program within the framework of their respective missions. The Human and Community Development Committee is made up of human service providers and advocates for older adults, persons with disabilities, and individuals with lower incomes. The committee is charged with providing advisory input to the CMAP board on proposed regional plans, projects, and policies from a human services based perspective. The RTA consults with this committee on the 5310 Program. The Human and Community Development Committee provided feedback on the updated HSTP. The CMAP Transportation Committee is charged with promoting a regional transportation system that is safe, efficient, and accessible while sustaining the region’s vision related to the natural environment, economic and community development, social equity, and public health. The Transportation Committee includes public and private transportation providers, IDOT, representatives of municipalities and the counties of Northeastern Illinois. The Transportation Committee is also responsible for recommending projects for inclusion in the region’s long-

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range plan and the region’s Transportation Improvement Program. The updated HSTP was presented to the CMAP Transportation Committee as well as the CMAP MPO Policy Committee for endorsement. Once a recommended POP is developed, it is submitted to the CMAP Human and Community Development Committee and CMAP Transportation Committee during the public comment period for information purposes. Two CMAP staff members also serve on the Project Selection Team. In addition, RTA has adopted the public participation requirements of the MPO in accordance with the FTA C 9030.1E Chapter V, Section 6d.

COORDINATION

The Coordinated Public Transit – Human Services Transportation Plan The Coordinated Public Transit-Human Service Transportation Plan (HSTP) was first developed in 2007 and updated in 2013 to reflect the creation of the Section 5310 program as part of new transportation legislation at the time, Moving Ahead for Progress in the 21st Century (MAP-21) and most recently updated in 2021. The updated HSTP is included in this document as Exhibit A.

The creation of the HSTP and subsequent updates to the document was a collaborative planning effort led by the RTA to identify and recommend regional and local strategies that encourage the most effective use of available community transportation services to enhance mobility for the region’s older adults, persons with disabilities and persons with low incomes. The scope of the project covered the seven counties of Cook, DuPage, Lake, Kane, McHenry, and Will, as well as urbanized portions of Kendall County, Aux Sable Township in Grundy County and Sandwich and Somonauk Townships in DeKalb County. Recommendations were derived from extensive outreach to stakeholders, riders and rider representatives.

Any projects to be funded with Section 5310 funding must be derived or included in a locally developed human services coordinated plan, such as the HSTP.

ELIGIBLE SUBRECIPIENTS Entities considered eligible under federal guidelines for the Section 5310 Programs are eligible for funding in Northeastern Illinois. Generally, private non-profit organizations, or state or local government authorities that: (1) is approved by a state to coordinate services for seniors and individuals with disabilities; or (2) certifies that there are no non-profit organizations readily available in the area to provide the service. Governmental authorities eligible to apply for Section 5310 funds as “coordinators of services for seniors and individuals with disabilities” are those designated by the state to coordinate human service activities in a particular area. Examples of

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such eligible governmental authorities are a county agency on aging or a public transit provider which the state has identified as the lead agency to coordinate transportation services funded by multiple federal or state human service programs. Private taxi companies that provide shared-ride taxi service to the general public on a regular basis are operators of public transportation, and therefore eligible subrecipients. “Shared-ride” means two or more passengers in the same vehicle who are otherwise not traveling together. Similar to general public and ADA demand response service, every trip does not have to be shared-ride in order for a taxi company to be considered a shared-ride operator, but the general nature of the service must include shared rides. The RTA encourages prospective applicants, which may not have the resources to assume the responsibilities of a subrecipient, to consider partnering with an RTA Service Board when the proposed project is within the RTA six-county area. A successful partnering approach eases the administrative burden on the smaller or inexperienced agency, while allowing the public transit operator and partnering agency to pool their expertise to develop a successful project. The RTA is also responsible for entering into supplemental agreements, as necessary, with the RTA Service Boards: Chicago Transit Authority, Metra, and Pace, which, as Section 5307 direct recipients are eligible to be direct recipients for Section 5310 projects.

LOCAL SHARE & LOCAL FUNDING REQUIREMENTS The use of non-cash or soft match for Section 5310 projects is more restrictive than federal guidelines. RTA is allowing non-cash or soft match only for volunteer transportation program activities, physical improvements, computer hardware, and computer software. Restricting the use of non-cash match to certain activities is designed to be consistent with and supportive of developing sustainable projects, a policy that has been strongly supported by the PAC. Obtaining the local cash match for a project in its initial stages, combined with other forms of local support, is a strong indicator of the potential sustainability of the project and thereby is encouraged by this policy. Federal guidelines allow for non-cash match provided either through donations, volunteer services and in-kind contributions or through the use of transportation development credits3. The RTA has elected to permit only the use of cash match.

3 Under this provision, a state is permitted to use certain toll revenue capital expenditures as a credit toward the non-federal matching share of eligible Transit projects.

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If a project is providing service through a contract operator and the project meets the definition of a “traditional” capital project4, that awardee will still provide the equivalent of a 50% match for the contracted operations. The RTA retains discretion to allow for a 20% match (where allowable) in instances of financial need or hardship. This decision was reached to maintain equity among projects that are providing operations and to discourage additional reliance on federal assistance. One issue that was cited in the HSTP is the difficulty of achieving financial sustainability for these services. It was felt that increasing the federal share for projects is counterproductive to developing sustainable projects. Local match funding must be drawn down at the same rate as awarded Section 5310 funds. This is to prevent delayed FTA drawdowns and potential loss of FTA funding due to inactivity. IDOT will be responsible for the awarding and purchase of Section 5310 vehicles, as noted previously. RTA will not be accepting applications for vehicles.

PROJECT SELECTION CRITERIA & METHOD OF DISTRIBUTING FUNDS

Overview of Project Selection and Funding Allocation Process In determining a fair and equitable process for project selection, the PAC took into consideration the needs of projects that are still in operation and the need to allow for the implementation of new projects. The following describes the process for funding allocation in the region:

• Funds will be allocated to IDOT, the designated recipient that will be responsible for selecting and awarding paratransit vehicles grants, based on the recent annual average of Section 5310 paratransit vehicle awards to Northeastern Illinois recipients.

• The balance of the estimated apportionments each year will be available to RTA. RTA will use this amount to defray RTA administration costs (if needed) and award eligible Section 5310 projects to Northeastern Illinois recipients.

4 Section 5310(b) provides that of the amounts apportioned to states and designated recipients, not less than 55 percent shall be available for traditional Section 5310 projects—those public transportation capital projects planned, designed, and carried out to meet the special needs of seniors and individuals with disabilities when public transportation is insufficient, unavailable, or inappropriate. Further, the law provides that a recipient may allocate the funds apportioned to it to: a. A private nonprofit organization; or b. A state or local governmental authority that: is approved by a state to coordinate services for seniors and individuals with disabilities; or (2) certifies that there are no nonprofit organizations readily available in the area to provide the service.

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• A competitive call for projects is released on a biennial basis, which allows for awarding two years of funding to potential operating projects. Applications received will be screened for eligibility by RTA staff and the Project Selection Team

• The Project Selection Team utilizes criteria approved by the PAC. In the event RTA submits an application, the RTA will recuse itself from scoring its own application(s) to ensure a fair and transparent project selection process.

• Separately, IDOT will solicit and evaluate paratransit vehicle grant applications in fulfillment of their role as designated recipient for that portion of the program.

• The Project Selection Team may recommend project approval at an amount and scope less than originally requested for any Section 5310 project submitted for consideration. In that instance, consultation will take place with the project applicant. The Selection criteria is summarized in the next section; detailed application and selection criteria are included in Exhibit B.

CRRSAA Apportionment Allocation On December 27, 2020, the Coronavirus Response and Relief Supplemental Appropriations Act of 2021 (CRRSAA) was signed into law. CRRSAA included supplemental appropriations for COVID-19 relief for the transit industry, specifically including Section 5310. The RTA will award the full Section 5310 appropriation to Pace Suburban Bus to support their ongoing Regional Call Center operations, which support many ongoing Section 5310 operating projects. Any additional recovery funds appropriated in 2021 will be included in the RTA’s biennial Call for Projects.

Project Selection Criteria Projects are first screened to determine whether they meet the following eligibility criteria:

• The proposed project addresses eligibility criteria laid out in the Section 5310 circular (FTA C 9070.1G, page III-9)

• The proposed project application identifies and addresses an unmet need identified in the HSTP

• A local match will be supplied

Eligible projects are then awarded points based on the following categories:

• Consistency with and support for the HSTP, Invest in Transit: The 2018-2023 Regional Transit Strategic Plan for Chicago and Northeastern Illinois and CMAP’s ON TO 2050 plan.

• Project utilizes or coordinates with existing public transportation providers and private human service agencies

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• Project demonstrates coordination between one or more partnering agency and improves access for target population

• Project provides for a mobility management function

• Project markets to the target population and promotes public awareness

• Project coordinates with existing public transportation providers and private human service agencies

• Applicant demonstrates ability to implement proposed project and manage federally-funded grants

• Applicant provides plan for assessing the proposed project’s performance through the course of the project, including tracking yearly data

Prospective Applicant Outreach Process Consistent with establishing and maintaining an open and transparent process, the RTA’s policy is to disseminate information and provide technical assistance to the maximum extent possible. Prospective applicants and the public are provided information on goals, eligible projects and activities, eligible applicants, selection criteria, description of the project selection process and Project Selection Team, available funding, local match guidelines, and the performance-monitoring program. This information is made available and disseminated through a variety of means:

• The RTA releases notice of the Call for Projects through various databases maintained by the RTA and CMAP, notifying over 3,000 individuals and organizations

• The Call for Projects timeline and all application materials are available on the RTA Website

• Program staff will meet with prospective applicants and interested parties in advance of or during the call for projects to answer questions prospective applicants may have

• The selection process utilizes evaluation criteria developed in consultation with the PAC.

• All applications received and the final approved POP are published on the program website rtachicago.com/section5310.

• The RTA will invite each unsuccessful applicant to a separate debriefing session designed to assist the applicant in understanding why a particular project was not chosen and to help RTA gain insights on how the process may be improved for future calls for projects

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• Applicants are provided with RTA staff contact information so they may receive technical assistance with the application or to obtain information on the program.

• Application materials include program information, funding availability and the criteria for screening and/or evaluation of the applications.

ANNUAL PROGRAM OF PROJECTS DEVELOPMENT & APPROVAL PROCESS

Program of Projects Development A competitive call for projects is held biennially (every other year) to solicit new capital and operating projects and continuation projects. Upon the initiation of a call for projects all pertinent materials regarding the selection of projects will be published on the rtachicago.com/Section5310 web site. The call is typically released in the spring with the program of projects selected by the Project Selection Committee (PSC) based on the published eligibility and selection criteria. The recommended program of projects is then presented to the RTA Board for approval in the fall, following a public comment period.

Approval Process Overview Once the recommended POP is developed by the Project Selection Team, it is released for a public comment period. During this public comment period, the recommended POP is presented to CMAP’s Transportation Committee and the HSTP PAC for comment. Upon the conclusion of the public comment period, the RTA Board considers approval of the recommended POP. Once approved by the RTA Board, the projects will be submitted to the Transportation Improvement Program (TIP) 5and the application will be submitted to FTA for approval.

ADMINISTRATION, PLANNING & TECHNICAL ASSISTANCE Based upon federal transportation legislation and FTA guidelines, designated recipients of Section 5310 funding may utilize up to 10% of each annual apportionment to support program

5 The Transportation Improvement Program (TIP) is metropolitan Chicago's agenda of surface transportation projects. The TIP lists all federally funded projects and regionally significant, non-federally funded projects programmed for implementation in the next five years.

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http://www.rtachicago.org/index.php/plans-programs/grants-projects/section-5310.html


administrative costs including administration, planning, and technical assistance (these funds are referred to as “program administration funds”). This activity may be funded entirely by federal funds and does not require local match. In accordance with these guidelines, the RTA will allow up to 10% of the total fiscal year apportionment allocated to RTA to defray administration, planning and technical assistance expenses. RTA will primarily use these funds for the administration of the Section 5310 program and to provide technical assistance to current and prospective recipients. Subrecipients will also be allowed to have up to 10% of the federal portion of their budget assigned to defraying Section 5310 project administrative expenses.

TRANSFER OF FUNDS Pursuant to C9070.1G, Chapter III, Section 5310 Funds cannot be transferred to other programs. Additionally, funds apportioned for large UZAs cannot be transferred to other areas.

PRIVATE SECTOR PARTICIPATION Federal law requires the public to be involved in the transportation planning process, and specifically requires that private providers be provided an opportunity to be consulted in developing transportation plans and programs in both urbanized and rural areas. Public involvement processes must be proactive and provide complete information, timely public notice, full public access to key decisions, and opportunities for early and continuing involvement throughout the transportation planning and programming process. To this end, the HSTP PAC includes private for profit and non-profit representation. As noted previously, the CMAP Human and Community Development and Transportation Committees also have representatives of both private for profit and private non-profit sector represented, providing these agencies an opportunity to participate in the development of the HSTP and the Section 5310 POP.

CIVIL RIGHTS The RTA agrees to comply with all applicable civil rights statutes and implementing regulations notated in the Section 5310 Circular (9070.1G). The RTA filed its most recent Title VI Program with the FTA on October 27, 2017. The program is currently under review by the FTA. In addition, the RTA specifically requires in all third party contracts and grant agreements that the contractor/recipient comply with all requirements of Title VI. Subrecipients are required to maintain and submit to the RTA a Title VI plan that complies with federal requirements.

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The RTA last submitted an update to its DBE program to the FTA in July 2014, and submitted its DBE Triennial goal in August 2017. The RTA will submit an updated Triennial goal in 2019. As required by 49 C.F.R. Part 26 and approved by U.S. DOT, the RTA’s DBE Program is incorporated into and made part of its third party contracts and agreements. The RTA specifically states in its third party contracts/grant agreements that breach of the RTA DBE Program and/or failure by the contractor/recipient to honor all commitments made to DBEs at the time of award will be considered a breach of contract. In addition, the RTA monitors invoices received to ascertain, among other things, that the contractor/recipient is providing the agreed upon work to any DBE subcontractors/subrecipients and that such DBE companies are being paid in a timely fashion. Any awardee under FTA programs is required to comply with all applicable Federal civil rights statutes and with the implementing regulations for the statutes. FTA implements the Civil Rights Act of 1964 by prohibiting discrimination under projects, programs or activities receiving financial assistance because of race, color, creed, national origin, sex or age. The laws include: Title VI of the Civil Rights Act of 1964, Equal Employment Opportunity, Disadvantaged Business Enterprise and Section 504 of the Rehabilitation Act of 1973 and the Americans with Disabilities Act of 1990 (ADA). The requirements for Civil Rights compliance are extended to subrecipients. Subrecipient assurances under Title VI and the other civil rights requirements are included in the application for assistance, in the required Annual Certifications and Assurances and in the contract with RTA. Subrecipient awardees are also required to identify any lawsuits or complaints alleging discrimination in service filed with the awardee. Civil rights monitoring will concentrate on how the awardee is providing service. Title VI also assures that funds are passed through to subrecipients and their project without regard to race, color, or national origin. Subrecipient awardees requesting or receiving capital or operating assistance in excess of $1 million in Federal funds in the previous Federal fiscal year or requests or received planning assistance in excess of $250,000 in the previous Federal fiscal year or employing 100 or more transit-related employees are required to develop and submit an EEO program to the RTA. If the subrecipient meets the foregoing criteria and is also a direct recipient of FTA funds, the subrecipient should continue to submit its EEO program to the FTA. Subrecipients that meet the same monetary threshold but employ 50 or more transit-related employees must prepare and maintain an abbreviated EEO program. EEO programs are developed to ensure that FTA applicants, recipients, subrecipients, contactors, and/or subcontractors will not discriminate against any employee or applicant for employment because of race, color, religion, national origin, sex, age, or disability. Actions covered include but are not limited to hiring, promotion or upgrading, demotion, transfer, recruitment or recruitment advertising, layoff or termination, disciplinary actions, rates of pay or other forms of compensation, and selection for training, including apprenticeship. EEO signs need to be posted in conspicuous places, such as an employee break room, and made available to employees and applicants. Subrecipient awardees

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receiving less than the above amount and employing fewer people need only to post information in their offices. Awardees receiving more than $250,000 in Federal funds, exclusive of rolling stock, must have DBE plans on file with the RTA. Periodic reports on plan compliance are required. Awardees receiving less than the threshold level must still make good faith efforts to utilize DBE’s and must submit periodic reports on these efforts. Subrecipients with an FTA approved DBE program shall be responsible for including all data relative to expenditures of FTA funds, no matter the intermediate source, in required DBE-related FTA submissions, including those funds utilized as a sub-recipient of an FTA grant to the RTA. This provision applies to subawardees at any tier. The RTA shall receive copies of all such reports.

SECTION 504 & ADA REPORTING The RTA agrees to comply with the requirements of 49 U.S.C. § 5301 (d), which state the federal policy that elderly individuals and individuals with disabilities have the same right as other individuals to use public transportation services and facilities, and that special efforts will be made in planning and designing those services and facilities to implement transportation accessibility rights for elderly individuals and individuals with disabilities. The RTA also agrees to comply with all applicable provisions of section 504 of the Rehabilitation Act of 1973, as amended, with 29 U.S.C. § 794 which prohibits discrimination of the basis of disability and with the Americans with Disabilities Act of 1990 (ADA), as amended, 42 U.S.C. §§ 12101 et seq., which requires that accessible facilities and services be made available to individuals with disabilities, and any subsequent amendments to these laws. Finally, the RTA agrees to comply with applicable laws in implementing federal regulations and directives and any subsequent amendments thereto. Section 504 of the Rehabilitation Act of 1973 prohibits discrimination on the basis of handicap by recipients of Federal financial assistance. Recipients of FTA funds are required to make special efforts to provide transportation that is accessible to individuals with disabilities. The RTA will monitor its sub-recipients’ compliance with Section 504 and ADA reporting requirements using the same procedure utilized for Civil Rights compliance, as detailed in the previous section.

PROGRAM PERFORMANCE MEASURES FTA has established performance measures for Section 5310. Designated recipients are responsible for collecting the information from the subrecipients and reporting data to FTA regarding these performance measures. The reporting and data collection measures for the

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Section 5310 Program will be prescribed in the grant agreements with subrecipients. Further, Subrecipients are also required to provide a plan for assessing the project’s success through defined measures as part of their program application. The Circular 9070.1G presents the program measures in Chapter II, at page II-2 and in Chapter VI, at page VI-17. Designated Recipients and States will submit both quantitative and qualitative information available on each of the following measures, as applicable to each subrecipient: (1) Gaps in Service Filled: Provision of transportation options that would not otherwise be available for seniors and individuals with disabilities measures in numbers of seniors and individuals with disabilities afforded mobility they would not have without program support. (2) Ridership: Actual or estimated number of rides (as measured by one-way trips) provided annually for seniors or individuals with disabilities on Section 5310 supported vehicles and services. (3) Physical Improvements: Additions or changes to environmental infrastructure (e.g. transportation facilities, sidewalks, etc.), technology, and vehicles that impact availability of transportation services as a result of project implemented in the current reporting year. The RTA includes additional performance measures above and beyond those required by the FTA and unique to each recommendation from the HSTP. Details can be found in the project application, which is an exhibit to the HSTP.

PROGRAM MANAGEMENT

Subrecipient Awardee Requirements This section applies to all RTA subrecipient awardees that contract with outside sources under the 5310 Program. If a subrecipient awardee accepts operating assistance, these requirements apply to all third party purchase orders and contracts, including contracts for operations. The subrecipient awardee is the entire legal entity even if only a particular component of the entity is designated in the grant agreement and other documents. For the purposes of this Third Party Contracting guidance, "awardee" also includes any subcontractor of the awardee. Furthermore, the subrecipient awardee is responsible for assuring that its subcontractors comply with the requirements and standards of this manual, and that subcontractors are aware of requirements imposed upon them. When procuring property and services a subrecipient awardee will follow the same procurement policies and procedures that it uses for procurements using non-RTA awarded funds providing those procedures do not contradict or lower the minimum contracting

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requirements of this section. Subrecipient awardees must, as a minimum, comply with the requirements of this section and ensure that every purchase order and contract executed by it or a subcontractor using RTA provided funds includes all clauses required by federal statutes and executive orders and their implementing regulations.

Operators and Providers as Subcontractors Subcontractors of awardees acting as either an operator or provider, which are institutions, hospitals or other nonprofit organizations, will administer contracts in accordance with these Third Party Contracting guidelines.

Procurement To ensure compliance with federal procurement requirements, RTA makes guidance and technical assistance accessible to its awardees consistent with oversight responsibilities delegated to RTA by agreements with FTA. Each recipient, including subrecipients, of FTA seeking Federal assistance to acquire property or services in support of its proposed project is requested to certify to FTA, in accordance with FTA Circular 4220.1 and 2 CFR 200, that its procurements and procurement system will comply with all applicable third-party procurement provisions of Federal laws, regulations, and directives, except to the extent FTA has expressly approved otherwise in writing. Certification of compliance will be made a part of each sub-recipient’s application and contract with RTA. The RTA is required to perform reviews of subrecipients in carrying out grant programs with specific reference to their compliance with statutory and administrative requirements. Accordingly, RTA will review subrecipient procurement policies when a subrecipient plans to pursue a procurement subject to its grant agreement with the RTA. This review will only take place at this time. The review shall establish whether the subrecipient’s procurement procedures conform to federal regulations, if not, RTA will require the subrecipient to follow procedures as approved by RTA in accordance with federal regulations. The RTA’s Technical Services Agreement, or “grant agreement,” lists all RTA and other state and federal requirements applicable to RTA’s awardees. The grant agreement will incorporate this document by reference. Many of these requirements are related to awardee procurements. Awardees are advised to consult the grant agreement for additional guidance and requirements.

Liquidated Damages Provisions An awardee may use liquidated damages if it may reasonably expect to suffer damages (increased costs on project) from late completion and the extent or amount of such damages can be reasonably determined. The assessment for damages shall be at a specific rate per day for each day of overrun in contract time, and the rate must be specified in the third party

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contract. Any liquidated damages recovered shall be credited to the project account involved unless RTA permits otherwise.

Contract Award Announcement If an awardee announces contract awards with respect to any procurement for goods and services (including construction services) having an aggregate value of $3,000 or more, the awardee shall:

• Specify the amount of RTA provided funds that will be used to finance the acquisition in any announcement of the contract award for such goods or services; and

• Express the said amount as a percentage of the total costs of the planned acquisition.

Contract Provisions All contracts shall include provisions to define a sound and complete agreement. In addition, contracts and subcontracts shall contain contractual provisions or conditions that allow for:

• Administrative, contractual, or legal remedies in instances where contractors violate or breach contract terms, including sanctions and penalties as may be appropriate.

• Termination for cause and for convenience by the awardee or subcontractor including the manner by which it will be effected and the basis for settlement.

Cost Principles and Cost Allocation This section provides principles for determining costs applicable to service provision performed by operators or providers under third party contracts with an RTA funded awardee; and where applicable, under such grants when the awardee is a multi-purpose organization which provides funded transportation services directly. These principles make no attempt to identify the circumstances or dictate the extent of agency and subcontractor participation in the financing of a particular project. The principles are designed to provide recognition of the full allocated costs of such an operating assistance project work under generally accepted accounting principles. No provision for profit or other increment above cost is intended for government and non-profit subrecipients. In addition, wherever the term subcontractor is used in this section, it shall have the same meaning as provider, operator, and third party contractor.

Policy The successful application of these principles requires development of mutual understanding between RTA, awardees and their third party contractors as to their scope, implementation, and interpretation. It is recognized that:

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• The arrangements for participation in the financing of an operating assistance project are properly subject to negotiation between the subcontractor and the awardee in accordance with whichever state, federal, and local laws and regulations as may be applicable.

• Each awardee, possessing its own unique combination of staff, facilities, and experience, should be encouraged to provide services in a manner consistent with its approved service plan and objectives.

• Each awardee, in the fulfillment of its obligations, should employ sound management practices.

• The application of the principles established herein should require no significant changes in the generally accepted accounting practices of awardees. Where wide variations exist in the treatment of a given cost item, the reasonableness of such treatments will be fully considered during the rate negotiations and audit.

Application of Cost Principles in Grants Management RTA will apply these principles and related policy guides in determining the costs incurred for such work under operating assistance projects funded in any part under an RTA grant agreement. These principles should also be used as a guide in the pricing of fixed-price contracts or lump sum agreements with subcontractors.

Allowability of Costs These are the tests of allowability of costs under these principles:

• Be necessary and reasonable for proper and efficient performance and administration of Federal awards.

• Be allocable to Federal awards under the provisions of this Circular.

• Be authorized or not prohibited under State or local laws or regulations.

• Conform to any limitations or exclusions set forth in these principles, Federal laws, terms and conditions of the Federal award, or other governing regulations as to types or amounts of cost items.

• Be consistent with policies, regulations, and procedures that apply uniformly to both Federal awards and other activities of the governmental unit.

• Be accorded consistent treatment. A cost may not be assigned to a Federal award as a direct cost if any other cost incurred for the same purpose in like circumstances has been allocated to the Federal award as an indirect cost.

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• Be determined in accordance with generally accepted accounting principles.

• Not be included as a cost or used to meet cost sharing or matching requirements of any other Federal award in either the current or a prior period, except as specifically provided by Federal law or regulation.

• Be the net of all applicable credits.

• Be adequately documented.

Direct Costs Direct costs are those costs which can be identified specifically with a particular project objective or activity which can be directly assigned to the project, relatively easily and with a high degree of accuracy.

Indirect Costs Indirect costs are those that have been incurred for common or joint objectives and therefore cannot be identified specifically (in whole or in part) with a particular program. Such costs are normally classified under the following functional categories:

• General administration and general expenses;

• Operating assistance and project administration expenses;

• Fixed facility operation and maintenance expenses; and

• Departmental administration expenses.

Awards under the program awarded prior to December 26, 2014, are subject to administrative requirements and cost principles found in 2 CFR Part 225. Awards made on or after December 26, 2014 shall follow guidance in 2 CFR Part 200 which supersedes and streamlines the former OMB Circulars on Uniform Administrative Guidance, A-87. For additional details regarding cost allocation principles, awardees should refer to either Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, 2 CFR Part 200 (formerly OMB Circular A-87), as amended or 2 CFR Part 230 (formerly OMB Circular A-122), “Cost Principles for Nonprofit Organizations,” as amended.

Designated Recipient Program Management The RTA developed a monitoring program and compliance review process to assure compliance with Federal and state requirements and to assist subrecipients with their efforts to improve project management and administration.

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In general, receipt of any Federal award carries with it contractual requirements for reporting on the project’s progress and for monitoring the use of award monies. Awards made by the Federal Transit Administration (FTA) are additionally monitored through performance reviews, either yearly or triennially, program management plan oversight, and site visits. In many instances, under the 5310 Program, the RTA is directly responsible for monitoring a sub-recipient/awardee’s ability to manage, control, and administer Federal funds.

The Review Process for Subrecipients Prior to the initiation of a grant agreement with a new subrecipient, an orientation meeting is held to review all federal program requirements so that the subrecipient has a clear expectation of what it must do to maintain compliance with federal requirements. Once a subrecipient has an executed grant agreement with the RTA, periodic reviews are undertaken. A full review is required every three years. Its major components are a desk review of files stored at the RTA’s office and an onsite visit of the awardee’s offices and operating facilities. The reviews are customized in accordance with the subrecipient’s project activities. For instance, a procurement review will only be undertaken if the subrecipient has a procurement activity or is expected to have a procurement project activity. The overall compliance review consists of meetings and physically reviewing files, notices, facilities and equipment. The review splits some of the areas for compliance review between the desk review and the site visit depending upon where documentation is maintained or stored and if it is necessary to retain an item at a specific site or that it be posted at a site. The need for site visits at other times also varies with the type of project involved. While they may coincide with a triennial review, these visits differ from those required every three years. They are generally made to review that the Federal and RTA interest is being maintained and in transit usage. For operating projects, the site visit might be conducted once over the term of the specific Federal grant or the subrecipient agreement. For capital projects, the site would be visited once every two years for the entire term that RTA maintains an interest in the project. Some compliance items are combined for review because of the interrelated nature of the source documents for an item or their location. A good example of this would be the on-site review of vehicle and equipment maintenance with ADA compliance and continuing control of grant funded property. Steps in the Review Process:

• Contact with awardee by email or letter to schedule the review

• Desk Review

• Site Visit

• Compliance Report

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For general site visits, the RTA has determined that the frequency will vary depending on the type of project involved. Every awardee will be visited before their project is initially implemented. For operating projects, the site will be visited one or more additional times during the term of the grant. For capital projects, the site will be visited once every two years for the entire term that RTA maintains an interest in the project. At final grant close-out RTA staff will visit the project site.

Desk Review The desk review is performed in the RTA offices and reviews information required to be in the final grant application and ongoing reporting requirements, such as quarterly progress reports, yearly reports or requisitions. Additionally, the RTA will review the subrecipient’s website for all Civil Rights requirements including the Title VI Plan.

Site Visit RTA staff will visit all Section 5310 subrecipients. The administrative purpose of the actual site visit is to:

• Conduct a face to face review meeting with the awardee

• Review the compliance areas that pertain to a specific awardee

• Verify compliance with the regulations associated with the receipt of Federal funds

• Review financial records

• Review project records

• Review written policies

• Review preventative maintenance records and inspect vehicles, equipment and facilities It also gives RTA and awardee staff members the opportunity to discuss technical issues. The general structure for the on-site review day includes:

• Entrance conference

• Visit facilities

• Inspect vehicles

• On-site records review

• Exit interview and meeting. Visiting the facility allows the reviewer to verify that the facility or the part of the facility supporting transit service is in transit usage. Additionally, it allows a general observation on the facility’s condition and whether required signs are properly posted. At some awardee properties it will be necessary to ride a route to review the service and ADA compliance. In the event that an on-site review is not possible, the subrecipient may arrange to review these items virtually via video webinar. A “ride behind” can replace a “ride along” on one of the vehicles to review the vehicle service and ADA compliance. This allows the reviewer to visually inspect without boarding the vehicle.

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The awardee can prepare for the on-site review by reviewing a check list that RTA will provide citing the areas being reviewed and the documents that will need to be made available. A finding of non-compliance in an area means that the awardee will need to focus on accumulating or preparing information to reach compliance. RTA staff will be available to provide assistance with reaching compliance. It is very important that appropriate staff members be available for the entire site visit. Appropriate staff members would include the general manager or executive director, the finance manager and the maintenance manager.

Compliance Review Report Upon the conclusion of the review process a final report will be produced that includes a summary of findings, if any, and their disposition. The report will be based on the results of the on-site review(s) as included in the Compliance Review Report. The Compliance Review Report includes an itemized list of each subject area that may be reviewed as applicable (Exhibit C). Once a subrecipient is notified of a deficiency, the subrecipient will be requested to respond with a plan to take the corrective action. In an instance where the compliance issue is not resolved to the satisfaction of the RTA, the RTA may:

• Suspend grant fund payments.

• Deem a subrecipient ineligible to receive additional grant funds either within the current program or future programs.

• Audit the subrecipient to determine compliance with contractual obligations.

• Terminate the grant contract(s).

Accounting Systems and Audit Awardees, operators, and third party contractors are responsible for establishing and maintaining adequate internal controls over all the functions which relate to project administration and implementation. The control systems must comply with the applicable Federal, FTA Grant Management, Circular 5010.1E, as revised) and all State of Illinois requirements. For grants funding services it is important that the service be marketed to the target populations for the program. The awardee should be able to demonstrate that such a program is in place and in use. The local share for grants must be from non-FTA sources and may include state funds as well as unrestricted Federal funds. Subrecipients are required to have an independent audit for operating grants. This must be prepared by an independent CPA and it must include a schedule

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of costs, revenues, and expenditures in comparison with the Approved Project Budget. All audits performed must meet the requirements of 2 CFR Part 200 Subpart F (formerly OMB Circular A-133), Audits of States, Local Governments, and Non-Profit Organizations. The scope of the audit must include an examination of the awardee and/or contractor records and test of transactions sufficient to enable the audit firm to express an opinion on the following items. That the records of receipts, disbursements, assets and liabilities and the presentation of those records in the financial statements of the awardee and/or contractor are in accordance with generally accepted accounting principles. The principles are consistently applied and present fairly the financial positions of the awardee and/or contractor and the results of its operations for the period covered by the audit. That the costs incurred are eligible under the contract. Finally, the audit must review the degree of compliance with the terms and conditions of the contract, the approved program and with RTA guidance.

Closeout Procedures

RTA will use a two-step process to a move a Federal grant to closeout:

Subrecipient Closeout Subrecipients are responsible for writing “Final Invoice” on the last invoice the subrecipient submits. This process begins when all activities in the Technical Services Agreement (TSA) are completed or all funds in in the agreement are fully expended. A final status report should accompany the final invoice. The final status report should state whether all project goals have been accomplished.

FTA Closeout The RTA is responsible for administering the Federal grant closeout through the FTA’s TrAMS system. The RTA will make any necessary adjustments to the project budget and conduct a final grant project audit as required by Title 2 – Part 200. Grant closeout procedures are outlined in the following FTA Circulars: Section 5310, 9070.1G, page VI-15 and Grant Management Requirements, C. 5010.1E, as revised, page III-14.

“The awardee must initiate close-out of a grant when all approved activities are completed and/or applicable Federal funds expended. All close-out documentation must be submitted within 90 days of the completion of all activities in the grant. This requires notifying FTA by letter or e-mail that the grant is ready for close-out. The awardee should electronically submit the following in TRAMS as part of the grant close-out process: 1) a final budget reflecting actual project costs by scope and activity; 2) a final Federal Financial Report; 3) a final narrative MPR indicating the actual completion date of each ALI; a discussion of each ALI contained in the final budget and list of project property purchased under the grant; 4) a request to deobligate any

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unexpended balance of Federal funds; and 5) any other reports required as part of the terms and conditions of the grant.” The Milestone Report will include information on the completion of the individual projects as well as the total project. All project records will be maintained by the RTA for three years.

OTHER PROVISIONS Prospective applicants are advised to carefully review the requirements of participating in RTA funded programs. In addition to state and local contractual provisions, subrecipient awardees must comply with the various federal requirements governing federal financial assistance programs. Accordingly, prospective applicants and awardees are advised to review the required federal provisions (and source documents) detailed in this section.

Title VI Nondiscrimination Requires that no person because of race, color, national origin, be excluded from participation in, or denied the benefits of any project funded in whole or in part with federal funds.

Equal Employment Opportunity (EEO) Requires that any recipient of FTA funds shall not discriminate against any employee or applicant for employment based on race, color, religion, sex, or national origin.

Section 504 of the Federal Transit Act Prohibits discrimination on the basis of disability by recipients of Federal financial assistance.

Americans with Disabilities Act Prohibits discrimination against qualified individuals in all programs, activities and services of public entities, as well as imposes specific requirements on public and private providers of public transportation.

Bus Testing Regulations Requires awardees to certify compliance with the federal bus testing requirements before accepting any new bus model.

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Restrictions on Lobbying Requires that no federal funds are used for lobbying and if other funds are used that specific reporting requirements are met.

Purchasing, including Buy America

• The “Common Rule “, U.S. DOT regulations, “Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments,”49 CFR part 18. and “Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals, and other Non-Profit Organizations,” 49 CFR part 19, permits states to follow the same policies and procedures which they use for procurements funded with non-federal funds, to the extent permitted by Federal statutes and regulations.

• The purchasing area includes all third party purchases and contracts entered into by the awardee with Federal funds. Awardees at a minimum must have established internal procurement procedures. Awardees must insure that every purchase order and contract issued by the awardee or a subcontractor using Federal funds includes all clauses required by Federal, state, RTA and local statutes, executive orders and implementing regulations.

The RTA permits awardees to follow their own procurement policies provided that the basic Federal Third Party Contracting Guidelines standards are included in the procurement action. Those standards are detailed in FTA Circular 4220.1F, as revised. If a awardee enters into agreement to operate service with a third party contractor the contractor is obligated to follow FTA procurement guidelines, regardless of the organizational status of the contractor, private for-profit or private non-profit.

Maintenance, Satisfactory Continuing Control, Section 504 and ADA Section 504 of the Rehabilitation Act, which preceded the Americans with Disabilities Act (ADA), prohibits discrimination of individuals on the basis of handicap by recipients of Federal financial assistance. The ADA, in addition to requiring the provision for complementary paratransit service, requires that vehicles and facilities be accessible. ADA regulations require that public and private entities providing transportation services maintain in operative condition all accessibility features such as lifts, elevators, ramps, securement devices, signage and communication equipment. Review of the awardee’s facilities, maintenance procedures and vehicles will include a review of facility accessibility and vehicle accessibility including lifts and other accessibility features. Training materials for operators will be reviewed. A bus route may be ridden to watch the system in operation.

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Under State of Illinois guidelines all equipment must be utilized 100% for transit purposes. This is consistent with FTA circulars and their requirements for continuing control of project property (C5010.1E, as revised, Chapter IV – Project Management at Section 3 e (1)) FTA C. 9070.G, at page VI-3, does encourage maximum use of vehicles funded under the program. In all instances the vehicles must be used first for program related needs. Federal policy does allow some incidental use if the other program or project uses are currently or were previously supported with Federal funds. This is considered incidental as long as it does not interfere with the program use outlined in the application.

Safety and Security The development of formal safety and security plans is mandated for all programs. RTA will provide assistance and direction to subrecipients with the intention of making sure that the subrecipient recognizes the need for and benefit of a safety and security plan. FTA’s authority in the area of safety is set forth in 49 USC 5329. Under this section FTA may conduct investigations into safety hazards and security risks. FTA and RTA are both concerned with the safety and security of transit passengers and transit workers. While conducting the on-site compliance part of the monitoring program RTA staff should be aware of any safety or security issues at the awardee’s property. Manufacturers of vehicles and equipment will have procedures available for the safe operation of their products and for the training of operators. Certain transit providers may be affected by Federal Motor Carrier Safety Regulations and state motor carrier regulations. Insurance carriers expect and may require that specific equipment and operational practices be followed and that workplace safety guidelines be developed. Emergency preparedness procedures should be coordinated with other local agencies and governments. Awardees should develop screening and training programs for volunteer drivers. The Agency Council on Coordinated Transportation (ACCT) published a guide “Volunteer Drivers – A Guide to Practices” to assist agencies in developing such programs. It contains useful information about managing a volunteer driver program including safety measures.

Charter Bus and School Bus The Charter Bus requirements, Title 49 U.S.C. 5323(d), generally limit the use by public transportation operators of federally funded equipment and facilities for charters unless there are no willing and able private operators available to operate the charter. Charter regulations (49 CFR Part 604), published in the Federal Register on January 14, 2008 (73 FR 2326) state, at §604.2 (e), “The requirements of this part shall not apply to a recipient that uses Federal financial

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assistance from FTA for program purposes only, under 49 U.S.C. 5310…..” This relieves the operator of a 5310 project from this requirement while operating service under this program. Additionally at Sub-part B – Exceptions §604.7 provides an exception for recipients providing charter service to a Qualified Human Services Organization. This type of organization is defined as “…an organization that serves persons who qualify for human services or transportation - related programs or services due to disability, income or advanced age.” §604.3(q). The School Bus requirements, Title 49 U.S.C. 5323(f), prohibit the use of FTA funds for exclusive school bus transportation for school students and school personnel. The regulations do permit regular service to be modified to accommodate students along with the general public.

Drug-Free Workplace and Drug and Alcohol Testing All recipients of FTA funding are required under 49 CFR part 32 to maintain a drug-free workplace for all employees and to have an anti-drug policy, awareness program and training program. Awardees/subrecipients must notify employees that the use, manufacture, distribution, or possession of a controlled substance is prohibited in the workplace. Illinois state regulations at 30 ILCS 580/1 do require that all awardees certify that they provide a drug-free workplace. FTA awardees that receive only 5310 program assistance are not subject to FTA’s Drug and Alcohol testing rules, but must comply with Federal Motor Carrier Safety Administration (FMCSA) rule for employees who hold Commercial Driver’s Licenses (CDL)(49 CFR part 382). All drivers of vehicles designed to transport 16 or more passengers (including the driver) must have a CDL. Mechanics that drive the vehicles must also have a CDL.

Labor Protections For FTA programs, 49 U.S.C. 5333(a) imposes Davis-Bacon Act prevailing wage requirements on construction projects. Section 5333(a) requires the Secretary ensure that all laborers and mechanics employed by contractors or subcontractors in the performance of construction work financed with the assistance of loans or grants under Chapter 53 be paid wages at rates not less than those prevailing on similar construction in the locality as determined by the Secretary of Labor in accordance with the Davis-Bacon Act, as amended.

PROGRAM MANAGEMENT PLAN REVISIONS The RTA will submit this PMP to FTA for review and approval. FTA will keep copy of this PMP on file at the FTA Region V offices. An approved PMP remains valid until FTA approves a later plan submitted by the RTA, an FTA management review results in a specific request to the RTA by FTA for a revised PMP, or FTA announces significant new program documentation requirements. The RTA is responsible for revising this PMP to ensure consistency with Federal / FTA requirements. The RTA will issue timely revisions to this PMP, when needed and especially

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when the information will be helpful to minority applicants, sub-recipients, and third-party contractors that will be affected by the revision. If the RTA proposes significant revisions to this PMP, the RTA will provide an opportunity for Members of the PAC to provide comments on the proposed changes. Additionally, if this PMP is significantly changed or if the changes are considered “pervasive,” the RTA will submit a revised PMP to FTA Region V for review and approval. The RTA is not required to submit minor changes to this PMP to FTA for review and approval; however, the RTA will ensure that FTA Region V is notified regarding changes to this PMP and will provide FTA Region V with an up-to-date copy of this PMP.

Revision Date Description

September 2018

Updated for FAST Act compliance and streamlining of content most useful for potential applicants and current awardees

March 2021 Updated to reflect the revised Human Services Transportation Plan (HSTP) and new policies and procedures for the Section 5310 program, including local match and funding policies, selection criteria and project selection team. CRRSAA apportionment and future recovery funds allocation policy documentation.

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Resolution No.

Adopting the Comprehensive Road Improvement Plan Associated with the Kane County Road Improvement Impact Fee Ordinance

Committee Flow: Transportation Committee, Executive Committee, County Board Contact: Tom Rickert, 630.406.7305

Budget Information:



Summary:

In accordance with Road Improvement Impact Fee Law, Kane County updated land use assumptions, the Comprehensive Road Improvement Plan (CRIP), the Road Improvement Impact Fee Ordinance, and Impact Fee Schedule. A Public Hearing was held on November 16, 2021 for consideration of the updated CRIP, Ordinance and the Fee Schedule. On December 7, 2021 the Impact Fee Advisory Committee (IFAC) reviewed the public comments and unanimously recommended adoption of the documents as presented. The CRIP identifies highway improvements, along with their estimated costs, that are needed to serve and support new development and economic growth. Existing deficiencies, system performance levels, land use assumptions and trip generation rates are outlined in this document.

A copy of the proposed CRIP is located at: <http://kdot.countyofkane.org/Pages/Impact-Fees.aspx> State Statute 605 ILCS 5/5-905(k) affirms that the County Board has no less than 30, nor more than 60 days from the date of the IFAC recommendation to adopt, reject in whole or in part, or modify by ordinance or resolution the updated Comprehensive Road Improvement Plan.

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STATE OF ILLINOIS

COUNTY OF KANE

RESOLUTION NO.

ADOPTING THE COMPREHENSIVE ROAD IMPROVEMENT PLAN ASSOCIATED WITH THE KANE COUNTY ROAD IMPROVEMENT IMPACT FEE ORDINANCE

WHEREAS, the County of Kane is authorized pursuant to the Illinois Highway Code of the Illinois Compiled Statutes (605 ILCS 5/5-901 et seq.), to adopt road improvement impact fees

pursuant to the Road Improvement Impact Fee Law thereof; and WHEREAS, the County Board of Kane County (hereinafter the “County Board”) has

determined that impact fees are an equitable and financially responsible approach to ensuring that adequate highways will be available to serve new residential, commercial and industrial development; and

WHEREAS, the Road Improvement Impact Fee Law requires the adoption of a

Comprehensive Road Improvement Plan (hereinafter the “CRIP”) in association with the adoption and implementation of a Road Improvement Impact Fee Ordinance; and

WHEREAS, the Road Improvement Impact Fee Law requires the adoption of a

Comprehensive Road Improvement Plan (hereinafter the “CRIP”) in association with the adoption and implementation of a Road Improvement Impact Fee Ordinance; and

WHEREAS, 605 ILCS 5/5-905(k) requires the Kane County Board to adopt, re ject in

who le or in part , or modify by resolution within sixty (60) days the proposed CRIP as recommended by the Kane County Road Improvement Impact Fee Advisory Committee in relation to said Road Improvement Impact Fee Ordinance; and

WHEREAS, on December 7, 2021, the Kane County Road Improvement Impact Fee

Advisory Committee approved and recommended the adoption of the updated CRIP and Road Improvement Impact Fee Ordinance.

NOW, THEREFORE, BE IT RESOLVED by the Kane County Board that the

Comprehensive Road Improvement Plan associated with the enactment by the County of Kane of a Road Improvement Impact Fee Ordinance is hereby approved and adopted.



Vote:

22-01 CRIP

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Kane County Division of Transportation

Comprehensive Road Improvement

Plan for Impact Fees

COUNTY BOARD ADOPTED:

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DRAFT KANE COUNTY COMPREHENSIVE ROAD IMPROVEMENT PLAN FOR IMPACT FEE III

Contents

Glossary of Terms ............................................................................................................................IV Preface .................................................................................................................................................. V Sections 1. Existing Highway System ..................................................................................................... 1

Network Performance Measures .......................................................................................... 4 Existing Deficiencies .............................................................................................................. 5 Kane County Highway System Performance Levels ........................................................ 8

2. Commitment to Cure Existing Deficiencies ...................................................................... 11 3. Land Use Assumptions ........................................................................................................ 13 4. Proposed Roadway Improvement Plan ............................................................................ 17 5. Funding Sources ................................................................................................................... 35 6. Intergovernmental Agreements ......................................................................................... 39 7. Proposed Road Improvement Schedule ............................................................................ 40 Appendixes A. Technical Specifications for Impact Fee Calculations B. Public Hearing Proceedings C. Impact Fee Ordinance Tables Table 1-1: Kane County Highways ................................................................................................... 1 Table 1-2: Urban Highway Level of ServiceA .................................................................................. 4 Table 1-3: Signalized Intersection Level of Service ......................................................................... 4 Table 3-1: Households by Township, 2015 – 2050 ........................................................................ 14 Table 3-2: Population by Township, 2015 – 2050 .......................................................................... 15 Table 3-3: Employment by Township, 2015 – 2050 ................................................................. 16 TABLE 4-1: Proposed Roadway Improvement Plan .................................................................... 17 Table 4-2: Scope of Proposed Improvements ................................................................................ 22 TABLE 4-3: Impact fee-eligible Project Cost ($Million) by Service Area ................................... 32 Table 5-1: Projected Highway Revenue, FY 2021-2030 ................................................................ 35 Table 5-2: Annual Projected Highway Revenue, FY 2021-2030A ................................................ 36 TABLE 7-1: Proposed Roadway Improvement Plan .................................................................... 40 Figures Figure 1-1: Kane County Highway system ...................................................................................... 3 Figure 1-2: Kane County Impact Fee Service Areas........................................................................ 7 Figure 1-4: Modeled 2020 Level of Service, Central Service Area ................................................ 9 Figure 1-5: Modeled 2020 Level of Service, South Service Area ................................................. 10 Figure 4-1: Proposed Roadway Improvement Plan ..................................................................... 21

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IV DRAFT KANE COUNTY COMPREHENSIVE ROAD IMPROVEMENT PLAN FOR IMPACT FEE

Glossary of Terms

The following are terms and their associated meanings that may be found within the plan.

ADT: Average Daily Traffic. This is the typical number of vehicles traveling a section of road over the course of a normal 24-hour weekday.

Capacity: The maximum sustainable flow rate at which vehicles can be expected to traverse a uniform segment of a lane or roadway during a specified time period under given roadway, geometric, traffic, environmental and control conditions. Expressed in this report as vehicles per hour per lane of roadway, or vehicles per hour entering an intersection,

CMAP: The Chicago Metropolitan Agency for Planning.

County: The County of Kane, State of Illinois.

CRIP: The Comprehensive Road Improvement Plan for Impact Fees.

FY: Fiscal Year.

IDOT: The Illinois Department of Transportation.

ISTHA: The Illinois State Toll Highway Authority.

KDOT: The Kane County Division of Transportation.

Lane-Miles: The number of lanes multiplied by the length of a roadway segment.

Local Option MFT: Motor fuel tax imposed by the County and collected at the pump for the purposes of road improvements on roads under the jurisdiction of Kane County.

LOS: Level of Service. A qualitative measure describing operational conditions within a traffic stream, based on service measures such as speed and travel time, freedom to maneuver, traffic interruptions, comfort and convenience. For roadways, LOS is typically expressed in terms of average operating speed ranging from LOS A (highest speed) to LOS F (lowest speed, or failure). Intersection LOS is typically based on delay time; the greater the delay time, the worse the level of service. Again, poorest performance receives the lowest LOS grade (E or F).

MFT: Motor Fuel Tax. The state allocation of revenues collected on gasoline at the pump disbursed to Kane County.

VMT: Vehicle Miles of Travel. This is the average daily traffic (ADT) on a roadway segment or group of roadway segments, multiplied by the length of the roadway segment in miles.

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DRAFT KANE COUNTY COMPREHENSIVE ROAD IMPROVEMENT PLAN FOR IMPACT FEE V

Preface

Impact fee programs are widely used by local governments throughout the United States to offset the high cost of providing fire, police, water, sanitary, school, road, and other services to new residents and businesses locating within their jurisdiction. These programs are used particularly in fast growing suburban communities, locations with high tourism or high retirement development and areas of extreme environmental sensitivity. By and large, the fees collected do not cover all the costs a unit of government accrues in providing a service. These fees do allow the implementing agency the opportunity to use its primary funding sources such as property taxes, motor fuel taxes, and state and federal assistance for the purpose of maintaining the existing infrastructure, correcting existing deficiencies in the infrastructure, and supplementing other funding sources to enable construction of improvements to the capacity of the highway system.

In Illinois, revenues available for highway purposes are strictly limited by statute. The size of the state Motor Fuel Tax is limited and Kane County has raised its local option MFT to the maximum amount. Property tax levies are limited by the Property Tax Extension Limitation Law. The County aggressively seeks outside funding for highway improvement projects from the state and Federal governments. Impact fees are needed to help fill the gap between the extensive needs and limited tax revenues.

General Goals

The Road Improvement Impact Fee Law created by the State of Illinois in 1989 cites two general goals for those agencies implementing impact fee programs in Illinois.

1. ". . . the imposition of such road improvement impact fees is designed to supplement other funding sources

so that the burden of paying for road improvements can be allocated in a fair and equitable manner."

2. ". . . to promote orderly economic growth throughout the State by assuring that new development bears

its fair share of the cost of meeting the demand for road improvements through the imposition of road

improvement impact fees."

Kane County supports these goals through the publication of this Comprehensive Road Improvement Plan for Impact Fees.

Objectives of the Plan

The Comprehensive Road Improvement Plan (CRIP) is a document required of each unit of local government wishing to implement the Road Improvement Impact Fee Law (605 ILCS 5/5-901 to et seq.). The Plan's primary function is to support the statue's goals by describing the existing roadway network and traffic conditions, quantifying the anticipated new development upon which the estimated improvements are based, identifying available funding sources, and listing the highway improvements anticipated to be needed, along with their estimated costs and anticipated year of construction.

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VI DRAFT KANE COUNTY COMPREHENSIVE ROAD IMPROVEMENT PLAN FOR IMPACT FEE

Because the CRIP is designed to pertain only to highways under Kane County jurisdiction, recommendations for short and long-range improvements on highways maintained by other governmental jurisdictions are not included in the recommended project list in Section 4. Intersections of highways under Kane County jurisdiction and highways under jurisdiction of other units of government are included.

Guide to the Plan

In accordance with the provisions of the Road Improvement Impact Fee Law, the CRIP is comprised of seven sections. The following synopsis provides a general idea of each section.

Section 1: Existing Highway System

Section 1 provides a description of all existing highways under the jurisdiction of the County, a list of deficiencies as of 2002 (the year of the County’s initial CRIP), and an estimate of all costs related to curing the existing deficiencies, including but not limited to the upgrading, updating, improving, expanding or replacing of such highways and the current level of service of the existing highways.

Section 2: Commitment to Cure Existing Deficiencies

Section 2 demonstrates the County’s commitment to constructing the improvements identified in Section 1 as being needed to cure the existing deficiencies in the County Highway system, where practicable.

Section 3: Land Use Assumptions

Section 3 presents the land use assumptions update adopted by the Kane County Board for this plan.

Section 4: Proposed Roadway Improvement Plan

Section 4 provides a description of the County highways proposed to be improved, expanded, enlarged or constructed to serve new development identified in Section 3, Land Use Assumptions, together with an estimate of all costs related to the improvement, expansion, enlargement or construction of those County highways.

Section 5: Funding Sources

Section 5 identifies all sources and levels of funding available to the County for the financing of the highway improvements identified in Sections 1 and 4.

Section 6: Intergovernmental Agreements

As the County’s proposed amended Road Improvement Impact Fee Ordinance provides only for the improvement of County Highways, this Section simply notes that any improvements to highways, roads or streets under another governmental jurisdiction may be funded with impact fees only to the extent needed to ensure the efficient operation of an adjacent intersection with a County Highway.

Section 7: Proposed Road Improvement Schedule

Section 7 provides a schedule setting forth estimated dates for commencing construction of all highway improvements identified in the CRIP.

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DRAFT KANE COUNTY COMPREHENSIVE ROAD IMPROVEMENT PLAN FOR IMPACT FEES 1

SECTION 1

Existing Highway System

As of 2020, the highway system in Kane County consisted of more than 2,100 miles of highways, including Interstate Highways, Freeways and Expressways, Arterials, Collectors and Local Streets. These highways are under the jurisdiction of the Illinois State Toll Highway Authority, the Illinois Department of Transportation (IDOT), Kane County, over thirty Municipalities, and sixteen Township Road Districts. Kane County has jurisdiction over approximately 300 miles of highways, primarily arterials and collectors, as defined by IDOT. Highways under the jurisdiction of Kane County are listed in Table 1-1 and are shown on Figure 1-1.

TABLE 1-1: KANE COUNTY HIGHWAYS

CH # Route From To

1 West County Line Road Main Street Road IL-64

2 Burlington Road Railroad Road IL-64

3 Allen Road Harmony Road US-20

4 Harter Road Perry Road IL-47

5 Silver Glen Road IL-47 IL-31

6 Galligan Road IL-72 Huntley Road

8 Fabyan Parkway Main Street Road DuPage County Line

10 Main Street Road West Co. Line Road Randall Road

11 Peplow Road – French Road IL-64 IL-72

14 Meredith Road Keslinger Road IL-64

15 Healy/Tanner Roads - Oak Street Bliss Road Orchard Road

16 Bunker Road Main Street Road Keslinger Road

17 Bowes Road Muirhead Road McLean Boulevard

18 McLean Boulevard Spring Street Bowes Road

19 Dunham Road Kirk Road IL-25

20 Army Trail Road IL-25 DuPage County Line

21 Big Timber Road Harmony Road Randall Road

22 Plank Road Burlington Road US-20

23 Thatcher Road DeKalb County Line Beith Road

24 Jericho Road US-30 Orchard Road

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SECTION 1: EXISTING HIGHWAY NETWORK

2 DRAFT KANE COUNTY COMPREHENSIVE ROAD IMPROVEMENT PLAN FOR IMPACT FEE

TABLE 1-1: KANE COUNTY HIGHWAYS

CH # Route From To

26 Hughes Road IL-47 Fabyan Parkway

27 Sauber Road - Lees Road IL-64 IL-47

28 McGough Road IL-64 Peplow Road

29 Montgomery Road IL-25 Hill Avenue

30 Huntley Road McHenry County Line Sleepy Hollow Road

32 Plato Road Burlington Road Bowes Road

33 Russell Road Plato Road Plank Road

34 Randall Road Orchard Road McHenry County Line

35 Granart Road Kendall County Line Rhodes Street

36 Harmony – Getty Allen Road US-20

37 Stearns Road Randall Road DuPage County Line

38 Plank Road DeKalb County Line Burlington Road

41 Keslinger Road DeKalb County Line Randall Road

44 Davis – Scott – Swan Road US-30 Main Street Road

45 Allen Road DeKalb County Line Harmony Road

46 Burlington – Walker Road Plank Road Allen Road

47 Highland Avenue Coombs Road Randall Road

48 Scott Road Davis Road Harter Road

49 Ellithorpe Road McGough Road Burlington Road

51 Dittman Road Burlington Road Plato Road

56 Ramm Road McGough Road IL-47

59 Tyrrell Road Big Timber Road IL-72

61 West Bartlett Road IL-25 Cook County Line

62 Dauberman Road US-30 Keslinger Road

69 Empire Road IL-47 Burlington Road

71 Mooseheart Road Randall Road IL-31

77 Kirk Road IL-56 Dunham Road

78 Bliss Road IL-47 Main Street Road

80 Corron Road Burlington Road Bowes Road

81 LaFox Road Keslinger Road IL-64

83 Orchard Road US-30 Randall Road

84 Kaneville – Peck Road Fabyan Parkway IL-38

86 Longmeadow Parkway Huntley Road Il-62

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FIGURE 1-1: KANE COUNTY HIGHWAY SYSTEM

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System Performance Measures

Transportation engineers measure the performance of a segment of highway or a highway intersection in terms of level of service (LOS) during the highest traffic period of the day; usually the afternoon peak hour of traffic. The level of service of a highway segment is measured in terms of average operating speed. The level of service of an intersection is measured in terms of average vehicular delay. Levels of service range from A, representing free-flow conditions, to F, representing heavy congestion and/or gridlock. LOS values of D or better are generally considered to be acceptable. Segments and Intersections that operate at a level of service of E or F are considered deficient due to excessive travel delays. The thresholds used to convert modeled travel speeds into LOS values are shown Table 1-2. Signalized intersections are rated in accordance with Table 1-3. These ratings are based on national standards adopted by the Transportation Research Board.

TABLE 1-2: URBAN HIGHWAY LEVEL OF SERVICEA

Level of Service

(LOS)

Average Travel Speed (MPH)

55 MPH Speed Limit

50 MPH Speed Limit

45 MPH Speed Limit

40 MPH Speed Limit

35 MPH Speed Limit

30 MPH Speed Limit

25 MPH Speed Limit

A 44 40 36 32 28 24 20

B 37 34 30 27 23 20 17

C 28 25 23 20 18 15 13

D 22 20 18 16 14 12 10

E 17 15 14 12 11 9 8

F <17 <15 <14 <12 <11 <9 <8

A – Reproduced from Table 18-1 in the Highway Capacity Manual, 6th Edition

TABLE 1-3: SIGNALIZED INTERSECTION LEVEL OF SERVICE

LOS Average Vehicular Delay (Seconds)

A <10

B 10-20

C 20-35

D 35-55

E 55-80

F >80

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Existing Deficiencies

When Kane County adopted its first Comprehensive Road Improvement Plan for impact fees, the County identified six highway segments and sixteen intersections that operated at a deficient level of service (LOS E or F). These are identified in Table 1-4 and Table 1-5, respectively. These tables also identify the reason for the deficiency and the estimated cost to bring the intersection or roadway segment into an acceptable level of service based on 2002 traffic volumes.

TABLE 1-4: KANE COUNTY HIGHWAY SEGMENTS WITH A DEFICIENT LOS IN

2002Project

Roadway Extents

LOS

Reason for Deficiency

Est. Cost

Included in Project #2

Big Timber Road IL-72 to Damisch Rd.

E Heavy westbound volumes

See Table 4-1, project #2

Improvement Completed

Keslinger Road Peck Rd. to Randall Rd.

E Heavy eastbound volumes

-


LaFox Road Keslinger Rd. to IL-38

E Heavy northbound volumes at IL-38

-


LaFox Road IL-38 to Campton Hills Rd.

E Heavy southbound volumes at IL-38

-


Kirk Road IL-56 to Wind Energy Pass

E Heavy northbound and southbound volumes

-

TABLE 1-5: KANE COUNTY INTERSECTIONS WITH A DEFICIENT LOS IN 2002

Project Intersection LOS Reason for Deficiency Est. Cost


Kirk Rd. @ IL-56 F Heavy northbound and southbound approach volumes

-


Burlington Rd. @ IL-47 F Heavy approach volumes on IL-47

-


Big Timber Rd. @ IL-72 F Heavy westbound and southbound approach volumes



Huntley Rd. @ Square Barn Rd. F Heavy westbound approach and eastbound left turn volumes

-

Improvement Completed Randall Rd. @ Crane Road F

Heavy northbound and southbound approach volumes

-


Randall Rd. @ Longmeadow Pkwy.

F Heavy northbound and southbound approach volumes

-


Fabyan Pkwy. @ Paramount Pkwy.

F Heavy westbound approach volume


Improvement Completed-

Mooseheart Rd. @ IL-31 F Heavy northbound and southbound approach volumes

-

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Project Intersection LOS Reason for Deficiency Est. Cost


LaFox Rd. @ IL-38 F Heavy eastbound and westbound approach volumes

-

Improvement Completed-

Silver Glen Rd. @ IL-31 F Heavy northbound and southbound approach volumes

-


Fabyan Pkwy. @ Kaneville Rd. F Heavy westbound approach volume

-


Randall Rd. @ IL-64 E Heavy turning volumes on all approaches

-


Randall Rd. @ US-20 Ramps / Foothill Dr.

E

Heavy northbound and southbound approach volumes; heavy eastbound turning movements



Kirk Rd. @ Fabyan Pkwy. E Heavy turning movements on all approaches

-

Jusrisdiction Transferred

Penny Rd. @ IL-68 E Heavy westbound and eastbound approach volumes

-


Main St. @ Nelson Lake Rd. E Heavy westbound approach volume

-

Impact Fee Service Areas

The CRIP program divides Kane County (and the County highway network) into three service areas. Impact fees generated within a given service area must be expended entirely within that same service area, helping to ensure that the funds benefit the portion of the County they are collected in. Service area boundaries are shown in Figure 1-2.

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FIGURE 1-2: KANE COUNTY IMPACT FEE SERVICE AREAS

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Kane County Highway System Performance Levels

The modeled 2020 level of service for each segment on the County highway network is shown in Figure 1-3 for the North service area, Figure 1-4 for the Central service area, and Figure 1-5 for the South service area. The LOS values symbolized on Figures 1-3 to 1-5 represents the average bidirectional travel speed on each segment over the course of a 24-hour day. Segment travel speeds were converted to LOS values using the thresholds summarized in Table 1-2.

Figure 1-3: Modeled 2020 Level of Service, North Service Area

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FIGURE 1-4: MODELED 2020 LEVEL OF SERVICE, CENTRAL SERVICE AREA

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FIGURE 1-5: MODELED 2020 LEVEL OF SERVICE, SOUTH SERVICE AREA

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SECTION 2

Commitment to Cure Existing Deficiencies

Through adoption of this CRIP, the County of Kane is committed to correcting, to the extent practicable, the deficiencies in the County highway system identified in Section 1 of this Plan. The projects needed to correct existing deficiencies are identified in Section 1. The proposed Impact Fee-eligible projects needed to correct the existing deficiencies are identified in Section 4, and a schedule for their implementation can be found in Section 7.

.

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SECTION 3

Land Use Assumptions

To confirm the need for existing CRIP projects, and to identify new projects, the location and magnitude of future growth within Kane County must be forecasted. Projections for household, population, and employment growth were sourced from data produced by the Chicago Metropolitan Agency for Planning (CMAP). To maintain consistency with the recently-completed Kane County 2050 Long-Range Transportation Plan (LRTP), the same base CMAP dataset was used in the LRTP was used for the CRIP update.

To model growth over time, the base CMAP data for 2015, 2020, 2030, 2040, and 2050 was aggregated into traffic analysis zones (TAZ). TAZ-level data for 2020 and 2030 was presented to Kane County municipalities for comment. Based on municipal feedback, comments from the public hearing process, and further input from KDOT staff, the base 2020 and 2030 data was refined to align with anticipated growth in the County.

The refined land use estimates for the 2030 CRIP update were validated at the county level using 2010 and 2020 Census data and CMAP regional assumptions to maintain consistency between regional and local planning efforts.

Adjustments to variations at the township level were reconciled and households, population and employment were re-allocated based on local coordination and input from KDOT staff to better reflect current and future projected land uses.

Using these forecasts, together with specific allocation at the traffic analysis zones, the land use assumptions contained in Tables 3-1, Table 3-2, and Table 3-3 were adopted by the Kane County Board to be used in the travel demand model to assist with the development the 2030 CRIP for Kane County.

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SECTION 3: LAND USE ASUMPTIONS


TABLE 3-1: HOUSEHOLDS BY TOWNSHIP, 2015 – 2050

TownshipA 2015B 2020C 2030C 2050B

Aurora 47,497 49,976 56,090 68,213

Batavia 13,230 14,194 16,089 18,536

Big Rock 720 983 1,724 3,988

Blackberry 5,026 5,437 6,468 11,018

Burlington 747 1,035 1,922 5,490

Campton 5,570 6,281 7,554 10,528

Dundee 21,582 23,442 27,880 33,914

Elgin 35,180 37,244 42,615 49,101

Geneva 9,809 10,733 12,797 15,548

Hampshire 3,066 4,031 5,895 9,599

Kaneville 493 545 674 1,199

Plato 2,545 3,749 4,803 7,431

Rutland 9,144 10,835 13,922 19,286

St. Charles 18,852 20,454 22,892 25,486

Sugar Grove 7,097 7,806 8,395 15,916

Virgil 781 961 1,345 2,952

TOTAL 181,339 197,706 231,065 298,205

A - Political Township: Kane County GIS Department B - 2015 and 2050 Households: CMAP 2018 Quarter 3 Confomity Analysis C - 2020 and 2030 Households: CMAP 2018 Quarter 3 Confomity Analysis Adjusted Based on County and

Municipality Feedback

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TABLE 3-2: POPULATION BY TOWNSHIP, 2015 – 2050

TownshipA 2015B 2020C 2030C 2050B

Aurora 146,217 152,356 166,308 197,184

Batavia 36,014 38,227 42,277 47,429

Big Rock 1,890 2,494 3,832 8,105

Blackberry 15,410 16,436 18,767 29,701

Burlington 1,998 2,723 4,343 11,298

Campton 16,873 18,604 21,475 28,462

Dundee 65,503 70,271 81,378 95,903

Elgin 102,049 106,881 118,885 133,968

Geneva 26,053 27,977 31,567 37,294

Hampshire 8,126 10,049 13,203 20,156

Kaneville 1,232 1,361 1,650 2,820

Plato 7,475 10,222 12,295 18,135

Rutland 23,475 26,833 32,955 41,320

St. Charles 50,286 53,593 58,293 63,650

Sugar Grove 20,101 21,695 22,331 39,637

Virgil 2,051 2,468 3,167 6,476

TOTAL 524,753 562,190 632,726 781,538

A - Political Township: Kane County GIS Department B - 2015 and 2050 Population: CMAP 2018 Quarter 3 Confomity Analysis C - 2020 and 2030 Popluation: CMAP 2018 Quarter 3 Confomity Analysis Adjusted Based on County and


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TABLE 3-3: EMPLOYMENT BY TOWNSHIP, 2015 – 2050

TownshipA 2015B 2020C 2030C 2050B

Aurora 49,900 53,077 56,544 69,720

Batavia 14,214 14,469 15,246 18,474

Big Rock 3,660 3,727 4,064 5,379

Blackberry 3,122 3,256 3,744 6,660

Burlington 539 610 942 3,253

Campton 2,318 2,468 2,937 4,890

Dundee 33,156 36,344 39,382 46,501

Elgin 39,185 40,646 43,411 52,786

Geneva 23,824 24,140 25,394 27,938

Hampshire 2,632 2,766 3,243 5,926

Kaneville 431 460 571 986

Plato 906 997 1,296 3,027

Rutland 3,919 4,861 7,433 9,433

St. Charles 27,685 28,716 30,115 33,239

Sugar Grove 4,756 5,607 5,905 11,154

Virgil 331 377 554 1,653

TOTAL 210,578 222,521 240,781 301,019

A - Political Township: Kane County GIS Department B - 2015 and 2050 Employment: CMAP 2018 Quarter 3 Confomity Analysis C - 2020 and 2030 Employment: CMAP 2018 Quarter 3 Confomity Analysis Adjusted Based on County and


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SECTION 4

Proposed Highway Improvement Plan

Following adoption of the ten-year Land Use Assumptions by the Kane County Board, projected traffic volumes on County highways were estimated using a transportation planning model. Resulting traffic volumes were used to identify highway improvement projects needed to accommodate future development and maintain an acceptable level of service on County highways. The cost of those projects, including engineering, land acquisition and construction were estimated. The proposed roadway program was reviewed by the Impact Fee Advisory Committee and municipal comments were solicited. After extensive review and discussion, the projects identified in Table 4-1 and depicted in Figure

4-1 were recommended by the Impact Fee Advisory Committee. For those projects that in whole or in part are needed to address the existing deficiencies identified in Section 1, the portion of the total project cost needed to address existing deficiencies is is not included in the impact fee-eligble portion of the project cost. The scope of proposed improvements included in each CRIP project is summarized in Table 4-2. The allocation of impact fee-eligible project costs to service areas in shown in Table 4-3.

TABLE 4-1: PROPOSED ROADWAY IMPROVEMENT PLAN

Project Route Location/Limits IF Eligible** Project Scope*

Est. Cost

($Mill)

IF Cost ($Mill)

1 Beith Rd. at IL-47 CH, SI Y 1.30 1.30

2 Big Timber Rd. Ketchum Rd. to Randall Rd. WI-3, WI-4, RA, SI, CH

P 78.08 77.61

3 Bliss Rd. IL-47 to Fabyan Pkwy./ Main St. WI-3, RA, CH, SI, BR

Y 20.96 20.96

4 Bunker Rd. at Hughes Rd. SI, PH-1 Y 0.48 0.48

5 Bunker Rd. at Main St. SI, CH Y 2.25 2.25

6 Bunker Rd. Realignment with LaFox Rd. RA, SI, NR Y 6.04 6.04

7 Burlington Rd. at Old LaFox Rd. CH, SI Y 1.86 1.86

8 Corron Rd. at Bowes Rd. CH, SI Y 0.66 0.66

9 Corron Rd. at Silver Glen Rd. CH, SI Y 1.20 1.20

10 Corron Rd. at McDonald Rd. CH, SI Y 0.74 0.74

11 Corron Rd. Extension to Nesler Rd or improvement at Bowes/Nesler

NR, GS Y 16.72 16.72

12 Dunham Rd. Stearns Rd. to Kirk Rd. SI, CH Y 12.13 12.13

13 Kirk Rd. Dunham Rd. to IL-64 SI, CH Y 12.13 12.13

14 Empire Rd. at IL-47 CH, SI, RA Y 3.24 3.24

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SECTION 4: PROPOSED ROADWAY IMPROVEMENT PLAN




Est. Cost

($Mill)

IF Cost ($Mill)

15 Fabyan Pkwy. Main St. to Randall Rd. CH, WI-4,

SI, RA Y 36.22 36.22

16 Fabyan Pkwy. Western Ave. to Paramount Pkwy. WI-3, WI-5, CH, SI, BH

P 50.48 44.88

17 French Rd. Realignment with Harmony Rd. RA, GS, NR Y 19.24 19.24

18 Galligan Rd. Freeman Rd. to Binnie Rd. WI-3, CH Y 4.50 4.50

19 Galligan Rd. Realignment south of Huntley Rd. RA, CH, SI Y 4.56 4.56

20 Granart Rd. Jericho Rd. to US-30 / Dauberman Rd.

GS, RA, CH, SI, NR

P 22.40 6.09

21 Harter Rd. at IL-47 CH, SI Y 1.38 1.38

22 Harter Rd. at Scott Rd. CH, SI Y 2.44 2.44

23 Harter Rd. at Main St. CH, SI Y 3.02 3.02

24 Hughes Rd. at IL-47 CH, SI Y 0.73 0.73

25 Huntley Rd. County Line Rd. to Sleepy Hollow Rd.

WI-4, CH, SI, OPT

Y 51.84 51.84

26 Jericho Rd. at Ashe Rd. CH, SI Y 0.93 0.93

27 Jericho Rd. at IL-47 CH Y 0.29 0.29

28 Kaneville Rd. at Peck Rd. CH, SI Y 1.88 1.88

29 Kirk Rd. at IL-38 CH, BW Y 8.53 8.53

30 Kirk Rd. Fabyan Pkwy. to south of Wilson St.

WI-6, CH Y 17.10 17.10

31 LaFox Rd. at Campton Hills Dr. CH, SI Y 5.34 5.34

32 Lake Cook Rd. at IL-62 CH Y 1.36 1.36

33 Longmeadow Pkwy.

Huntley Rd. to Randall Rd. WI-4 Y 0.75 0.75

34 Main St. Bunker Rd. to Randall Rd. WI-3, CH, SI P 30.71 30.20

35 Meredith Rd. Realignment with Dauberman Rd. RA, NR, CH,

SI Y 4.90 4.90

36 Meredith Rd. Realignment with Peplow Rd. RA, NR Y 5.37 5.37

37 Montgomery Rd.

IL-25 to Hill Ave. WI-4, WI-3,

CH P 22.59 20.59

38 Orchard Rd. US-30 to Randall Rd. WI-6, BW P 85.96 45.36

39 Peplow Rd. Realignment with French Rd. RA, NR, GS Y 18.51 18.51

40 Plank Rd. Russell Rd. to US-20 WI-4, CH, SI Y 4.82 4.82

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Est. Cost

($Mill)

IF Cost ($Mill)

41 Randall Rd. Silver Glen Rd. to Corporate Pkwy.

IC, CH, WI-6 P 260.07 241.04

42 Randall Rd. Orchard Rd. to north of Oak St. (St. Charles)

WI-6, WI-4, BW, BR, CH

P 89.99 82.60

43 Silver Glen Rd. at IL-47 CH, SI Y 0.38 0.38

44 Tanner Rd. Realignment with Deerpath Rd. RA Y 5.59 5.59

45 Tyrell Rd. Raymond Dr. to Mason Rd. WI-3 Y 0.42 0.42

*Project Scope Codes **Eligibility Codes

AWS All Way Stop Y Eligible for IF funding BH Bridge Rehabilitation N Ineligible for IF funding BR Bridge Replacement P Partially eligible for IF funding BW Bridge Widening CH Channelization/Turn Lanes GS Grade Separation IC Interchange NB New Bridge NR New Road RA Roadway Realignment SI Traffic Signal Installation WI-3 Add Left Turn Lane WI-4 Widen to 4 through lanes WI-6 Widen to 6 through lanes

Note: In some cases it may be possible to build a roundabout rather than install a traffic signal.

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FIGURE 4-1: PROPOSED ROADWAY IMPROVEMENT PLAN

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TABLE 4-2: SCOPE OF PROPOSED IMPROVEMENTS

Project Scope

1 Beith Road at IL-47

Eligible Scope Includes:

Installation of a traffic signal

Addition of left-turn lanes on all four legs

2 Big Timber Road – Ketchum Road to Randall Road


Widening Big Timber to a three-lane cross section from a point approximately 1000 feet west of Randall Road to Ketchum Road

Intersection Improvements at:

o Ketchum Road – Installation of traffic signal

o US-20 – Widening Big Timber Road to a four-lane cross section in intersection vicinity; addition of dedicated left- and right-turn lanes on Big Timber Road; modifications to existing traffic signal to accommodate expanded roadway cross section

o Reinking Road – Realigning approximately 1000 feet of Reinking Road to form a new northbound approach to the existing intersection of Big Timber Road and Sandwald Road

o Sandwald Road – Installation of traffic signal with realigned Reinking Road; installation of right and left-turn lanes

o IL-47 – Widening Big Timber Road to a four-lane cross section in intersection vicinity; addition of right-turn lanes on Big Timber Road; modifications to existing traffic signal to accommodate expanded roadway cross section

o Damisch Road – Installation of traffic signal; addition of a right-turn lane and left-turn lane

o Coombs Road – Installation of traffic signal; addition of a left-turn lane on Coombs Road; addition of a right-turn lane on Big Timber Road

Non-eligible Scope Includes:

Addition of right-turn lanes at IL-72

3 Bliss Road – IL-47 to Fabyan Parkway/Main Street


Reconstruction of Bliss Road to a three-lane cross section between IL-47 and Fabyan Parkway/Main Street

Realignment of Bliss Road to a point approximately 1,200 feet east of the existing terminus along Main Street, opposite Fabyan Parkway

Installation of a traffic signal at Bliss Road and Healy Road

Addition of right-turn lanes at Bliss Road and Healy Road

Additional improvements to Bliss Road at the intersection with Main Street are included in project #13

4 Bunker Road and Hughes Road


Installation of a traffic signal; intersection modifications

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Project Scope

5 Bunker Road at Main Street


Installation of traffic signal

Addition of left-turn lanes on the eastbound and southbound intersection approaches

Addition of a right-turn lane on westbound approach

6 Bunker Road Realignment with LaFox Road


Extension of Bunker Road north and east to connect to LaFox Road at a point approximately 0.5 miles north of the existing UPRR grade crossing. Extension to have a two-lane cross section.

Installation of roundabout at Bunker Road and Keslinger Road

7 Burlington Road at Old LaFox Road



Addition of one left-turn lane on the northbound approach and one right-turn lane on the eastbound approach

8 Corron Road at Bowes Road



Addition of left-turn lanes on the northbound and westbound approaches, and addition of a right-turn lane on the eastbound approach

9 Corron Road at Silver Glen Road



Addition of left- and right-turn lanes on all four approaches

10 Corron Road at McDonald Road




11 Corron Road Extension to Nesler Road or Intersection improvements at Bowes Road and Nesler Road


Extension of Corron Road north to Nesler Road

Feasibility Study needed to determine scope

12 Dunham Road – Stearns Road to Kirk Road


Addition of left- and right-turn lanes at intersections on Dunham Road from approximately 500 feet south of Stearns Road to the intersection with Kirk Road

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Project Scope

13 Kirk Road – Dunham Road to IL-64


Addition of left- and right-turn lanes at intersections on Kirk Road from Dunham Road to the high school entrance south of Fox Chase Drive

Widening Kirk Road to a six lane cross section in the vicinity of the IL-64 intersection; addition of one new left-turn lane on the northbound and southbound approaches in order to provide dual lefts

14 Empire Road at IL-47


Installation of traffic signal at Empire Road and IL-47


Addition of left-turn lane on IL-47 at Lily Lake Grade School entrance

Realignment of Hanson Road intersection with Empire Road, and addition of westbound left-turn lane on Empire Road at Hanson Road

15 Fabyan Parkway – Main Street to Randall Road


Widening Fabyan Parkway to a four-lane cross section from Main Street to Randall Road; minor alignment adjustments at Main Street to match with realigned Bliss Road

Intersection Improvements:

o Main Street: Installation of a roundabout

o Hughes Road: Realignment of side-street approach to improve intersection geometry; installation of a traffic signal; addition of north-eastbound and eastbound left-turn lanes; addition of a south-westbound right-turn lane

o Wenmoth Road: Installation of a traffic signal; addition of left-turn lanes on the northbound and westbound approaches

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Project Scope

16 Fabyan Parkway – Western Avenue to Paramount Parkway


Addition of a center left-turn lane on Fabyan Parkway from Heather Road to approximately 1,000 feet west of IL-31

Widening Fabyan Parkway to a six-lane cross section from approximately 1,000 feet west of IL-31 to roughly 1,000 feet east of IL-25

Expanding the existing Fox River bridge to accommodate the widened roadway cross section

Addition of a center left-turn lane on Fabyan Parkway from approximately 300 feet east of Raddant Road to approximately 500 feet west of Kirk Road

Addition of a center left-turn lane on Fabyan Parkway from approximately 300 feet east of Kirk Road to Paramount Parkway

Intersection improvements:

o IL-31: Addition of turn lanes; signal modification to accommodate the expanded roadway cross section

o IL-25: Addition of turn lanes; signal modification to accommodate the expanded roadway cross section

o Louis Bork Drive / Kautz Road Extension: Installation of traffic signal and turn lanes

Non-Eligible Scope Includes:

Installation of a traffic signal at Fabyan Parkway and Paramount Parkway

17 French Road Realignment with Harmony Road – IL-72 to Allen Road


Extension of French Road on a new two-lane alignment from IL-72 to Allen Road, terminating at the existing intersection with Harmony Road

Construction of a new two-lane overpass over CPRR (formerly Soo Line) trackage

Intersection improvements:

o IL-72: Installation of a traffic signal and addition of with turn lanes on all four approaches

o Allen Road: Installation of a traffic signal and addition of with turn lanes on all four approaches

18 Galligan Road – Freeman Road to Binnie Road


Addition of a center left-turn lane from Freeman Road to Binnie Road

Addition of a left-turn lanes at the Freeman Road intersection and Binnie Road intersection

19 Galligan Road Realignment South of Huntley Road


Realignment of Galligan Road to a point west of its current intersection with Huntley Road; realigned street to have a two-lane cross section

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Project Scope

20 Granart Road – Jericho to US-30 / Dauberman


New north-south alignment from the intersection of Dauberman and US-30, due south to existing Granart, including a grade separation at the BNRR and US 30

Profile adjustment on Dauberman to accommodate vertical alignment of railroad overpass

Addition of turn lanes on all legs at the Jericho Road and US-30 intersections

Realignment of the east leg of the new intersection with Granart Road formed by the Dauberman extension south

Addition of turn lanes on Granart at Rhodes Avenue

Construction of approximately 3,200 lineal feet of new 2-lane rural roadway

21 Harter Road at IL-47



Addition of southbound and eastbound right-turn lanes

22 Harter Road at Scott Road



Addition of left-turn and right-turn lanes on all four intersection approaches

23 Harter Road at Main Street



Addition of left-turn and right-turn lanes on all four intersection approaches

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Project Scope

24 Hughes Road at IL-47



Addition of a left-turn lane on the westbound approach; addition of a right-turn lane on the northbound approach

25 Huntley Road – County Line Road to Sleepy Hollow Road


Widening of Huntley Road to a four-lane cross section from Kreutzer Road to Sleepy Hollow Road


o Galligan Road: Signal modifications and channelization improvements to accommodate the widened roadway cross section along Huntley Road

o Square Barn Road: Addition of a right-turn lane on the southbound approach; signal modifications and channelization improvements to accommodate the widened roadway cross section along Huntley Road

o Longmeadow Parkway: Signal modifications to accommodate the widened roadway cross section

o Randall Road: Improvements included as part of project #41

o Miller Road: Signal modifications and channelization improvements to accommodate the widened roadway cross section along Huntley Road

o Binnie Road: Installation of traffic signal; addition of a right-turn lane on the eastbound approach

o Sleepy Hollow Road: Signal modifications and channelization improvements to accommodate the widened roadway cross section along Huntley Road

26 Jericho Road and Ashe Road


Addition of left-turn lanes on the northbound and westbound approaches

Addition of a right-turn lane on the eastbound approach

27 Jericho Road at IL-47


Addition of eastbound and westbound left-turn lanes; signal modifications to accommodate widening of IL 47

28 Kaneville Road at Peck Road



Addition of a left-turn lane on the eastbound approach; addition of right-turn lane on the southbound approach

29 Kirk Road at IL-38


Widening of Kirk Road to a six-lane cross section in the intersection vicinity

Expansion of existing bridge over UPRR tracks to accommodate wider roadway cross section

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Project Scope

30 Kirk Road – Fabyan Parkway to south of Wilson Street


Widening to a six-lane cross section and addition of turn lanes from Fabyan Parkway to approximately 1,000 feet south of Wilson Street

Addition of a left-turn lane on the southbound approach at Kirk Road and Lathem Road

31 LaFox Road at Campton Hills Drive



Addition of left-turn lanes on all four intersection approaches

Addition of right-turn lane on eastbound approach

Lengthening of the Mill Creek box culvert to accommodate wider roadway cross section following addition of turn lanes

32 Lake Cook Road at IL-62


Addition of a right-turn on the north-westbound approach

33 Longmeadow Parkway – Huntley Road to Randall Road


Widening of Longmeadow Parkway to a four-lane cross section from Huntley Road to a point approximately 400 feet west of Randall Road.

34 Main Street – Bunker Road to Randall Road


Widening of Main Street to a three-lane cross section and right turn lanes from Bunker Road to shopping center access drive east of Barton Trail


o Bunker Road: Signalization and addition of turn lanes included in project #4

o Bliss Road/Fabyan Parkway: Bliss Road to be realigned to existing Fabyan Parkway and Main Street intersection as part of project #3; addition of a roundabout as part of project #15

o Wenmoth Road: Installation of a traffic signal; addition of a left-turn lane on the southbound approach


Eastbound and northbound right-turn lanes at Main Street and Nelson Lake Road; westbound left-turn lane at Main Street and Nelson Lake Road

35 Meredith Road Realignment with Dauberman Road


Extension of Meredith Road south to connect to Dauberman Road. Extension to have a two-lane cross section.

Installation of a traffic signal at the Meredith Road at Keslinger Road intersection

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Project Scope

36 Meredith Road Realignment with Peplow Road


Construction of a new two-lane road from a point on Meredith Road approximately 1,500 feet north of Welter Road to the existing intersection of Peplow Road and IL-64

Installation of a traffic signal at Peplow Road and IL-64

Addition of left-turn lanes on all four approaches (including the new northbound approach) of the Peplow Road and IL-64 intersection

37 Montgomery Road – IL-25 to Hill Avenue


Widening of Mill Street (IL-25 to Broadway), Broadway (Mill Street to Montgomery Road), and Montgomery Road (Broadway to east of Hill Avenue) to a three-lane cross section from IL-25 to approximately 800 feet east of Hill Avenue


o IL-25: Signal modifications to support 3-lane section and right-turn lanes on east leg

o Douglas Road: Addition of northbound right-turn lane

o Hill Avenue: Widening of Montgomery Road to a four-lane cross section in the intersection vicinity, addition of a right-turn lane on the southbound approach, and signal modifications to accommodate the widened roadway cross section

38 Orchard Road – US-30 to Randall Road


Widening of Orchard Road to a six-lane cross section from US-30 to Randall Road

Widening existing bridge over I-88 to accommodate the expanded roadway cross section

Widening of existing railroad (BNSF) and pedestrian (Virgil Gilman Trail) overpasses between Prairie Street and Jericho Road

39 Peplow Road Realignment with French Road


Construction of a new 2-lane road from a point on Peplow Road approximately 1,200 feet north of McGough Road to an intersection with French Road approximately 1,200 feet northeast of Main Street.

Construction of a grade-separated crossing of CNRR (formerly ICRR) tracks between Burlington Road and Plank Road


o Burlington Road: Installation of a traffic signal; addition of left-turn lanes on all four intersection approaches

o Plank Road: Installation of a traffic signal; addition of left-turn lanes on all four intersection approaches

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Project Scope

40 Plank Road – Russell Road to US-20

Eligible Scope includes:

Widening of Plank Road to a 4-lane cross section from approximately 0.5 miles west of Russell Road to US-20

Potential realignment of Plank Road

Installation of a traffic signal at Russell Road

Addition of right-turn lane to the northbound approach at the Plank Road and Russell Road intersection

41 Randall Road – Silver Glen Road to Corporate Parkway


Construction of Randall Road on a six-lane cross section from 1,000 feet south of Silver Glen Road to approximately 1,000 feet south of South Corporate Boulevard.

Construction of a grade separation at the ICRR.

Includes widening the US-20, railroad and I-90 overpasses, as well as interchange improvements and major intersection improvements at South Street, Highland Avenue, Big Timber Road, the I-90 ramp terminals, Point Boulevard, Northwest Parkway/Joy Lane, Huntley Road and IL-72.


Randall Road at US 20/Foothill Ramp; Northbound Randall to Eastbound US 20; Southbound Randall to Eastbound US 20; Northbound Randall to Eastbound Foothill; Southbound Randall to Westbound US 20.

42 Randall Road – Orchard Road to north of Oak Street (St. Charles)


Construct Randall Road to a six-lane cross section from Orchard Road to approximately 1,000 feet north of Oak Street.

Includes the intersection improvement at Fabyan Parkway and widening the UPRR overpass as well as the widening of Keslinger Road to a 4-lane cross section at the intersection with Randall Road.


Dual left-turn lanes for westbound Kaneville/South Street and eastbound right-turn lane at the intersection of Keslinger Road.

43 Silver Glen Road at IL-47



Addition of a left-turn lane on the southbound approach

Addition of a right-turn lane on westbound approach

44 Tanner Road Realignment with Deerpath Road


Realignment of Tanner Road to intersect with Deerpath Road at Oak Street; realigned section of Tanner Road to contain three-lane cross section

45 Tyrell Road –Raymond Drive to Mason Road


Widening of Tyrell Road to a three-lane section from Raymond Drive to Mason Road

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Project Scope

Notes:

(1) In some cases it may be possible to build a roundabout rather than install a traffic signal. (2) Highway or System Improvements do not include site-related improvements (see Ordinance). (3) For CRIP projects involving other jurisdictions, e.g., municipal, township, or state, cost participation is

anticipated.

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TABLE 4-3: IMPACT FEE-ELIGIBLE PROJECT COST ($MILLION) BY SERVICE AREA

Project Route Location/Limits North Central South

1 Beith Rd. at IL-47 1.30

2 Big Timber Rd. Ketchum Rd. to Randall Rd. 77.61

3 Bliss Rd. IL-47 to Fabyan Pkwy./ Main St. 20.96

4 Bunker Rd. at Hughes Rd. 0.48

5 Bunker Rd. at Main St. 1.13 1.12

6 Bunker Rd. Realignment with LaFox Rd. 6.04

7 Burlington Rd. at Old LaFox Rd. 1.86

8 Corron Rd. at Bowes Rd. 0.66

9 Corron Rd. at Silver Glen Rd. 1.20

10 Corron Rd. at McDonald Rd. 0.74

11 Corron Rd. Extension to Nesler Rd or Intersection improvements at Bowes Road and Nesler Road

16.72

12 Dunham Rd. Stearns Rd. to Kirk Rd. 12.13

13 Kirk Rd. Dunham Rd. to IL-64 12.13

14 Empire Rd. at IL-47 3.24

15 Fabyan Pkwy. Main St. to Randall Rd. 18.11 18.11

16 Fabyan Pkwy. Western Ave. to Paramount Pkwy. 22.44 22.44

17 French Rd. Realignment with Harmony Rd. 19.24

18 Galligan Rd. Freeman Rd. to Binnie Rd. 4.50

19 Galligan Rd. Realignment south of Huntley Rd. 4.56

20 Granart Rd. Jericho Rd. to US-30 / Dauberman Rd. 6.09

21 Harter Rd. at IL-47 1.38

22 Harter Rd. at Scott Rd. 2.44

23 Harter Rd. at Main St. 1.51 1.51

24 Hughes Rd. at IL-47 0.73

25 Huntley Rd. County Line Rd. to Sleepy Hollow Rd. 51.84

26 Jericho Rd. at Ashe Rd. 0.93

27 Jericho Rd. at IL-47 0.29

28 Kaneville Rd. at Peck Rd. 1.88

29 Kirk Rd. at IL-38 8.53

30 Kirk Rd. Fabyan Pkwy. to South of Wilson St. 17.10

31 LaFox Rd. at Campton Hills Dr. 5.34

32 Lake Cook Rd. at IL-62 1.36

33 Longmeadow Pkwy.

Huntley Rd. to Randall Rd. 0.75

34 Main St. Bunker Rd. to Randall Rd. 30.20

35 Meredith Rd. Realignment with Dauberman Rd. 4.90

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TABLE 4-3: IMPACT FEE-ELIGIBLE PROJECT COST ($MILLION) BY SERVICE AREA

Project Route Location/Limits North Central South

36 Meredith Rd. Realignment with Peplow Rd. 5.37

37 Montgomery Rd. IL-25 to Hill Ave. 20.59

38 Orchard Rd. US-30 to Randall Rd. 45.36

39 Peplow Rd. Realignment with French Rd. 13.88 4.63

40 Plank Rd. Russell Rd. to US-20 4.82

41 Randall Rd. Silver Glen Rd. to Corporate Pkwy. 231.77 9.27

42 Randall Rd. Orchard Rd. to north of Oak St. (St. Charles) 38.42 44.18

43 Silver Glen Rd. at IL-47 0.38

44 Tanner Rd. Realignment with Deerpath Rd. 5.59

45 Tyrell Rd. Raymond Dr. to Mason Rd. 0.42

TOTAL PROGRAM COST 427.47 162.42 238.29

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SECTION 5

Funding Sources

Projected future revenue from the various funding sources available to KDOT for building and maintaining the County road network are summarized in Table 5-1. The values in Table 5-1 represent projected ten-year totals over the period from 2021 to 2030. A summary of the primary use of the various revenue sources is presented in Table 5-2. Revenue by year is broken out in Table 5-3.

With the exception of revenue anticipated to be generated through the collection of impact fees, this revenue is not available to fund the impact fee-eligible projects included in the CRIP. Non-impact fee revenue is allocated to other needs in the County, such as maintenance of the existing County roadway network or construction of planned projects identified in the LRTP.

TABLE 5-1: PROJECTED HIGHWAY REVENUE, FY 2021-2030

Special Revenue Funds FY 2021-2030

County Highway Levy $50,136,395

County Bridge Levy $3,301,888

County Highway Matching Levy $687,682

RTA Sales Tax $165,519,471

Motor Fuel Tax (MFT) $101,028,474

Local Option MFT* $89,983,386

Impact Fees $20,966,973

Reimbursements $31,005,457

Fees $27,901,197

Investment/Other $3,510,905

Project Obligations (matching) $0

Total Projected Revenue $494,041,829

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SECTION 5: FUNDING SOURCES


TABLE 5-2: TRANSPORTATION FUNDS – PRIMARY USE

Fund Primary Use

County Highway Operations

County Bridge Bridge inspections

Motor Fuel Tax Maintenance

County Highway Matching Salt

Motor Fuel Local Option Maintenance & Salt

Transportation Sales Tax Maintenance & Capital Projects

Transportation Capital (non-recurring) Reimbursements

Impact Fee Funds (11) Capital Projects (restricted)

Longmeadow Bond Construction Fund Longmeadow Project

Source: Kane County Budget Presentation 2021

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TABLE 5-3: ANNUAL PROJECTED HIGHWAY REVENUE, FY 2021-2030A

Special Revenue Funds

FY 2021 FY 2022 FY 2023 FY 2024 FY 2025 FY 2026 FY 2027 FY 2028 FY 2029 FY 2030 Totals

County Highway Levy

$5,038,214 $5,010,909 $5,010,909 $5,010,909 $5,010,909 $5,010,909 $5,010,909 $5,010,909 $5,010,909 $5,010,909 $50,136,395

County Bridge Levy

$487,633 $312,695 $312,695 $312,695 $312,695 $312,695 $312,695 $312,695 $312,695 $312,695 $3,301,888

County Highway Matching Levy

$101,557 $65,125 $65,125 $65,125 $65,125 $65,125 $65,125 $65,125 $65,125 $65,125 $687,682

RTA Sales Tax $15,054,160 $15,355,243 $15,662,348 $15,975,595 $16,295,106 $16,621,009 $16,953,429 $17,292,497 $17,975,290 $18,334,796 $165,519,471

Motor Fuel Tax (MFT)

$9,746,434 $9,819,532 $9,893,179 $9,967,378 $10,042,133 $10,117,449 $10,193,330 $10,269,780 $10,450,441 $10,528,819 $101,028,474

Local Option MFT* $8,679,564 $8,744,661 $8,810,246 $8,876,323 $8,942,895 $9,009,967 $9,077,542 $9,145,623 $9,313,357 $9,383,208 $89,983,386

Impact Fees $1,922,137 $1,960,580 $1,999,792 $2,039,787 $2,080,583 $2,122,195 $2,164,639 $2,207,932 $2,212,538 $2,256,789 $20,966,973

Reimbursements $10,674,052 $8,393,400 $2,772,334 $1,760,477 $1,250,626 $1,038,619 $1,132,488 $1,228,234 $1,327,788 $1,427,440 $31,005,457

Fees $506,561 $3,422,789 $4,008,505 $4,467,415 $2,568,523 $2,578,834 $2,589,350 $2,600,077 $2,574,357 $2,584,785 $27,901,197

Investment/Other $348,947 $339,749 $346,544 $353,475 $360,544 $367,755 $375,110 $382,612 $314,935 $321,234 $3,510,905

Project Obligations (matching)

$0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0

Total Projected Revenue

$52,559,259 $53,424,683 $48,881,676 $48,829,178 $46,929,140 $47,244,556 $47,874,616 $48,515,485 $49,557,436 $50,225,799 $494,041,829

A - FY 2021-2030 funding estimates provided by KDOT.

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DRAFT KANE COUNTY COMPREHENSIVE ROAD IMPROVEMENT PLAN FOR IMPACT FEE 39

SECTION 6

Intergovernmental Agreements

The Illinois Road Improvement Impact Fee Law allows counties to collect impact fees from developers of new development for the impacts of that new development on State, Township and Municipal highways, roads and streets, provided that the County enters into an intergovernmental agreement with the appropriate government entity covering the collection and expenditure of the impact fees. Kane County has elected to collect impact fees only for the development impact on the County highway system; therefore no such intergovernmental agreements are necessary.

In the event that improvements are made to a state, township or municipal highway, road or street as part of a project funded by impact fees, the County and the appropriate unit of government will enter into an intergovernmental agreement that defines the project and specifies its funding sources. Furthermore, any improvements made to state, township or municipal highways, roads or streets will only be funded by impact fees to the extent needed to address the safe and efficient operation of an adjacent Kane County highway intersection.

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SECTION 7

Proposed Road Improvement Schedule

The construction start date for projects in the 2030 CRIP is summarized in Table 7-1.


Project Route Location/Limits Project Scope** Estimated Calendar

Year Construction to Start

1 Beith Rd. at IL-47 CH, SI MYP*

2 Big Timber Rd. Ketchum Rd. to Randall Rd. WI-3, WI-4, RA, SI,

CH MYP*

3 Bliss Rd. IL-47 to Fabyan Pkwy./ Main St.

WI-3, RA, CH, SI, BR

2022

4 Bunker Rd. at Hughes Rd. SI, PH-1 MYP*

5 Bunker Rd. at Main St. SI, CH MYP*

6 Bunker Rd. Realignment with LaFox Rd. RA, SI, NR 2022

7 Burlington Rd. at Old LaFox Rd. CH, SI MYP*

8 Corron Rd. at Bowes Rd. CH, SI MYP*

9 Corron Rd. at Silver Glen Rd. CH, SI MYP*

10 Corron Rd. at McDonald Rd. CH, SI MYP*

11 Corron Rd.

Extension to Nesler Rd or Intersection improvements at Bowes Road and Nesler Road

NR, GS MYP*

12 Dunham Rd. Stearns Rd. to Kirk Rd. SI, CH MYP*

13 Kirk Rd. Dunham Rd. to IL-64 SI, CH MYP*

14 Empire Rd. at IL-47 CH, SI, RA MYP*

15 Fabyan Pkwy. Main St. to Randall Rd. CH, WI-4, SI, RA MYP*

16 Fabyan Pkwy. Western Ave. to Paramount Pkwy.

WI-3, WI-5, CH, SI, BH

MYP*

17 French Rd. Realignment with Harmony Rd.

RA, GS, NR MYP*

18 Galligan Rd. Freeman Rd. to Binnie Rd. WI-3, CH MYP*

19 Galligan Rd. Realignment south of Huntley Rd.

RA, CH, SI MYP*

20 Granart Rd. Jericho Rd. to US-30 / Dauberman Rd.

GS, RA, CH, SI, NR

2022

21 Harter Rd. at IL-47 CH, SI MYP*

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Project Route Location/Limits Project Scope** Estimated Calendar

Year Construction to Start

22 Harter Rd. at Scott Rd. CH, SI MYP*

23 Harter Rd. at Main St. CH, SI MYP*

24 Hughes Rd. at IL-47 CH, SI MYP*

25 Huntley Rd. County Line Rd. to Sleepy Hollow Rd.

WI-4, CH, SI, OPT MYP*

26 Jericho Rd. at Ashe Rd. CH, SI MYP*

27 Jericho Rd. at IL-47 CH MYP*

28 Kaneville Rd. at Peck Rd. CH, SI MYP*

29 Kirk Rd. at IL-38 CH, BW MYP*

30 Kirk Rd. Fabyan Pkwy. to south of Wilson St.

WI-6, CH MYP*

31 LaFox Rd. at Campton Hills Dr. CH, SI MYP*

32 Lake Cook Rd. at IL-62 CH MYP*

33 Longmeadow Pkwy.

Huntley Rd. to Randall Rd. WI-4 MYP*

34 Main St. Bunker Rd. to Randall Rd. WI-3, CH, SI MYP*

35 Meredith Rd. Realignment with Dauberman Rd.

RA, NR, CH, SI MYP*

36 Meredith Rd. Realignment with Peplow Rd. RA, NR MYP*

37 Montgomery Rd. IL-25 to Hill Ave. WI-4, WI-3, CH 2023***

38 Orchard Rd. US-30 to Randall Rd. WI-6, BW MYP*

39 Peplow Rd. Realignment with French Rd. RA, NR, GS MYP*

40 Plank Rd. Russell Rd. to US-20 WI-4, CH, SI MYP*

41 Randall Rd. Silver Glen Rd. to Corporate Pkwy.

IC, CH, WI-6 MYP*

42 Randall Rd. Orchard Rd. to north of Oak St. (St. Charles)

WI-6, WI-4, BW, BR, CH

MYP*

43 Silver Glen Rd. at IL-47 CH, SI MYP*

44 Tanner Rd. Realignment with Deerpath Rd.

RA MYP*

45 Tyrell Rd. Raymond Dr. to Mason Rd. WI-3 MYP*

* Multi-Year Program – Subject to funding, portions of a project could advance sooner independently **Project Scope Codes ***Portion going to letting, the rest MYP AWS All Way Stop NB New Bridge BH Bridge Rehabilitation NR New Road BR Bridge Replacement RA Roadway Realignment BW Bridge Widening SI Traffic Signal Installation CH Channelization/Turn Lanes WI-3 Add Left Turn Lane GS Grade Separation WI-4 Widen to 4 through lanes

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Appendix

A. Technical Specifications for Impact Fee Calculations B. Public Hearing Proceedings

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Appendix A

Technical Specifications for Impact Fee Calculations

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Kane County

Division of

Transportation

Technical Specifications Manual for

Road Improvement Impact Fees Under Kane County Ordinance #22-XX

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KANE COUNTY TECHNICAL SPECIFICATIONS MANUAL FOR IMPACT FEES i FOR COUNTY BOARD CONSIDERATION

Contents 1. Introduction to the Impact Fee and Impact Fee Formula ................................................................. 1

2. Data Required to Determine the Impact Fee ...................................................................................... 4

2.1 Impact Fee Service Areas .................................................................................................. 4

2.2 Gross Impact Fee ................................................................................................................ 4

2.2.1 Travel Demand Elements ....................................................................................... 4

2.2.2 Cost Data .................................................................................................................. 6

2.3 Demolition Credits ............................................................................................................. 7

2.4 Impact Fee Credits ............................................................................................................. 7

2.5 Impact Fee Discount Program .......................................................................................... 7

2.6 Charitable Organization Discount ................................................................................... 8

2.6.1 Total Site Traffic Less Than or Equal to 50 Trips ................................................ 8

2.6.2 Existing Site Traffic Less than or Equal to 50 Trips – Total Site Traffic Greater than 50 Trips ....................................................................................................... 8

2.6.3 Existing Site Traffic Greater than 50 Trips........................................................... 8

Figure 1 Impact Fee Service Areas ........................................................................................................ 9

Table 1 Trip Generation Rates by Land Use .................................................................................... 10

Table 2 Trip and Cost Data by Service Area .................................................................................... 11

Table 3 Impact Fee Multiplier ........................................................................................................... 11

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KANE COUNTY TECHNICAL SPECIFICATIONS MANUAL FOR IMPACT FEES 1 FOR COUNTY BOARD CONSIDERATION

1. Introduction to the Impact Fee and

Impact Fee Formula

The State of Illinois Road Improvement Impact Fee Law (605 ILCS 5/5-901 et. seq.) entitles Kane

County to assess road improvement impact fees on new development based on the proportional

traffic impacts of the new development. In Kane County, road improvement impact fees

supplement other highway improvement funding sources, including motor fuel taxes, and state

and federal assistance. This document outlines how the Kane County Division of Transportation

(KDOT) calculates the traffic impact and how the impact fee is generated from that data.

The calculation approach used by Kane County, known as the “Facilities-Driven” approach,

allocates a percentage of the unfunded capital cost of highway improvements needed to serve

new development to the developers of that new development on the basis of the traffic generated

by the new development.

First, the amount and location of each type of new development (residential, commercial and

industrial) expected to occur over the next ten years was estimated based the Land Use

Assumptions, adopted as part of the 2050 Transportation Plan update and was further refined

based on the air quality 2018 Q3 Conformity Analysis data provided by the Chicago Metropolitan

Agency for Planning (CMAP), input from various Kane County municipalities, and comments

received during the public hearing process. Using the projected land use information, future

traffic volumes were estimated using a traffic model. This data was then used to develop a list of

road improvements needed to maintain an acceptable level of service on the Kane County

highway network at the end of the ten-year planning horizon. The cost of those highway

improvements was then estimated, and existing funding sources identified. The unfunded cost

of these improvements was then allocated to the new development based on the number of new

peak hour trips generated by the new development to calculate a “cost per trip” factor in each

service area1.

The gross impact fee per unit for each land use was then calculated by multiplying the number

of new peak hour trips generated by each land use by the cost per trip for that service area. This

amount is adjusted by applying applicable credits for demolition of previous structures, and

construction of eligible improvements to the highway system. Finally, the net impact fee is

1 The County is divided into three service areas (North, Central, South) for the purpose of calculating the impact fees. A map of the service areas is provided as Figure 1.

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https://datahub.cmap.illinois.gov/dataset/conformity-analysis-2018-q3-analysis-year-2020-model-inputs-and-outputs


multiplied by an Impact Fee Multiplier determined by the County Board, and, for eligible

projects, by an Impact Fee Discount. Eligible developers may also receive a Charitable

Organization Discount. The resulting impact fee is the amount payable to the County to offset a

portion of the capital cost of new and expanded roadways.

The general facilities-driven formula, as described in the Kane County Road Improvement Impact

Fee Ordinance, has the following form:

PRIMARY TRIP RATE = GROSS TRIP RATE x TOTAL TRIP

REDUCTION TRIPS = PRIMARY TRIP RATE x NUMBER OF IMPACT UNITS

GROSS IMPACT FEE = TRIPS x IMPACT FEE PER TRIP

NET IMPACT FEE = GROSS IMPACT FEE minus DEMOLITION CREDIT minus

IMPROVEMENT CREDIT

REDUCED IMPACT FEE = NET IMPACT FEE x IMPACT FEE MULTIPLIER

DISCOUNTED IMPACT FEE = REDUCED IMPACT FEE x (100% minus IMPACT FEE

DISCOUNT)

Where:

GROSS TRIP RATE = The number of trips generated by one IMPACT UNIT of the new

development on a weekday during the peak hour, between 4:00 p.m. and 6:00 p.m., of

adjacent street traffic (Table 1).

TOTAL TRIP REDUCTION = The percentage of trips generated by a new development

that are pass-by trips or diverted-linked trips as defined by the Institute of

Transportation Engineers (ITE) Trip Generation Handbook, 3rd Edition (September 2017)

(Table 1).

PRIMARY TRIP RATE = The portion of the GROSS TRIP RATE that represents new

trips on the roadway system, discounting pass-by and diverted-linked trips (Table 1).

IMPACT UNITS = A measure of the size of the new development that correlates with

the number of peak hour trips generated by the new development between 4:00 p.m.

and 6:00 p.m. For residential new development, the impact unit is the number of

dwelling units of various types in the new development. For non-residential new

development, the impact unit is generally a multiple of the number of gross interior

square feet of the buildings constructed in the new development (Table 1).

IMPACT FEE PER TRIP = The GROSS IMPACT FEE for the Service Area for New

Development that generates one trip during the peak hour of adjacent street traffic

between 4:00 p.m. and 6:00 p.m. (Table 2).

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DEMOLITION CREDIT = The GROSS IMPACT FEE that would have been assessed on a

building that a fee payer demolishes in conjunction with new development.

IMPROVEMENT CREDIT = The value of impact fee eligible highway improvements

constructed by a developer in conjunction with new development and pursuant to an

Improvement Credit Agreement with the County.

IMPACT FEE MULTIPLIER = The percentage determined by the County Board by

which the NET IMPACT FEE shall be multiplied to determine the REDUCED IMPACT

FEE (Table 3).

IMPACT FEE DISCOUNT = The percentage determined by the County Engineer by

which the REDUCED IMPACT FEE shall be discounted based on the trip reduction

measures included in the new development, as provided for in Section Ten of the Kane

County Road Improvement Impact Fee Ordinance. New development which does not

meet the eligibility criteria in Section Ten shall receive no discount.

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2. Data Required to Determine the

Impact Fee

Section 2 describes the data used in each element of the impact fee formula as presented in

Section 1 and gives the most up-to-date values employed in the calculation of the impact fees.

2.1 Impact Fee Service Areas

Impact fee service areas are those areas in the County for which unique impact fees are

calculated. The County assesses and expends the impact fees collected within a service area.

Funds that are collected in one service area, for example, cannot be spent on projects in another

service area. The County has been divided into Impact Fee service areas for two primary

reasons:

So that the impact fees assessed are specifically and uniquely attributable to the traffic

impact of the new development being assessed the fee.

To ensure that each fee payer receives a direct and material benefit from the impact fees

paid.

For these reasons, Kane County has been divided into three service areas, North, Central and

South, which reflect the predominant travel pattern in the County (Figure 1).

2.2 Gross Impact Fee

The gross impact fee calculation is based on a combination of the travel demand of the specific

new development (PRIMARY TRIP RATE x NUMBER OF IMPACT UNITS) and the cost of the

traffic impacts (IMPACT FEE PER TRIP).

2.2.1 Travel Demand Elements Travel demand data provides a direct connection between a new development and the impact

fee based on the unique travel characteristics of the new development. The travel demand data

utilized by Kane County for the Road Improvement Impact Fee Ordinance (Ordinance) is

published by ITE, an international professional society supporting the traffic and transportation

engineering professions.

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Impact Units

For the purpose of estimating the number of trips generated by a new development, an impact

unit is defined as a physical, measurable and predictable unit describing the study site or trip

generator, (e.g., gross floor area, fueling stations, beds, dwelling units). The Institute of

Transportation Engineers Trip Generation Manual, 11th Edition (September 2021), considered the

definitive source of trip generation data in the US, presents, for each land use, the impact unit or

units that appear to best correlate with the number of trips generated by a particular land use.

The impact units utilized in the Ordinance, along with the corresponding ITE land use codes,

are presented in Table 1.

Trip Generation Rate

Previous studies have measured trip generation rates for various land uses for selected time

periods, including average weekday, morning, and evening peak hours of adjacent street traffic,

and peak hour of the day for the particular land use. The trip generation rate for the evening

peak hour of adjacent street traffic (commonly taken as the “design hour”) is the preferred

statistic since roadways and intersections are designed for this level of demand.

In calculating the impact fee schedule, trip generation rates for the peak hour of adjacent street

traffic were drawn from the ITE, Trip Generation Manual, 11th Edition (September 2021). The

Gross Trip Rate used was determined by using the midpoint of the size range and the fitted

curve equation reported in the ITE Trip Generation Manual, 11th Edition. The recommended Gross

Trip Rates to be used in the impact fee calculation are presented in Table 1. The applicable ITE

land use code for each category is also shown in Table 1.

Where new development includes a land use or combination of uses not otherwise identified in

Table 1, an individual assessment is available pursuant to Section Thirteen of the Ordinance.

Where the latest edition of the ITE Trip Generation Manual provides trip generation data for

another land use code(s) which more closely represents the new development, the developer

may complete a simplified individual assessment pursuant to Section Thirteen of the

Ordinance. Alternatively, the developer may use empirical trip generation data through the

standard individual assessment, subject to County Engineer approval as described in Section

Thirteen of the Ordinance.

Trip Reduction Percentages

The trip generation rates developed for the various land use categories represent vehicles

entering and exiting a site at its driveways. There are instances, however, when the total

number of trips generated by a site is different from the amount of new traffic added to the

highway system adjacent to the new development. For specific types of land use, the ITE breaks

down trips into three categories: pass-by trips, diverted-linked trips, and primary trips.

Pass-by trips are made as intermediate stops on the way from the trip origin to the

primary trip destination. Such trips may be best described as opportunity trips, such as a

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motorist stopping at a gas station on the way home from work. Pass-by trips are not

treated as new trips.

Diverted-linked trips are trips that are attracted from the traffic volume on highways

within the vicinity of the generator, but that require diversion from that highway to

another highway to gain access to the new development. Diverted-linked trips add

traffic to the highways adjacent to the new development, but may not add traffic to

other area highways. For impact fee purposes, these trips are considered to be existing

trips; and therefore, not treated as new trips.

Primary trips are the remainder of the trips on the highway system. These are trips

made with the specific purpose of visiting the new development. The stop at the new

development site is the primary reason for the trip. Only primary trips are considered

when assessing the impact of a new development on the area highway system.

Table 1 shows the percentage of the gross trip rate for commercial-retail and some commercial

restaurant and service uses that consists of pass-by and diverted linked trips. These percentages

of the gross trip rate, taken from the ITE Trip Generation Handbook, 3rd Edition (September 2017),

have been combined into a trip reduction factor for use in calculating trip generation rates that

reflect the pass-by and diversion phenomena. The resulting Primary Trip Rates used in the

calculation of the impact fee tables are shown in Table 1.

2.2.2 Cost Data For each new trip on the highway system in a given service area, there is an associated cost for

the highway improvements needed on the County Highway system to accommodate that trip.

This cost, defined as the Impact Fee per Trip, is calculated by dividing the unfunded cost of

needed highway improvements in each service area by the number of new trips anticipated to

be generated within the service area due to new development.

Impact Fee per Trip in the Service Area = Eligible Project Cost in Service Area

Number of New Trips in Service Area

Total New Trips

In accordance with the Road Improvement Impact Fee Law, Kane County has adopted land use

assumptions for the purpose of enacting its Ordinance. The adopted land use was used as an

input into the travel demand model which was used to generate traffic forecasts and roadway

deficiencies. The travel demand model was used as the basis of developing the number of new

trips that would be generated in each service area over a ten year period. For each service area:

Number of New Trips = Total Trips in Year 2030 – Total Trips in Year 2020.

Based on the travel demand model, the County has determined the total number of new trips

expected to be generated in each service area as provided in Table 2.

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Eligible Project Costs

Using the Land Use Assumptions and the County’s traffic planning model, the County has

developed the CRIP which includes a program of highway improvements needed to

accommodate new development. The CRIP includes estimated total project costs or total

improvement “need”, including engineering, land acquisition and construction. Projects needed

to correct deficiencies in the highway network that existed as of 2002 (the year the initial studies

were performed for the County’s impact fee program) are not eligible for impact fee funding

and are therefore excluded from the “need” calculation. For each service area:

Eligible Project Cost = ∑ Projects (Total Project Cost - Non Impact Fee Funding)

Based on these calculations, the County has determined the total eligible cost of impact fee

projects in the County in each service area as provided in Table 2.

2.3 Demolition Credits

Developers of new development who demolish existing buildings in conjunction with their new

development have a lower net traffic impact than developers who build on vacant land. In

order to ensure that each new development is assessed an impact fee only on the net impact of

the new development, Section Nine of the Ordinance provides for demolition credits. A

demolition credit is calculated by determining the dollar value of impact fees that would have

otherwise been assessed on a building or buildings being demolished as part of new

development.

2.4 Impact Fee Credits

Developers who construct eligible highway improvements in conjunction with new

development may receive credit against impact fees due from that new development. As

provided in Section Fourteen of the Ordinance, eligible highway improvement expenditures

may include engineering, land acquisition and construction costs for projects specifically listed

in the CRIP, but do not include improvements needed for safe and efficient access to the new

development site. Because each situation is unique, impact fee credits are always subject to a

specific written agreement between the developer and the County.

In accordance with the Ordinance, the County Engineer shall make the final determination as to

which road improvements are eligible to receive impact fee credits.

2.5 Impact Fee Discount Program

As a means of encouraging new development that meets specific goals of the Kane County 2050

Plan, developers of new development who include specific trip reduction measures in their

developments may be eligible for an impact fee discount of up to 70% based on provisions of

Section Ten of the Ordinance. Factors considered in determining eligibility and the size of the

discount include availability of public transit, proximity of mixed land uses, density and

walkability. Specific requirements are provided in the Ordinance.

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2.6. Charitable Organization Discount

New development that is solely owned and solely occupied by a charitable organization

certified by the Internal Revenue Service as tax-exempt under Section 501(c)(3) of the Internal

Revenue Code may receive a discount of up to 100% of the impact fee assessed under Section

Seven of the Ordinance. The discount is applied only on the traffic impact of the first 50

weekday PM peak hour trips generated on a site. For the purposes of this discount, a site is a

contiguous area of land owned by one or more closely related charitable organizations on

which a building or buildings may be constructed.

The impact fee under this discount is calculated based on the trip generation estimated for the

new development. The trip generation estimated for the new development shall be presented in

a traffic impact study prepared by a Professional Traffic Operations Engineer (PTOE) licensed

in the state of Illinois. If a traffic impact study is not available, the municipality granting site

specific development approval shall certify the estimated trip generation.

2.6.1 Total Site Traffic Less Than or Equal to 50 Trips If the total traffic generated on the site, including traffic generated by any existing buildings and

traffic generated by the new development, is less than or equal to 50 weekday PM peak hour

trips, the new development shall receive an impact fee discount equal to 100% of the gross

impact fee.

2.6.2 Existing Site Traffic Less Than or Equal to 50 Trips – Total Site

Traffic Greater Than 50 Trips If the traffic generated on the site prior to construction of the new development is less than or

equal to 50 weekday PM peak hour trips, but the traffic total site traffic including the new

development is greater than 50 weekday PM peak hour trips, the new development shall

receive an impact fee discount in an amount determined by the following formula:

DISCOUNT = (50 − EST) x IFT x IFM

Where:

EST = Existing Site Traffic in TRIPS

IFT = Applicable Impact Fee per Trip from Table 2

IFM = Applicable Impact Fee Multiplier from Table 3

The calculated discount shall be applied to the discounted impact fee.

2.6.3 Existing Site Traffic Greater Than 50 Trips If the traffic generated on the site prior to construction of the new development is greater than

50 weekday PM peak hour trips, no discount shall be applied.

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Figure1: Impact Fee Service Areas

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KANE COUNTY TECHNICAL SPECIFICATIONS MANUAL FOR IMPACT FEES 10

FOR COUNTY BOARD CONSIDERATION

Table 1: Trip and Cost Data by Service Area

Land Use Impact Unit LUC (3) Rate (4)

Diverted Trips (3)

Pass By (3)

Total Reduction

Adjusted Trip Rate

RESIDENTIAL

Single Family Detached Dwelling Unit 210 0.94 0.94

Single Family Attached Dwelling Unit 215 0.57 0.57

Multi-Family Attached Dwelling Unit 220 0.51 0.51

Age Restricted Housing Dwelling Unit 251 0.3 0.30

COMMERCIAL RETAIL

Retail 1 to < 40,000 s.f. (5) 1,000 s.f. (1) 822 6.59 23% 40% 63% 2.44

Retail 40,000 to 150,000 s.f. 1,000 s.f. (1) 821 9.03 23% 40% 63% 3.34

Retail over 150,000 s.f. 1,000 s.f. (1) 820 3.4 26% 22% 48% 1.77

Supermarket 1,000 s.f. (2) 850 8.95 28% 24% 52% 4.30

Gas Service Station Fueling Position 944 13.91 31% 57% 88% 1.67

Convenience Store/Gas Station (GFA 2-4k) Fueling Position 945 18.42 29% 56% 85% 2.76

Convenience Store/Gas Station (GFA 4-5.5k) Fueling Position 945 22.76 16% 74% 90% 2.28

COMMERCIAL OFFICE

General Office 1,000 s.f. (2) 710 1.44 1.44

Medical-Dental Office 1,000 s.f. (2) 720 3.93 3.93

Office Park 1,000 s.f. (2) 750 1.3 1.30

Business Park 1,000 s.f. (2) 770 1.22 1.22

COMMERCIAL INDUSTRIAL

Warehousing/Distribution Terminal 1,000 s.f. (2) 150 0.18 0.18

Speculative Industrial (6) 1,000 s.f. (2) 150/710 0.43 0.43

Light Industrial/Industrial Park 1,000 s.f. (2) 110 0.65 0.65

COMMERCIAL RESTAURANT

Fast Food Restaurant 1,000 s.f. (2) 934 33.03 19% 55% 74% 8.59

Fine Dining Restaurant 1,000 s.f. (2) 931 7.8 27% 44% 71% 2.26

COMMERCIAL SERVICE

Day Care 1,000 s.f. (2) 565 11.12 32% 44% 76% 2.67

Hospital Bed 610 1.69 1.69

Nursing Home Bed 620 0.14 0.14

Hotel/Motel Room 320 0.36 0.36

OTHER

Religious Institution 1,000 s.f. (2) 560 0.49 0.49

(1) Gross Leasable Floor Area (2) Gross Floor Area (3) Based on data available in the ITE Trip Generation Manual, 11th Edition (September 2021). (4) Based on ITE Trip Generation Manual, 11th Edition (September 2021), for weekday peak hour of adjacent street

traffic, between 4:00PM to 6:00PM. (5) Pass-by and Diverted Trip information not available in the ITE Trip Generation Manual, 11th Edition (September

2021) for LUC 822; and therefore, pass-by and diverted trip information was utilized from a similar land use (LUC 821).

(6) Rate calculated using 80% of LUC 150 and 20% of LUC 710 per the ITE Trip Generation Manual, 11th Edition. Note: For a property with only one tenant, the measurements of GFA and GFLA are essentially equal.

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KANE COUNTY TECHNICAL SPECIFICATIONS MANUAL FOR IMPACT FEES 11

FOR COUNTY BOARD CONSIDERATION

Table 2: Trip and Cost Data by Service Area

Metric Service Area

North Central South

Total New Trips 147,664 56,009 81,865

Eligible Project Cost $427,470,000 $162,415,000 $238,290,000

Impact Fee per Trip $2,895 $2,900 $2,911

Table 3: Impact Fee Multiplier1

Applicable Dates Impact Fee Multiplier

April 12, 2022 through April 11, 2027 50%

1The Impact Fee Multiplier is used to determine the Reduced Impact Fees for a particular development and is calculated by:


For example, if the Impact Fee for a particular development after applicable credits (Net Impact Fees) is $5,000, then the assessed

Reduced Impact Fee with a 50% Multiplier is $2,500 and with a 59% Multiplier is $2,950.

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DRAFT KANE COUNTY COMPREHENSIVE ROAD IMPROVEMENT PLAN FOR IMPACT FEE

Appendix B. Public Hearing Proceedings

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DRAFT KANE COUNTY COMPREHENSIVE ROAD IMPROVEMENT PLAN FOR IMPACT FEE

Contents

Public Hearing Notice

Sign In Sheet

Boards from Public Hearing

Public Hearing Transcript

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NOTICE OF PUBLIC HEARING TO CONSIDER THE ADOPTION OF THE

COMPREHENSIVE ROAD IMPROVEMENT PLAN AND IMPOSITION OF

IMPACT FEES

The Public Hearing shall be held on November 16, 2021 commencing at 5:30 p.m. until

7:00 p.m. at the Kane County Government Center, in the Auditorium of Building A, located

at 719 South Batavia Avenue, Geneva, Illinois.

The purpose of this hearing is to consider the adoption of a revised Comprehensive Road

Improvement Plan, potential amendments to the Kane County Road Improvement Impact

Fee Ordinance and potential revisions to the fee schedule.

In association with the development of the Comprehensive Road Improvement Plan and

fee schedule, the County of Kane will retain the three (3) existing service areas described

as North, Central and South. The service areas will be contiguous and together will

encompass the entire county.

The Kane County Division of Transportation will make available to the public upon request

the following: a list of the proposed comprehensive road improvement projects, cost

estimates, service area boundary exhibit, draft fee schedule, draft ordinance update and

other available information relating to the update. Any member of the public affected by

the Comprehensive Road Improvement Plan, amendments to the Kane County Road

Improvement Impact Fee Ordinance, and fee schedule shall have the right to appear at the

public hearing and present evidence in support of or against the Comprehensive Road

Improvement Plan, amendments to the Kane County Road Improvement Impact Fee

Ordinance, and fee schedule.

Written comments regarding the Comprehensive Road Improvement Plan, amendments to

the Kane County Road Improvement Impact Fee Ordinance, and fee schedule can also be

sent to the Kane County Division of Transportation, Attn: Impact Fee Coordinator,

41W011 Burlington Road, St. Charles, IL 60175 or submitted by email to

[email protected] until 4:00 p.m. on November 22, 2021.

Additional information regarding Kane County’s Road Improvement Impact Fee Program

can be found at http://kdot.countyofkane.org/Pages/Impact-Fees.aspx

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http://kdot.countyofkane.org/Pages/Impact-Fees.aspx

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Jackie Forbes, KDOT staff

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Jennifer Becker, KDOT staff

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2030 PROJECTSN O R T H S E RV I C E A R E A

Cost ($ Million)

Total $446.21

Impact Fee Eligible $427.47

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2030 PROJECTSC E N T R A L S E RV I C E A R E A

Cost ($ Million)

Total $167.44


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2030 PROJECTSS O U T H S E RV I C E A R E A

Cost ($ Million)

Total $306.44


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Transcript of Public HearingDate: November 16, 2021

Case: Impact Fee Public Hearing, In Re:

Planet DeposPhone: 888.433.3767Email: [email protected]

WORLDWIDE COURT REPORTING & LITIGATION TECHNOLOGY

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123456789101112131415161718192021222324

BEFORE THE KANE COUNTY DIVISION OF TRANSPORTATION

- - - - - - - - - - - - - - -xIn re the matter of: :Kane County, Impact Fee :Land Use Assumptions. :- - - - - - - - - - - - - - -x

PUBLIC HEARING HEARING OFFICER JACQUELINE FORBES Geneva, Illinois Tuesday, November 16, 2021 5:30 p.m.

Job No.: 401272Pages: 1 - 5Reported By: Paula Quetsch, CSR, RPR

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Meeting held at the location of:

KANE COUNTY GOVERNMENT CENTER 719 South Batavia Avenue Building A Geneva, Illinois 60134 (630) 444-1236

Before Paula Quetsch, Certified ShorthandReporter, Registered Professional Reporter, andNotary Public in and for the State of Illinois.

Transcript of Public HearingConducted on November 16, 2021 2

PLANET DEPOS888.433.3767 | WWW.PLANETDEPOS.COM

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P R O C E E D I N G S HEARING OFFICER FORBES: Good eveningeveryone. My name is Jackie Forbes. I am thechief of planning and programming for Kane CountyDivision of Transportation and have beendesignated as the hearing officer for this publicmeeting. The purpose of this hearing is to considerthe adoption of a revised comprehensive roadimprovement plan, potential amendments to theKane County road improvement plan, impact feeordinance, and potential revisions to the feeschedule. We have a number of informational displaysaround the room and a number of staff people andconsultants here to answer questions. You may make formal comments in severalways. There is a court reporter here to transcribeany verbal comments you may make; there arecomment forms that you can fill out and leave withus tonight, or you can submit written comments tothe Kane County Division of Transportation untilNovember 22nd, 2021, at 4:00 p.m. Detailedinstructions are shown on the comment form and



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also on the meeting announcement. Comments mayalso be emailed to [email protected]. The public hearing is now open and willlast until 7:00 this evening. Thank you for coming. (Record closed at 7:00 p.m.)



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CERTIFICATE OF SHORTHAND REPORTER

I, Paula M. Quetsch, Certified ShorthandReporter No. 084-003733, CSR, RPR, and a NotaryPublic in and for the County of Kane, State ofIllinois, the officer before whom the foregoingproceedings were taken, do certify that the foregoingtranscript is a true and correct record of theproceedings, that said proceedings were taken byme stenographically and thereafter reduced totypewriting under my supervision, and that I amneither counsel for, related to, nor employed byany of the parties to this case and have nointerest, financial or otherwise, in its outcome.

IN WITNESS WHEREOF, I have hereunto set myhand and affixed my notarial seal this 17th day ofNovember, 2021.

My commission expires: October 16, 2025

_____________________________Notary Public in and for theState of Illinois



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Nname3:3



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Ttaken5:7, 5:9th5:17thank4:5thereafter5:10tonight3:21transcribe3:18transcript5:8transportation1:1, 3:5, 3:22true5:8tuesday1:12typewriting5:11

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until3:22, 4:4use1:6

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Wways3:18whereof5:16witness5:16written3:21

Xx1:3, 1:7

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112362:9161:12, 5:20175:17

220211:12, 3:23,5:1820255:20223:23

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Appendix C Impact Fee Ordinance

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PAGE 1 OF 25, ORD. #22-XX

STATE OF ILLINOIS

COUNTY OF KANE

ORDINANCE NO.22-XX

KANE COUNTY ROAD IMPROVEMENT IMPACT FEE ORDINANCE

WHEREAS, the County is authorized pursuant to the Highway Code of the Illinois Compiled

Statutes (605 ILCS 5/1-101 et seq.), (hereinafter “Highway Code”) to plan, develop, manage, operate,

maintain and control a system of highways (hereinafter “County highway system”) and each highway

that is part of the County highway system (hereinafter “highway”) under its exclusive jurisdiction within

the boundaries of Kane County; and

WHEREAS, the County of Kane (hereinafter “County”) is further authorized pursuant to the

Illinois Highway Code (605 ILCS 5/5-901 et seq.) to adopt road improvement impact fees (hereinafter

"impact fees") pursuant to the Road Improvement Impact Fee Law thereof; and,

WHEREAS, the County Board of Kane County (hereinafter “County Board”) has determined that impact fees are an equitable and financially responsible approach to ensuring an adequate County highway System will be available when needed to serve new residential, commercial and industrial land development; and

WHEREAS, the County Board is committed to developing and implementing an impact fee

program to mitigate the adverse traffic impacts of new development; and

WHEREAS, the County Board desires to implement impact fees that support the goals of the latest version of the County of Kane's Land Resource Management Plan as updated from time to time; and

WHEREAS, the County Board has determined that impact fees shall be expended on the County highway improvements within the service area(s) as specified in the County's Comprehensive Road Improvement Plan (hereinafter “CRIP”) as may be updated from time to time; and

WHEREAS, the Kane County Road Improvement Impact Fee Ordinance (hereinafter

“Ordinance”) is intended to comply in all respects with the Road Improvement Fee Law; and

WHEREAS, the County has previously recommended land use assumptions and has approved a CRIP for the purpose of implementing this Ordinance in full compliance with the requirements of the Road Improvement Impact Fee Law; and

WHEREAS, the County has, following extensive public participation, adopted Modified Land Use Assumptions pursuant to County Board Resolution 21-411, in accordance with the provisions of the Road Improvement Impact Fee Law, and has performed all other tasks necessary to update the Ordinance and by approval hereof amends in its entirety Chapter 17, Article II "Road Improvement Impact Fee Ordinance", of the Kane County Code.

NOW, THEREFORE, BE IT ORDAINED by the County Board of Kane County, Illinois:

Section One. Title.

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This Ordinance shall be known and may be referred to as the "Kane County Road Improvement Impact Fee Ordinance."

Section Two. Purpose and Authority.

1. The County Board recognizes that new development in the County requires the capacity of the County highway system be expanded and that without a funded program for County highway system improvements, new development will have an adverse impact on the safety and efficiency of the County highway system.

2. The County Board further recognizes that all new development in Kane County generates traffic on the County highway system and requires direct or indirect access to those highways that are a part of the County highway system, regardless of the location of the new development.

3. The purpose of this Ordinance is to ensure that new development pays a fair share of the cost of County highway improvements expended to serve new development. To that end, the imposition of impact fees is designed to supplement other funding sources so that the burden of paying for County highway improvements necessitated by new development is allocated in a fair and equitable manner and orderly growth is promoted throughout the County.

Section Three. Definitions.

The following definitions shall apply to the terms as used in this Ordinance:

Advisory Committee: the group of people selected from the public and private sectors in accordance with the Highway Code (605 ILCS 5/5-907) and the provisions of Section Eighteen of this Ordinance to advise the County in the development and implementation of the CRIP and the periodic update thereof.

Affordable housing: decent, safe, sanitary, and appropriate housing units that low and moderate-income households can own or rent without having to devote more than approximately thirty percent (30%) of their yearly gross income for monthly housing expenses. “Household expenses” are: (1) rent and utilities for rental housing; and (2) debt service (principal and interest), property taxes, and home insurance for home ownership. To qualify as affordable housing, the maximum purchase price of owner-occupied units shall not exceed that specified in the "Owner Occupied Affordability Chart for Chicago Metro Area" published annually by the Illinois Housing Development Authority. For rental housing to be considered affordable housing, the monthly rent for a dwelling unit may not exceed that specified in "Affordable Rental Units for Chicago Metro Area" published annually by the Illinois Housing Development Authority.

Age-restricted housing: single-family detached or single-family attached housing units that are restricted by deed so that at least one resident thereof must be fifty-five (55) years of age or older and no person under the age of nineteen (19) may reside in the unit more than ninety (90) days during any consecutive twelve (12) months.

Assisted financing: the financing of residential new development by the Illinois Housing Development Authority, including loans to developers for multi-unit residential development and loans to purchasers of single-family residences, including condominiums and townhouses.

Building: either a finished or an unfinished product of construction or a structure, carrying no

implication as to size or condition. The terms "building" and "structure" as used herein are

interchangeable.

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Building permit: any form of approval issued or granted by the County or a municipality that grants or otherwise allows the commencement of construction of a building.

Certificate of occupancy: any form of approval granted by either the County or a municipality as a condition to occupy a building, and includes any temporary occupancy approval as well as any permanent occupancy approval.

Charitable organization: entities, corporations, and any trust, fund, foundation or other entity certified by the Internal Revenue Service as tax-exempt under Section 501(c)(3) of the Internal Revenue Code organized and operated exclusively for religious, charitable, scientific, literary, or educational purposes, or for the prevention of cruelty to children or animals. Charitable organization includes organizations dedicated to the relief of the poor, the distressed, the disabled or the underprivileged; advancement of religion; advancement of education or science; erecting or maintaining public buildings, monuments or works; lessening the burdens of government; lessening neighborhood tensions; eliminating prejudice and discrimination; defending human and civil rights secured by law; and combating community deterioration and juvenile delinquency.

Comprehensive Road Improvement Plan: the highway improvement plan, also referred to as the CRIP, prepared by the County in consultation with the Advisory Committee. The plan is an analysis of the Kane County highway network, identification of the highway network deficiencies, formulation of a program of improvements and projects with associated costs thereof all of which ultimately results in the determination of a fee per trip calculation(s).

County: the County of Kane, of the State of Illinois.

County Board: the County Board of the County of Kane, of the State of Illinois.

County Engineer: the County Engineer of Kane County as “County Engineer” is defined as set forth in the Highway Code (605 ILCS 5/5-201 et seq.).

County highway: shall have the same definition as set forth in the Highway Code (605 ILCS 5/2-204).

County highway system: shall have the same definition as set forth in the Highway Code (605 ILCS 5/2-102).

CRIP: see definition for Comprehensive Road Improvement Plan.

Demolition Credit: a credit against an assessed impact fee which credit is determined by the dollar value of impact fees that would have otherwise been assessed on a building or buildings being demolished as part of a new development.

Density: an impact fee assessment factor that is calculated for residential new development by dividing the total number of residential units by the total buildable land area in acres of the new development. Buildable land excludes land occupied by nonresidential structures, and land excluded from residential development by law (e.g. wetlands, floodplains and rights of way for arterial and major collector roads), but includes areas devoted to public rights of way for local and minor collector streets internal to the new development, storm water management for the new development, parking areas, and common open space. For detached residential units on individual lots, the average density for the entire new development shall be used.

Developer: any person, corporation, organization, or other legal entity initiating or conducting

new development.

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Division of Transportation: the Kane County Division of Transportation located at 41W011 Burlington Road, St. Charles, Illinois 60175.

Encumbered: legally obligated or otherwise committed to use under contract or purchase order.

Enlarge: to increase is size, make larger, bigger or to add onto so as to increase the useable floor area square footage of a building. Enlarged does not necessarily mean “structurally altered”.

Existing deficiencies: the highway intersections and/or highway segments under the jurisdiction of the County that operated at level of service "E" or below (as defined by the Transportation Research Board) in the year 2003 and that are identified as "existing deficiencies" in the latest version of the CRIP.

Fee payer: any person initiating new development which pays, or is required to pay an impact

fee in accordance with the terms of this or any previous version of the Ordinance.

Floor Area Ratio (FAR): the floor area of a structure or structures on a zoning lot divided by the area of such zoning lot, or, in the case of planned unit developments, by the net site area. In all cases, the lot area or site area used to calculate the floor area ratio shall include the land areas allocated to parking and storm water management.

Highway: shall have the same definition as set forth in the Highway Code (605 ILCS 5/5-102 et seq.).

Highway improvement: the improvement, expansion, enhancement, enlargement or construction of those highways and/or the parts thereof under the jurisdiction of the County that are designated for improvement as set forth in the CRIP, which improvements include, but are not limited to bridges, right-of-ways and traffic control improvements owned and operated by the County. The term "highway improvement" shall not include tollways but may include tollway ramps at county highway intersections. The term "highway improvement" does not include any highways that are not designated for improvement in the CRIP even though they are under the jurisdiction of the County nor does it include site improvements related to the new development. Highway improvements must address capacity deficiencies on the highways as set forth in the CRIP.

Highway improvement capital costs: include, but are not limited to, capital costs associated with the construction of a highway improvement designated in the CRIP, the need for which is generated by new development, which highway improvement has a life expectancy of three (3) or more years, and the land acquisition, land improvement, planning, design, and engineering related thereto. Such costs do not include routine and periodic maintenance expenditures, resurfacing or rehabilitation of existing pavement structures, personnel, training, or other operating costs, but do include the costs of financing such highway improvements and reasonable administrative costs for administering the impact fee program, provided that such administrative costs do not exceed five percent (5%) of the impact fee paid.

Impact fee: the “road improvement impact fee” as defined herein.

Industrial: manufacturing, production, light manufacturing/industry, construction, assembly, service and/or warehousing activity.

Infill: undeveloped land or vacant land having at least seventy-five percent (75%) of its perimeter bordering land that has been developed. Developed land includes land either having or that has had pre-existing structures thereon. Land that is currently in agricultural use or forestry use is not considered developed. Park and forest preserve properties that border an infill site shall not be counted as part of the perimeter of undeveloped land.

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Impact fee agreement: an executed, fully approved, written agreement between the County and a developer and/or fee payer as provided for in Section Twelve of this Ordinance.

Impact fee credit agreement: an executed, fully approved, written agreement between the County and a developer and/or fee payer as provided for in Section Fourteen of this Ordinance.

Impact fee payment agreement: an executed, fully approved, written agreement between the County and a developer and/or fee payer as provided for in Section Twelve of this Ordinance.

Land use assumptions: a description of the service area(s) and the roads, streets or highways incorporated therein, which includes projections relating to changes in land uses, densities and population growth rates which affect the level of traffic within the service area(s) for a ten (10) year period of time.

Level of service: the measure of roadway sufficiency of traffic flow, in which acceptable operating speeds are assessed, and in which changes in operating conditions, fluctuations in traffic volume, and temporary restrictions to traffic flow are evaluated.

Municipality: any city or village or district with territory within the boundaries of Kane County.

New development: shall have the same definition as set forth in the Highway Code (605 ILCS 5/5-903). For the purpose of Section Ten of this Ordinance, new development shall additionally constitute a structure or group of structures that require site specific development approval.

Non-commencement: the cancellation of new development prior to commencing construction thereof.

Nonresidential new development: new development consisting of a building(s) or other structure(s) suitable or capable of being used for all purposes other than residential purposes.

Ordinance: Kane County Ordinance No. 04-21 as subsequently amended by Ordinance No. ________________________

Person: any individual, firm, partnership, association, public or private corporation, organization, limited liability company or business, charitable trust or governmental agency, person, unit of local government or any other legal entity.

Private school: a private, nonprofit educational facility serving one or more of grades, kindergarten through grade-12 and formally recognized by the Illinois State Board of Education.

Procedures Manual: the document developed by the County Engineer and available from the Division of Transportation that sets forth the procedures, processes, forms and operating definitions to be used in the administration of this Ordinance.

Project: the construction of a new development.

Redevelopment: a new development site in which at least seventy-five percent (75%) of the land area thereof has been previously developed.

Residential new development: house(s), building(s) or other structure(s) that is suitable or capable of being used for residential purposes.

Road improvement impact fee: any charge or fee levied or imposed by the County pursuant to the Road Improvement Impact Fee Law as a condition to the issuance of a building permit or

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certificate of occupancy in connection with a new development, when any portion of the revenues collected is intended to be used to fund any portion of the costs of system improvements.

Service area: any one of the three (3) land areas within Kane County delineated by the boundaries shown on Exhibit A of this Ordinance, and which are so designated in the CRIP.

Site-related improvements: any capital improvement elated in any manner to a highway, street or road necessary or convenient for ingress to and egress from a new development. Site-related improvements include among other things:

a) site driveways, streets and roads;

b) right- and left-turn lanes for or leading to or otherwise benefitting site driveways, alleys streets and roads;

c) traffic control measures for or leading to or otherwise benefitting site driveways, alleys, streets and roads;

d) acceleration and deceleration lanes;

e) median openings and closings;

f) roads necessary to provide direct access to the development;

g) landscaping and berms;

h) lighting and other utilities;

i) sidewalks and bike trails, and

j) any right of way needed for any of the above.

The term "site related improvements" includes any improvements made to alley’s, roads, streets, or highways and any appurtenances thereto that are not designated for or as an improvement in the CRIP.

Site specific development approval: shall have the meaning as set forth in the Highway Code (605 ILCS 5/5-903 et seq.). If the site specific development approval is preliminary in nature, the final plat or plan for the new development must be in substantial conformance with the approved preliminary plat or plan.

Specifically, and uniquely attributable: shall have the meaning as set forth in the Highway Code (605 ILCS 5/5-903 et seq.).

Speculative industrial new development: industrial or warehouse new development where the developer intends to lease or otherwise convey parts thereof to parties not yet determined at the time of issuance of the building permit or occupancy permit and where construction will commence prior to the new development or the part(s) thereof being leased or otherwise conveyed. Speculative industrial new development is otherwise defined as Light Industrial/Industrial Park or Warehouse/Distribution Terminal, and allows for the collection of impact fees based on an assumption of 20% General Office (ITE LUC 710) and 80% Warehousing (ITE LUC 150) prior to the identification of a tenant(s) or interior architectural plan.

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Structurally altered: any change or addition to the load bearing elements of a building that increases the useable internal floor area square feet thereof. Structurally altered does not necessarily mean “enlarged”.

Substantial conformance: any final plat or plan for new development which is generally consistent with the approved preliminary plat or plan virtually including the same mix of land uses and density. A final plat or plan in substantial conformance with the preliminary plat or generates the same or fewer peak hour trips, which peak hour trips are determined using the methodology as set forth in Appendix A of the CRIP.

System improvement: see “highway improvement”.

Technical specifications: those documents that contain the impact fee calculation factors necessary for computation of the impact fee for a particular land use, an individual assessment, and the impact fee schedule attached to this Ordinance.

Temporary structure: a building or structure designed or intended for temporary human occupancy or for the temporary protection of animals, chattels, or property of any kind. For the purposes of this Ordinance, "temporary" is defined as a period of time no greater than two (2) years.

Transit Supportive Corridors: shall be as defined in the report titled Implementation of the Kane County 2040 Long Range Transit Plan Transit-Supportive Corridors: Existing Conditions and Implementation Tools, prepared by the Chicago Metropolitan Agency for Planning (CMAP) (dated May 2015) which report may be amended from time to time.

Transportation Committee: the Transportation Committee as designated by the County Board.

Unit of local government: any city, village or district with territory in Kane County. The terms "unit of local government" and "municipality" as used herein are interchangeable.

Walking distance: the distance that a pedestrian must travel between destinations without obstruction, in a safe and comfortable environment. Walking distance is measured in linear feet along such paths, sidewalks or ways with one thousand three hundred twenty feet (1,320’) equaling a one-fourth (1/4) mile and two thousand six hundred forty feet (2,640’) equaling a one-half (1/2) mile.

Warehouse: a structure utilized in whole or part for the storage of materials, merchandise or goods only without any processing, fabrication, direct transfer or assembly.

Working day: any day on which the offices of the County are officially open, not including Saturdays, Sundays, and other holidays as designated by the County Board.

Section Four. Interpretation of Ordinance, Fee Schedule and Appeals.

1. Application of the provisions of this Ordinance, the impact fee schedules, standard individual assessment, and simplified individual assessment shall be made by the County Engineer. Whenever necessary, the County Engineer may use the latest edition of the Institute of Transportation Engineers Trip Generation Manual, the latest edition of the Transportation Research Board Highway Capacity Manual, or locally obtained empirical data, in applying this Ordinance. The County Engineer shall establish a Procedures Manual identifying the procedures the Division of Transportation will utilize in administering this Ordinance.

2. Any decision by the County Engineer with respect to this Ordinance may be appealed by the fee payer to the County Board through its Transportation Committee. Any appeal shall be

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made by written petition within fourteen (14) calendar days of written notice of a decision by the County Engineer.

3. Upon receipt of a petition for appeal of a decision of the County Engineer, the Transportation Committee shall schedule consideration of such appeal at its next regularly scheduled committee meeting that will comply with the requirements of the Illinois Open Meetings Act, (5 ILCS 120/1 et seq.) . The Transportation Committee shall notify the petitioner in writing of the date and time of such meeting and shall consider such written or oral testimony that the petitioner may present in conjunction with the decision and recommendation of the County Engineer. The Transportation Committee shall affirm, reverse, or modify the County Engineer's decision at said regularly scheduled meeting.

4. The fee payer shall have seven (7) calendar days after the date of the decision of the Transportation Committee to appeal the Transportation Committee's decision to the County Board. The County Board shall schedule consideration of such appeal at its next regularly scheduled County Board meeting that will comply with the requirements of the Illinois Open Meetings Act,. Failure by the County Board to render a decision within sixty (60) days of said County Board meeting shall constitute a denial of the petitioner’s appeal.

5. Upon a final decision by the County Board, a fee payer may seek any subsequent relief

in a de novo proceeding in the Circuit Court of the Sixteenth Judicial Circuit, Kane County, Illinois.

Section Five. Developers of New Development to Pay Road Improvement Impact Fee.

Any developer initiating or conducting new development shall pay an impact fee to the County in accordance with the terms and conditions of this Ordinance.

Section Six. Intergovernmental Agreements.

At any time after the adoption of this Ordinance, the County may enter into an intergovernmental agreement with any municipality the boundaries of which are within Kane County regarding the impact fee imposed by this Ordinance. Such intergovernmental agreements shall be adopted in accordance with law and may include provisions governing administrative issues involving the collection of the impact fee assessed and any other matters deemed necessary or appropriate by the County and the municipality.

Section Seven. Assessment of Impact Fees and Impact Fee Schedule.

1. An impact fee assessment shall be calculated pursuant to the impact fee schedules set forth in Exhibit B of this Ordinance and shall be due upon issuance of a building permit, unless otherwise provided for herein. Unless the project is otherwise covered by an impact fee agreement, impact fees shall be assessed based on the predominant use of each building.

2. Any new development shall be assessed an impact fee under the terms of the Ordinance in effect at the time of site specific development approval. For any new development, the assessed impact fee shall not be greater than the impact fee calculated under the most current version of this Ordinance and its attached impact fee schedules as may be amended. New development assessed an impact fee under Ordinance #04-22 shall not be eligible for any discounts provided for in Section Ten of this Ordinance.

3. When a land use of a new development is not listed in Exhibit B of this Ordinance, the County Engineer may determine the land use classification which most closely compares with the new development, which land use shall apply for purposes of determining the applicable impact fee under

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this Section. For land uses not specifically listed in Exhibit B, the County may, at the discretion of the County Engineer, determine an appropriate impact fee based on data published in the latest edition of the Institute of Transportation Engineers Trip Generation Manual pursuant to Section Thirteen of this Ordinance. Where land uses are not specifically listed in Exhibit B or the latest edition of the Institute of Transportation Engineers Trip Generation Manual, the County may, at the discretion of the County Engineer, determine an appropriate impact fee based on accepted traffic engineering practices, published data, the impact fee per trip provided in Exhibit D of this Ordinance, and the formula set forth in Section Thirteen of this Ordinance.

4. Where new development is a change in the existing land use, the amount of the impact fee shall be based on the net increase in trips generated by the new development, and the formula set forth in Section Thirteen of this Ordinance shall be used to calculate the impact fee.

5. Speculative industrial new development for which the use of the building(s) therein has not been determined at the time a building permit is to be requested will be assessed by one of the following methods:

a) Assessed at the highest rates in the impact fee based on the new development. b) Assessed at a reduced contingent fee via a Fee Payment Agreement per Section

Twelve. c) Assessed pursuant to a standard individual assessment or simplified individual

assessment contained in Section Thirteen.

6. Where a proposed new development is to be located within two (2) service areas, the County Engineer shall assess the impact fee as follows:

a) In the case of residential new development, the impact fee shall be determined by counting the number of dwelling units located within each service area of the new development and charging a per-unit cost for the dwelling units within each service area.

b) In the case of non-residential new development, the impact fee shall be determined by calculating the average of the impact fees that would otherwise be charged if the new development were located entirely within each service area.

Section Eight. Exemptions

The following new development shall be exempt from payment of any impact fees imposed by this Ordinance:

1. Alterations or expansion of an existing dwelling unit where no additional units are created

and the use of the unit is not changed;

2. Nonresidential new development where an existing building will be structurally altered or enlarged and does not exceed the lesser of (a) twenty-five thousand (25,000) square feet of floor area or (b) twenty-five percent (25%) of the existing floor area square footage of the building; where (i) the nonresidential new development does not require a zoning change, and (ii) where additional trips created by the alteration or enlargement does not exceed ten percent (10%) of trips per existing land use; or (iii) where the alteration is required by the County's or a Municipality's building code;

3. The construction of nonresidential accessory buildings which do not constitute an increase in intensity of the existing use;

4. The reconstruction of a destroyed or partially destroyed building with a new building of the same size and use;

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5. Publicly owned and operated school buildings;

6. Public buildings owned, operated and occupied by government agencies;

7. Temporary structures;

8. Affordable housing. Each housing unit (or a designated percentage of the housing units in multi-family housing developments) meeting the definition of “affordable housing” and the requirements of this Section shall be exempt from payment of an impact fee. The County Engineer shall establish procedures to ensure that rental housing developments qualifying for this exemption continue to meet the minimum affordability requirements of the Illinois Housing Development Authority for a period of ten (10) years. If a rental housing development fails to meet the affordability requirement in any year, the impact fee that would otherwise have been due shall be paid in full by the owner of record; and

9. Private schools.

Section Nine. Demolition Credits.

1. A fee payer or developer shall be entitled to a demolition credit equal to the dollar value of the reduced impact fee that would have been charged on the building(s) being demolished if part of a redevelopment plan or new development. A demolition credit shall not exceed the reduced impact fee for the new development.

2. At the time of application for an impact fee receipt, the person applying for an impact fee receipt shall present to the County a copy of the demolition permit or letter of authorization from the unit of local government issuing the demolition approval. The demolition permit shall be attached to the impact fee receipt application and demolition credits shall be calculated based upon the impact fee schedule in effect as of the date the impact fee is assessed. Demolition credits shall be deducted from the gross impact fee calculated for the new development.

3. The County shall not grant demolition credits for demolitions not associated with new development.

Section Ten. Discounts.

1. Eligibility: A new development shall be eligible for a discount from impact fees assessed in accordance with Section Seven of this Ordinance, provided that the following criteria are satisfied:

a) Mobility Options Discounts (up to a maximum of 20%)

i. 10% Discount if the new development is within one-quarter mile walking distance from an existing Pace Suburban Bus route;

ii. 10% Discount if the new development is within one-half mile walking distance from an existing Metra station;

iii. 10% Discount if the new development is within one-half mile from a Transit Supportive Corridor

iv. 10% Discount if the new development is within one-half mile from a local or regional greenway or bicycle trail. The greenway or bicycle trail shall be depicted on the Kane County Bike Map or Chicago Metropolitan Agency for Planning (CMAP) Regional Greenways and Trails Plan Map.

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http://kdot.countyofkane.org/Publications/Kane_Kendall_Bike_Map_2020-10-07.pdf

https://www.cmap.illinois.gov/mobility/walking-and-bicycling/greenways-and-trails

https://www.cmap.illinois.gov/mobility/walking-and-bicycling/greenways-and-trails


2. New development meeting any requirements set forth in 1(a) above may be eligible for additional discounts as follows:

a) 10% Discount for Mixed-Use Developments with a residential use and at least two (2) of the following land uses incorporated. Accessory uses within a principal use may not be counted as a separate use.

i. parks

ii. forest preserves

iii. community or civic centers

iv. recreation facilities

v. schools or daycare centers

vi. libraries

vii. places of worship

viii. post offices

ix. convenience stores

x. laundry/dry cleaners

xi. neighborhood retail centers

xii. restaurants

xiii. pharmacies

xiv. grocery stores

xv. banks

xvi. medical/dental offices or hospitals

xvii. general offices

b) Up to a maximum 30% Discount for Residential Density where the residential new development provides an average density of at least 7 units per acre. Where the Residential Density Discount is applied, the new development shall not be eligible for the Mixed-Use Development Density Discount.

i. 10% Discount for an average residential density of at least 7 units per acre and no more than 14 units per acre;

ii. 20% Discount for an average residential density of at least 15 units per acre and no more than 28 units per acre; or

iii. 30% Discount for an average residential density greater than 29 units per acre.

3. 20% Discount for Downtown Development where the new development is located on an infill or redevelopment site defined in a municipal adopted downtown subarea, comprehensive plan or within an established downtown Tax Increment Finance (TIF) district.

4. Up to 20% Discount for Industrial Developments where the following criteria are satisfied.

a) 10% Discount for redevelopment or infill; or

b) 10% Discount for onsite railroad spur access, airport access for freight, or direct access to a state designated truck route.

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5. Discount for local skilled manufacturing job creation within the Light Industrial/Industrial Park and related land use categories on the Impact Fee Schedule. New development which generates skilled manufacturing jobs can apply for a discount. Skilled manufacturing jobs are defined and classified as follows:

Highly trained, educated, or experienced employees that can complete more complex mental or physical tasks on the job.

Often specialized and may require a prolonged period of training and experience

Skills in science, technology, engineering, and math (STEM) are essential in many industries

Skilled job creation must be verified in writing by the permitting municipality or agency, local economic development organization, or local workforce development board and submitted for approval prior to the discount being granted.

a) 10% discount for 1-100 jobs created

b) 20% discount for 101 or more jobs created

Any new development within the Speculative Industrial new development category on the Impact Fee Schedule is not eligible for this discount

6. Except for charitable organizations, the maximum impact fee discount that any new development may receive under this Section is seventy percent (70%). Impact fees calculated through any individual assessment are not eligible for any of the discounts in this Section.

7. Impact Fee Discount Application: In order to receive the impact fee discount described in this Section, the developer shall submit an impact fee discount application to the Division of Transportation Impact Fee Coordinator. The impact fee discount application shall include an overall plan of the new development, a description of the permitted and anticipated land uses, and detailed calculations clearly demonstrating that the new development meets the requirements listed in this Section and a schedule indicating the anticipated year of construction of the various phases and elements of the new development. The Division of Transportation may establish further requirements for an impact fee discount application as needed for proper administration the requirements of this Section.

a) Within fifteen (15) working days of receipt of a written impact fee discount application, the County Engineer shall determine if all pertinent information has been provided by the developer. If the County Engineer determines that additional documentation is required, the County Engineer shall send a written statement to the developer specifying the deficiencies. Until the deficiencies are corrected, the County shall take no further action on the application for an impact fee discount.

b) When the County Engineer determines that the application for an impact fee discount is complete, the County Engineer shall draft an impact fee payment agreement for the review and approval of the fee payer pursuant to Section Twelve.

8. Impact Fee Discount Payment: As a condition of receiving an impact fee discount under this Section, the developer shall enter into a Memorandum of Agreement with the County Engineer. The Memorandum of Agreement shall provide that the developer will construct the new development in accordance with the supporting documents submitted with the impact fee discount application, within a period not to exceed ten (10) years. The agreement shall also include a commitment by the developer that if the new development is not completed in accordance with the impact fee discount application within ten (10) years of the date of the impact fee payment agreement, or if there is a material change in the new development that would result in (i) its ineligibility to receive an impact fee

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discount, or (ii) its receiving a lesser impact fee discount, then the developer shall pay or cause to be paid to the County an amount equal to the impact fee discount or excess impact fee discount received. The duration of the impact fee discount may be extended beyond the ten (10) year period upon mutual agreement of the County and the developer, provided that portions of the new development completed within ten (10) years meet the qualification requirements for the discount obtained and that additional portions of the development receiving the discount after the ten (10) year period continue to meet the requirements for the discount obtained. The County Engineer may, as a condition of the Memorandum of Agreement, require an impact fee payment agreement with the County in accordance with Section Twelve of this Ordinance, which also may include provision of a guaranty in a form acceptable to the County to ensure such payment.

9. Impact Fee Discount Exemptions: New development shall be eligible for a one hundred percent (100%) discount from the impact fee assessed in accordance with Section Seven of this Ordinance, provided: (i) it is solely owned and solely occupied by a charitable organization certified by the Internal Revenue Service as tax-exempt under section 501(c)(3) of the Internal Revenue Code and (ii) the total site generates fifty (50) or fewer weekday P.M. peak hour trips as determined using the methodology contained in Appendix A of the CRIP. Sites that generate greater than fifty (50) weekday P.M. peak hour trips but otherwise meet the requirements of this Section shall receive a total maximum discount the amount of which is determined by multiplying the applicable impact fee per trip from Exhibit D of this Ordinance, by the applicable impact fee multiplier from Exhibit C of this Ordinance, and multiplying the result by fifty (50). In order to receive this discount, the charitable organization shall provide satisfactory evidence of its federal tax-exempt status.

Section Eleven. Payment of Impact Fees.

1. Except as may be otherwise provided in subsections 2 and 3 of this Section, impact fees for any new development assessed pursuant to any previous, or current Ordinance shall, prior to the issuance of a building permit by either a municipality or the County, be paid in full or upon issuance of an occupancy permit for the Speculative Industrial new development. .

2. In the event that a building permit or certificate of occupancy is issued by a municipality without an impact fee having been paid, the County may collect the impact fee from the fee payer or the fee payer's successor in title at any time thereafter. In conjunction with the collection of any impact fee that remains unpaid or becomes due, the County may file in the Office of the Kane County Recorder notification of an unpaid impact fee. Any fee payer or any fee payer's successor in title, paying an impact fee after a building permit or certificate of occupancy has been issued shall be charged a rate of interest which is three percent (3%) over the prime commercial rate in effect at the time that the impact fee is assessed. Interest shall begin accruing on the first business day following the date of said building permit or certificate of occupancy issuance.

3. Payment of an impact fee may be authorized at a time earlier than as otherwise specified in subsections 1 of this Section if the County and the fee payer enter into an impact fee payment agreement that provides for such earlier payment of the impact fee. At the option of the County, the County may enter into an impact fee payment agreement with a fee payer pursuant to Section Twelve hereof that provides for the installment payment of the impact fee at a rate of interest which is 3% over the prime commercial rate in effect at the time that the impact fee is imposed, for a period of up to ten (10) years after the impact fee is due, provided that the County receives, in the opinion of the County, adequate security ensuring such later payment of the impact fee. In all impact fee payment agreements, interest on any unpaid Impact fee or part thereof shall begin accruing on the first business day following submittal of the impact fee application.

4. Developers of residential new development which receives assisted financing, or who have received a written commitment for assisted financing and whose assisted financing has been provided within six (6) months of the issuance of a certificate of occupancy, may enter into an impact fee payment agreement with the County whereby the impact fee may be paid in installments over a ten (10) year period

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of time at a rate of interest which is three percent (3%) over the prime commercial rate in effect at the time that the impact fee is assessed.

5. The County and any municipality may enter into an intergovernmental agreement that provides for the cooperative collection of impact fees and/or for the conditioning of the issuance of municipal building permits or certificates of occupancy upon proof of payment of the County's impact fee.

6. Municipalities shall provide the County with a notice of issuance of any building permit in accordance with the provisions of the Illinois Municipal Code of the Illinois Compiled Statutes (65 ILCS 5/11-39-1), and shall submit a copy of the fee payer's receipt of payment of the impact fee or a County approved impact fee payment agreement along with such notice.

Section Twelve. Impact Fee Payment Agreements.

1. At any time prior to the issuance of a building permit, a fee payer may enter into an impact fee payment agreement with the County providing for the payment of the impact fee imposed by this Ordinance, in accordance with requirements specified by the County Engineer. Such impact fee payment agreement may provide for the following:

a) installment payments of the impact fee for a period up to ten (10) years, (only in the case of new development funded by assisted financing),

b) recapture payments for construction credits,

c) credit and security arrangements, and

d) other matters relating to the impact fee.

In addition, any impact fee payment agreement may also include an improvement credit agreement as provided for in Section Fourteen of this Ordinance.

2. For new development eligible for deferred payment of an impact fee, the impact fee payment agreement may require security, the form of which shall be determined at the sole option of the County. Security may be in the form of a promissory note, cash bond, security bond, an irrevocable letter of credit, or a lien or mortgage on the lands to be covered by the building permit, among other things. The impact fee payment agreement may provide that such security may be partially releasable upon receipt of partial payments of the impact fee. Fee payers receiving assisted financing shall be charged a rate of interest which is three percent (3%) over the prime commercial rate in effect at the time that the impact fee is assessed, on any deferred impact fee payments.

3. Fee payers for any new development other than residential new development and fee payers for multi-unit residential new development will be allowed to enter into impact fee payment agreements to defer payment of some portion of the impact fees due upon the issuance of a building permit. Impact fee payment agreements shall provide that a payment of at least fifty percent (50%) of the assessed impact fee or construction credits in lieu of cash shall be payable upon the issuance of a building permit, and the balance shall be payable in twelve (12) months from the date of issuance of the building permit. Fee payers shall be charged a rate of interest that is three percent (3%) over the prime commercial rate in effect at the time that the impact fee is assessed, on any impact fees deferred in accordance with this Section for new development eligible for deferred payment of an impact fee, through an impact fee discount agreement.

4. For new development approved for impact fee discounts pursuant to Section Ten of this Ordinance, the impact fee payment agreement shall provide that the developer will construct the new development in accordance with the supporting documents submitted with the impact fee discount application, within a period not to exceed ten (10) years. The impact fee payment agreement must

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also include a commitment by the developer that if the new development is not completed in accordance with the impact fee discount application within ten (10) years of the date of the impact fee payment agreement, or if there is a material change in the new development that would result in (i) its ineligibility to receive an impact fee discount, or (ii) its receiving a lesser impact fee discount, then the developer shall pay or cause to be paid to the County an amount equal to the impact fee discount or excess impact fee discount received. The duration of the impact fee discount may be extended beyond the ten (10) year period upon mutual agreement of the County and the developer, provided that portions of the new development completed within ten (10) years meet the qualification requirements for the discount obtained and that additional portions of the development receiving the discount after the ten (10) year period continue to meet the requirements for the discount obtained. The County may, as a condition of the impact fee payment agreement, require a guaranty in a form acceptable to the County to ensure such payment.

5. Within fifteen (15) working days of receipt of a written application for an impact fee payment agreement, the County Engineer shall determine if all pertinent information has been provided by the fee payer. If the County Engineer determines that additional documentation is required, the County Engineer shall send a written statement to the fee payor specifying the deficiencies in the application. Until the deficiencies are corrected, the County shall take no further action on the application for an impact fee payment agreement.

6. When the County Engineer determines that the application for an impact fee payment agreement is complete, the County Engineer shall draft an impact fee payment agreement for the review and approval of the fee payer. Upon acceptance of the impact fee payment agreement by the fee payer, the Transportation Committee shall consider the impact fee payment agreement at its next regularly scheduled meeting that will comply with the requirements of the Illinois Open Meetings Act. If the Transportation Committee approves the impact fee payment agreement, the County Engineer may execute the agreement on behalf of the County. The Transportation Committee’s denial of an impact fee payment agreement shall be based on written findings. Said written findings shall indicate that the impact fee payment agreement is not in the best interest of the County. Reasons for such finding may include but are not necessarily limited to the extraordinary potential adverse impact of the new development among other things.

Section Thirteen. Individual Assessment of Impact – Simplified and Standard Analysis.

1. Any developer may choose to provide an individual assessment of the impacts of the proposed new development upon the County highway system. The individual assessment may be used by the County to determine: (i) whether the share of the highway improvement capital costs necessitated by the proposed new development should be less than the impact fee established in Section Seven of this Ordinance or (ii) the impact fee for a particular land use or combination of uses not otherwise identified in Section Seven of this Ordinance. There are two types of individual assessments available.

Simplified

2. Where the impact fee assessed under Section Seven of this Ordinance does not reflect the impact of the proposed new development, and where the latest version of the Institute of Transportation Engineers Trip Generation Manual provides trip generation data for another Land Use Code(s) which more closely represents the data for the new development, the developer may complete a simplified individual assessment.

3. Any developer who requests a simplified individual assessment is required to submit an application for a simplified individual assessment to the County Engineer (see Exhibit E of this Ordinance).

4. The County Engineer will review the application for a simplified individual assessment within fifteen (15) working days of receipt. If the County Engineer determines the application is not

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complete, the County Engineer shall send a written statement specifying the deficiencies to the person submitting the application. Until the deficiencies are corrected, the County Engineer shall take no further action on the application for simplified individual assessment, other than further reviews for completeness.

5. The County may, at the discretion of the County Engineer, have the simplified individual assessment reviewed by an approved transportation professional. The County Engineer shall approve the proposed impact fee if the County Engineer determines that the data provided in the latest version of the Institute of Transportation Engineers Trip Generation Manual accurately represents the trip generation characteristics anticipated for the new development. If the County Engineer determines that use of the Institute of Transportation Engineers Trip Generation Manual data does not fairly assess the highway improvement capital costs to the County highway system in accordance with the formula set out in subsection 8 of this Section the proposed impact fee shall be denied, and the developer shall pay the impact fee according to the schedule established in Section Seven of this Ordinance if the new development’s proposed land use has not previously been identified in the impact fee schedule or an amount as otherwise determined by the County Engineer.

6. If the simplified individual assessment is denied by the County Engineer, the developer retains the ability to perform a full standard individual assessment pursuant to this Section.

Standard

7. Any developer who chooses to provide a standard individual assessment is required to submit to the County Engineer a written statement of intent to perform a standard individual assessment, including its intended methodology, prior to performing the standard individual assessment and commencing the new development.

8. The individual assessment shall be calculated according to the following formulas (See Technical Specifications for detailed information):

PRIMARY TRIP RATE = GROSS TRIP RATE x TOTAL TRIP REDUCTION

TRIPS = PRIMARY TRIP RATE x NUMBER OF IMPACT UNITS


NET IMPACT FEE = GROSS IMPACT FEE minus DEMOLITION CREDIT minus IMPROVEMENT CREDIT


Where:

GROSS TRIP RATE; equals the number of trips generated by one IMPACT UNIT of the new development on a weekday during the peak hour, between 4:00 p.m. and 6:00 p.m., of adjacent street traffic, as defined in the latest edition of the Institute of Transportation Engineers Trip Generation Manual.

TOTAL TRIP REDUCTION: equals the percentage of trips generated by a new development that are pass-by trips or diverted-linked trips as defined in the latest edition of the Institute of Transportation Engineers Trip Generation Handbook.

PRIMARY TRIP RATE; equals the portion of the GROSS TRIP RATE that represents new trips on the County highway system, discounting pass-by and diverted-linked trips.

IMPACT UNITS; equals a measure of the size of the new development that correlates with the number of peak hour trips generated by the new development between 4:00 p.m. and 6:00

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p.m. For residential new developments, the IMPACT UNIT is the number of dwelling units of various types in the new development. For non-residential new developments, the IMPACT UNIT is generally a multiple of the number of gross interior square feet of the buildings constructed in the new development.

IMPACT FEE PER TRIP: equals the GROSS IMPACT FEE for the service area for new development that generates one trip during the peak hour of adjacent highway traffic between 4:00 p.m. and 6:00 p.m. (See Exhibit D of this Ordinance).

DEMOLITION CREDIT: equals the GROSS IMPACT FEE that would have been assessed on a building that a fee payer demolishes in conjunction with new development.

IMPROVEMENT CREDIT: equals the value of impact fee eligible highway improvements constructed by a developer in conjunction with new development and pursuant to an improvement credit agreement with the County.

IMPACT FEE MULTIPLIER; equals the percentage determined by the County Board by which the NET FEE shall be multiplied to determine the REDUCED FEE (See Exhibit C of this Ordinance).

9. The standard individual assessment shall include the following information:

a) The trip generation rates for the proposed new development, on an average daily and on a peak design hour basis. The trip generation rates shall be based on local empirical surveys for the same or similar land use types. Empirical surveys shall include data collected from 4:00 pm to 6:00 pm at a minimum of three (3) locations having the same or similar land uses, or three (3) consecutive days at the same location. Survey locations should be similar to the location of the new development in terms of land use, adjacent street daily traffic, and mobility options. Coordination with the Division of Transportation impact fee coordinator is required for survey locations outside of Kane County

b) The proposed trip reduction rates for pass-by and diverted-linked trips, if any. The trip reduction rates shall be based on data provided in the latest edition of the Institute of Transportation Engineers Trip Generation Handbook or local empirical surveys for the same or similar land use types.

c) Any other data and supporting calculations that demonstrate a lower impact fee would be justified due to the unique nature or location of the new development.

10. An individual assessment shall be prepared only by a Professional Traffic Operations Engineer (PTOE) licensed in the state of Illinois utilizing established procedures, in the field of transportation planning and engineering and impact analysis. The standard individual assessment shall be stamped and signed by the qualified engineer.

11. The maximum reduction in any impact fee determined through any individual assessment, standard or simplified shall not exceed seventy percent (70%) of the impact fee as initially determined by and set forth in the impact fee schedule.

12. Within fifteen (15) working days of receipt of an individual assessment, the County Engineer shall determine if the standard individual assessment application materials are complete. If the County Engineer determines the standard individual assessment application is not complete, the County Engineer shall send a written statement specifying the deficiencies to the person submitting the standard individual assessment. The County may, at the discretion of the County Engineer, have the individual assessment reviewed by an approved transportation professional. Until the deficiencies are corrected, the County Engineer shall take no further action on the standard individual assessment, other than further reviews for completeness.

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13. When the County Engineer determines the standard individual assessment is complete, the standard individual assessment shall be reviewed by the County within thirty (30) days thereafter. The County Engineer shall approve the proposed impact fee if the County Engineer determines that the traffic information, traffic factors, and methodology used to determine the proposed impact fee are professionally acceptable and fairly assess the highway improvement capital costs to the County highway system in accordance with the formula set out in subsection 8 of this Section. If the County Engineer determines that the traffic information, traffic factors, or methodology does not fairly assess the highway improvement capital costs to the County highway system in accordance with the formula set out in subsection 8 of this Section, the proposed impact fee shall be denied, and the developer shall pay the impact fee according to the schedule established in Section Seven of this Ordinance or as otherwise determined by the County Engineer if the new development’s proposed land use has not previously been identified in the impact fee schedule. If the individual assessment is denied by the County Engineer, the decision of the County Engineer may be appealed in the manner provided for in Section Four of this Ordinance.

Section Fourteen. Impact Fee Credit Agreements.

1. Any fee payer may request an impact fee credit against the impact fee imposed by this Ordinance for any contribution, payment, recapture or construction of a system improvement or conveyance of land accepted and received by Kane County for any system improvement in accordance with the provisions of this Section. Highway related improvements made primarily for the benefit of the new development or municipalities or individuals or entities other than the County, including but not limited to highway related improvements such as turn lanes, traffic signals at private entrances, improvements to cross streets not on the County highway system over and above those necessary for the efficient operation of County intersections, and improvements to private property, together with the engineering and right of way costs therefor, are not eligible for an improvement credit. Any contribution, payment, recapture, construction of a highway related improvement or conveyance of land accepted and received by the County that does not address a capacity deficiency as set forth in the CRIP or that is received by the County as third party beneficiary as consideration included in any annexation agreement or as consideration for a grant from the County of any benefit to the new development that the new development is not otherwise entitled to as a matter of law, is not eligible as an improvement credit. The County Engineer shall determine which improvements are system improvements eligible for an improvement credit.

2. The County shall not be required to refund any impact fee or part thereof for any improvement credits that exceed any impact fee assessed by this Ordinance for the new development. However, a fee payer or his or her successor in interest may apply an improvement credit which has not otherwise been used in any other improvement credit agreement, against an impact fee which would otherwise be due and owing under the provisions of this Ordinance, provided that the improvement for which the credit is being applied is located within the same service area as the new development which would be the beneficiary of the credit and provided that the credit application is made within five (5) years of the date of execution of the original improvement credit agreement.

3. A fee payer shall be entitled to an improvement credit equal to the dollar value of the cost of any eligible system improvement contributed, paid for or committed to by the fee payer or his or her predecessor in interest in conjunction with the County's approval of the new development which is subject to the impact fee for which an improvement credit is being sought. The cost of such improvements shall be based on the following criteria:

a) The actual cost of the system improvements based on a valid contract proposal or bid tabulations for work performed within Kane County on the County highway system; and

b) The mean value of two legitimate, qualified appraisals of the fair market value of any land or interest therein which is part of the system improvement for which a credit is being sought. The fee payer or developer and the County shall each provide a legitimate, qualified appraisal from which the mean shall be determined.

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4. To be eligible to receive an impact fee credit, the fee payer or developer shall initiate such determination of entitlement to an improvement credit by submitting a written application prepared by an Illinois licensed civil engineer for an improvement credit agreement to the County Engineer, no later than the fee payer’s application for (i) the related building permit or (ii) the related highway access permit; whichever occurs first. The application for an improvement credit agreement shall include the following information:

a) A plan of specific proposed system improvements, prepared and certified by a duly qualified and licensed Illinois civil engineer; and,

b) The projected costs for the proposed system improvements, which shall be based on local information for similar highway improvements, along with the construction timetable for the completion of the proposed system improvements. Such estimated costs shall include the cost of all labor and materials, the appraised value or cost of all lands, property, rights, easements and franchises acquired, financing charges, interest prior to and during construction and for one (1) year after completion of construction, cost of plans and specifications, surveys of estimated costs and of revenues, costs of engineering and legal services and all other expenses necessary or incidental to determining the feasibility or practicability of such construction or reconstruction.

5. Within fifteen (15) working days of receipt of the application for an impact fee credit agreement, the County Engineer shall determine if all pertinent information has been provided. If the County Engineer determines that additional information is required, the County Engineer shall send a written statement outlining the application’s deficiencies to the applicant. The County Engineer shall take no further action on the proposed improvement credit agreement, other than further reviews for completeness, until all deficiencies have been corrected or otherwise settled.

6. Once the County Engineer determines that the applicant’s proposed improvement is a system improvement and the proposed costs for the suggested system improvement are professionally acceptable and fairly assess its cost, the County Engineer shall draft an impact fee credit agreement that shall be reviewed and approved by the applicant submitting the request for the impact fee credit agreement. The impact fee credit agreement shall specifically outline the system improvements that will be constructed by the applicant, the time by which the system improvements shall be completed and the total dollar value of the proposed system improvements. If the County Engineer determines that either the proposed system improvement is not a system improvement or that the proposed costs thereof are not acceptable, the County Engineer shall notify the applicant of his/her decision and may propose an alternative system improvement consistent with the provisions of this Ordinance.

7. Upon written acceptance of the impact fee credit agreement by the County Engineer and the applicant, the Transportation Committee shall consider the impact credit agreement at the next regularly scheduled committee meeting that will comply with the requirements of the Illinois Open Meetings Act . If the Transportation Committee approves the impact fee credit agreement, the County Engineer may execute the impact fee credit agreement on behalf of the County. Any impact fee credit agreement that includes system improvements with a total dollar value over $100,000 shall be reviewed and ratified by the County Board before it is executed by the County Engineer.

8. The Division of Transportation shall maintain records of the use of impact fee credits toward payment of impact fees due and shall provide upon written request a quarterly statement to the beneficiary of each impact fee credit agreement indicating use of any impact fee credits during the reporting period and the balance of impact fee credits remaining. Upon execution of an impact fee credit agreement, the beginning balance shall be equal to the total dollar value of the impact feet credits as specified in the impact fee credit agreement. Impact fee credits will be applied against new development in the following manner:

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a) The recipient of the impact fee credit shall indicate on the impact fee application that impact fees assessed will be paid by utilizing impact fee credits and shall indicate the impact fee credit agreement number.

b) For each portion of the new development to which an impact fee credit is intended to be applied, the Division of Transportation shall calculate the gross impact fee in accordance with Exhibit B of this Ordinance or in accordance with Section Thirteen of this Ordinance. The remaining impact feet credit balance shall be reduced by the gross impact fee for that portion of the new development. The impact fee receipt shall note that the impact fees were paid through application of impact fee credits and the amount of impact fee credit expended.

c) If the impact fee credits remaining are insufficient to cover the gross impact fee for the new development, the remaining gross impact fee shall be multiplied by the impact fee multiplier then in effect and the applicant notified of the impact fee due.

Section Fifteen. Refunds.

1. Any impact fee collected may be refunded to the fee payer for the new development due to non-commencement before the impact fees have been expended or otherwise encumbered. Refunds may be made in accordance with this Section, provided that the fee payer or his or her successor in interest files a written petition for a refund of impact fees paid, within one (1) year of the date that the impact fees were required to be encumbered or expended.

2. Impact fees collected shall be encumbered for any of the purposes listed in Section Seventeen of this Ordinance within five (5) years of the date of receipt thereof. In determining whether the funds have been encumbered, the impact fees shall be accounted for on a first-in- first-out (FIFO) basis.

3. The impact fees collected pursuant to this Ordinance that have not been encumbered in accordance with subsection 2 of this Section shall be returned to the owner of record only upon receipt of a petition therefor. The petition shall include the following information:

a) A notarized sworn statement that the petitioner is the owner of record of the new development for which the impact fee was paid and that the petitioner is entitled to a refund under the terms of this Ordinance;

b) A certified copy of the latest recorded deed for the property that comprises the new development for which the impact fee was paid; and

c) A copy of the most recent ad valorem property tax bill for the property that comprises the new development for which the impact fee was paid.

4. Within fifteen (15) working days of receipt of the written request, the County Engineer shall determine if the written request is complete. If the County Engineer determines the refund request is not complete, the County Engineer shall send a written statement by U.S. mail or email specifying the deficiencies to the petitioner. Unless the request's deficiencies are corrected, the County Engineer shall take no further action on the request.

5. When the County Engineer determines the written petition for refund of impact fees paid is complete, the County Engineer shall review the petition within fifteen (15) working days, and shall approve the requested refund if the County Engineer determines the fee payer has paid an impact fee which the County has neither expended nor encumbered within five (5) years from the date the impact fee was paid.

6. If any impact fee has not been expended or otherwise encumbered within five (5) years of the date the impact fee were received, upon receipt of a complete refund petition as determined by

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the County Engineer, the impact fee shall be refunded along with interest at a rate which is seventy percent (70%) of the prime commercial rate in effect at the time that the impact fee is imposed, less five percent (5%) of the total fee to defray the costs of administration.

7. Impact fee refunds may be made at the discretion of the County Engineer without petition in any case where inadvertent mathematical error resulting in overpayment has been made.

8. Any charitable organization certified by the Internal Revenue Service as tax-exempt under Section 501(c)(3) of the Internal Revenue Code, and when so certified paid an impact fee under Kane County Ordinance 04-22 for new development that is solely owned and solely occupied by the charitable organization shall, upon written application to the Kane County Engineer, receive a one-time refund in an amount equal to 100% of the impact fee that would have been assessed on an equivalent land use that generates 50 weekday PM peak hour trips, or an amount equal to 100% of the impact fee paid, whichever amount is less.

Section Sixteen. Establishment of Service Areas.

There are hereby established service areas within the County in accordance with the boundaries set forth on Exhibit A of this Ordinance. The impact fee funds collected pursuant to this Ordinance shall be expended within the service area(s) from which they were collected, in accordance with the provisions of Section Seventeen of this Ordinance.

Section Seventeen. Use of Impact Fees Collected.

1. The impact fees collected pursuant to this Ordinance shall be used in the same manner and for the same purposes as motor fuel tax money allotted to the County under the provisions of the Highway Code, (605 ILCS 5/5-701 et seq.) solely for highway improvement capital costs that are specifically and uniquely attributable to the new development assessed the impact fee. In no event shall impact fees be expended to alleviate existing deficiencies in the County's highway system which were identified in the CRIP that was the basis for the original Road Improvement Impact Fees adopted by the County. The impact fees shall be expended on system improvements within the service area(s) from which the impact fees were collected, as specified in the CRIP. In the event that a service area boundary is the centerline of a County highway or intersection, the County Engineer may use the impact fees to complete the system improvements to the opposite side of the highway or right of way. Co-mingling of impact fees with regular highway, local gasoline or state motor fuel tax funds on highway improvements is permissible to the extent that regular tax funds are used to pay for the cost of alleviating any existing deficiencies. The County Engineer shall provide a written justification of the allocation of impact fees whenever such impact fees are allocated to highway improvements that will remedy existing deficiencies, demonstrating that the impact fees are not used to improve said existing deficiencies.

2. Impact fees shall be expended or encumbered within five (5) years from the date of receipt thereof.

3. Impact fees collected by the County pursuant to this Ordinance shall be kept separate from other funds of the County.

4. Impact fees collected shall accrue to the fund established for the service area(s) in which the new development is proposed or occurs.

5. Impact fees on deposit and not immediately necessary for expenditure shall be invested in interest bearing accounts designated solely for the impact fees for each service area(s). All interest derived therefrom shall be retained in the appropriate fund and used for highway improvements authorized in this Ordinance.

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6. The County shall provide for an annual accounting of any fund or account containing impact fees and interest earned thereon. Such accounting shall include, but shall not be limited to, the total impact fees collected, the source of the impact fees collected, the total amount of interest accruing on such impact fees, the amount of impact fees expended on highway improvements, and a list of the improvement credits granted. The County shall publish the results of the accounting once a year in a newspaper of general circulation within Kane County. The notice shall also state that a copy of the accounting report shall be made available for public inspection at reasonable times. A copy of the report shall be given to the Advisory Committee.

7. Impact fees collected pursuant to Ordinance 04-22 and impact fees assessed pursuant to Section Seven of this Ordinance may be expended on any eligible highway improvement identified in the CRIP in effect at the time of award of the contract for expenditure of the impact fees; however, impact fees collected pursuant to Ordinance 04-22 and impact fees assessed pursuant to Section Seven of this Ordinance shall be expended within the service area as defined in Ordinance 04-22 from which the impact fees were collected.

Section Eighteen. Advisory Committee.

1. An Advisory Committee has been established by the County in compliance with the requirements of the Road Improvement Impact Fee Law to assist the County in the recommendation of land use assumptions and the development of the CRIP. After the effective date of this Ordinance, the Advisory Committee shall, among other duties, continue to:

a) Report to the County on all matters relating to the imposition of impact fees;

b) Monitor and evaluate the implementation of the CRIP and the assessment of impact fees;

c) Report annually to the County with respect to the progress of the implementation of the CRIP;

d) Advise the County of the need to update or revise the land use assumptions, CRIP, or impact fees;

e) Review the County's highway program with respect to impact fee expenditures; and

f) Discuss relevant development trends in the County.

2. The County shall adopt procedural rules to be used by the Advisory Committee in carrying out the duties imposed by this Section. The rules shall provide that any three (3) members of the Advisory Committee may call a meeting of the Committee to discuss issues that fall within the duties listed above. The County shall assist the Advisory Committee and shall make available all professional reports reasonably relating to the development and implementation of the land use assumptions, the CRIP, and the periodic up-dates of the CRIP. Meetings of the Committee shall be subject to the Illinois Open Meetings Act (5 ILCS 120/1 et seq.).

Section Nineteen. Review of Land Use Assumptions and Update of Comprehensive Road Improvement Plan.

The Advisory Committee shall periodically review the land use assumptions and the CRIP, approved by Resolution 04-21 as amended from time to time, in accordance with Section Eighteen of this Ordinance and shall advise the County of the need to update any of these documents. The CRIP shall be updated at least once every five (5) years in accordance with statutory requirements. The five (5) year period shall commence on the date of the most recent adoption of the CRIP.

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Section Twenty. Review of Ordinance.

1. The Advisory Committee shall periodically review the factors used to calculate the impact fee schedule in Section Seven of this Ordinance, the criteria defined for a simplified individual assessment provided for in Section Thirteen, the factors used for a standard individual assessment provided for in Section Thirteen, the administration of this Ordinance and the Procedures Manual, and shall revise the impact fee schedule in accordance with any changes in the factors used in calculating the impact fee. The review shall not affect the applicability of the impact fee schedule in Section Seven or the factors in Section Ten until a revision to the schedule or the factors is approved by the County Board. If the County Engineer determines that the arithmetic average of any proposed increase in the impact fees will be five percent (5%) or greater from the previous impact fee schedule, the County shall hold a public hearing regarding the proposed revisions to the impact fee schedule. The County shall give thirty (30) days’ notice of such public hearing by publication in a newspaper of general circulation within Kane County. A majority vote of the members of the County Board then holding office is required before the impact fees may be increased. In no event shall this subsection or any other Section of this Ordinance be construed to prevent the County Board from taking any action to amend this Ordinance after its effective date.

2. Regarding any revision of the impact fee schedule, the maximum annual increase for any one year shall not be more than ten percent (10%) plus any increase in the Construction Cost Index (as published by the Engineering News Record) for said year.

3. Any impact fee increase or decrease shall become effective on April 1st of the year that the impact fee schedule is approved by the County Board. If there has been a State or County gas tax increase or decrease, a revised fee schedule may be considered by the Transportation Committee at a regularly scheduled meeting and subsequently by the County Board at the next regularly scheduled County Board meeting thereafter. Any revised impact fee schedule approved by the County Board shall reflect the allocation of such gas tax funds to transportation capacity improvements.

4. An annual report shall be provided to the County Board that examines the expenditure of the impact fees collected under the provisions of this Ordinance and analyzes the effectiveness of such expenditures. The annual report shall be produced prior to June 1st of every year.

5. The limitations contained in subsections 1 and 2 of this Section shall not apply to any amendment to this Ordinance resulting from a complete update of the Land Use Assumptions and Comprehensive Road Improvement Plan in accordance with the Road Improvement Impact Fee Law.

Section Twenty-one. Effective Date of Ordinance.

This Ordinance shall become effective upon adoption by the County Board.

Section Twenty-two. Penalties.

1. The County Engineer shall initiate, through the office of the Kane County State's Attorney, judicial proceedings to collect any impact fee or any interest accrued thereon that has become due under this Ordinance.

2. Unless a fee payer is actively prosecuting the appeal of an impact fee, or actively prosecuting any other remedy provided by law for relief against an impact fee, if an impact fee required by this Ordinance has not been timely paid, the County or the County Engineer shall not issue to the delinquent fee payer any subsequent approvals or permits for any other development or work in the County of Kane in which the delinquent fee payer has an interest and shall suspend review of any and all pending applications or petitions of the delinquent fee payer pending before the County until all impact fees owed have been paid in full.

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Section Twenty-three. Distribution.

Certified copies of this Ordinance shall be sent to every municipality having territory within Kane County, the Illinois Department of Transportation, the Division of Transportation, and the Kane/Kendall Council of Mayors, and one copy to the Treasurer, Auditor, Finance Department, Development Department, and State's Attorney's Office.

Section Twenty-four. Severability.

In the event that any portion or section of this Ordinance is determined to be invalid, illegal, or unconstitutional by a court of competent jurisdiction, such decision shall in no manner affect the remaining portions or sections of the Ordinance, which shall remain in full force and effect. Passed by the Kane County Board on February 8, 2022. John A. Cunningham Corinne M. Pierog, Clerk, County Board Chairman, County Board Kane County, Illinois Kane County, Illinois Vote: Yes No Voice Abstentions

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Exhibit A: Impact Fee Service Areas

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DRAFT

2030 Impact Fee Schedule: Net Impact Fee Estimate with multiplier

DRAFT

IMPACT FEE SCHEDULE

2030 UPDATE

North Central South North Central South

RESIDENTIAL

Single Family Detached Dwelling Unit 210 $2,721.19 $2,736.12 $2,725.81 $1,360.59 $1,368.06 $1,362.91

Single Family Attached Dwelling Unit 215 $1,650.08 $1,659.14 $1,652.89 $825.04 $829.57 $826.44

Multi-Family Attached Dwelling Unit 220 $1,476.39 $1,484.49 $1,478.90 $738.20 $742.25 $739.45

Age Restricted Housing Dwelling Unit 251 $868.46 $873.23 $869.94 $434.23 $436.62 $434.97

COMMERCIAL RETAIL

Retail 1 to < 40,000 s.f. (5) 1,000 s.f. (1) 822 $7,058.59 $7,097.32 $7,070.59 $3,529.30 $3,548.66 $3,535.29

Retail 40,000 to 150,000 s.f. 1,000 s.f. (1) 821 $9,672.09 $9,725.17 $9,688.53 $4,836.05 $4,862.58 $4,844.26

Retail over 150,000 s.f. 1,000 s.f. (1) 820 $5,118.15 $5,146.24 $5,126.85 $2,559.08 $2,573.12 $2,563.42

Supermarket 1,000 s.f. (2) 850 $12,436.42 $12,504.66 $12,457.55 $6,218.21 $6,252.33 $6,228.77

Gas Service Station Fueling Position 944 $4,832.14 $4,858.65 $4,840.35 $2,416.07 $2,429.33 $2,420.17

Convenience Store/Gas Station (GFA 2-4k) Fueling Position 945 $7,998.56 $8,042.45 $8,012.15 $3,999.28 $4,021.23 $4,006.08

Convenience Store/Gas Station (GFA 4-5.5k) Fueling Position 945 $6,588.75 $6,624.91 $6,599.95 $3,294.38 $3,312.45 $3,299.97

COMMERCIAL OFFICE

General Office 1,000 s.f. (2) 710 $4,168.63 $4,191.51 $4,175.71 $2,084.32 $2,095.75 $2,087.86

Medical-Dental Office 1,000 s.f. (2) 720 $11,376.89 $11,439.32 $11,396.22 $5,688.45 $5,719.66 $5,698.11

Office Park 1,000 s.f. (2) 750 $3,763.35 $3,784.00 $3,769.74 $1,881.67 $1,892.00 $1,884.87

Business Park 1,000 s.f. (2) 770 $3,531.76 $3,551.14 $3,537.76 $1,765.88 $1,775.57 $1,768.88

COMMERCIAL INDUSTRIAL

Warehousing/Distribution Terminal 1,000 s.f. (2) 150 $521.08 $523.94 $521.96 $260.54 $261.97 $260.98

Speculative Industrial (6) 1,000 s.f. (2) 150/710 $1,244.80 $1,251.63 $1,246.91 $622.40 $625.82 $623.46

Light Industrial/Industrial Park 1,000 s.f. (2) 110 $1,881.67 $1,892.00 $1,884.87 $940.84 $946.00 $942.44

COMMERCIAL RESTAURANT

Fast Food Restaurant 1,000 s.f. (2) 934 $24,860.68 $24,997.09 $24,902.92 $12,430.34 $12,498.55 $12,451.46

Fine Dining Restaurant 1,000 s.f. (2) 931 $6,548.23 $6,584.16 $6,559.35 $3,274.11 $3,292.08 $3,279.68

COMMERCIAL SERVICE

Day Care 1,000 s.f. (2) 565 $7,725.86 $7,768.26 $7,738.99 $3,862.93 $3,884.13 $3,869.50

Hospital Bed 610 $4,892.35 $4,919.20 $4,900.67 $2,446.18 $2,459.60 $2,450.33

Nursing Home Bed 620 $405.28 $407.51 $405.97 $202.64 $203.75 $202.99

Hotel/Motel Room 320 $1,042.16 $1,047.88 $1,043.93 $521.08 $523.94 $521.96

OTHER

Religious Institution 1,000 s.f. (2) 560 $1,418.49 $1,426.28 $1,420.90 $709.25 $713.14 $710.45

2030 CRIP

Land Use Impact Unit LUC (3)

Reduced Impact Fee ($) per Impact Unit (7)Gross Impact Fee ($) per Impact Unit

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DRAFT


(2) Gross Floor Area (GFA): The total floor area contained within the building mesasured to the external face of the external walls.

(3) Based on data available in the ITE Trip Generation Manual, 11th Edition

(4) Based on ITE Trip Generation Manual, 11th Edition, for weekday, peak hour, between 4:00 pm and 6:00 pm, of adjacent street traffic

(7) Impact Fee Multipliers

Current Impact Fee Multiplier: 50%

Proposed Impact Fee Multiplier: 50%

Note: For a property with only one tenant, the measurements of GFA and GFLA area essentially equal.

(1) Gross Leasable Floor Area (GLFA): The amount of floor space available to be leased or rented. The gross leasable area is the total floor area designed for tenant occupancy and exclusive use.

(5) Pass-by and Diverted Trip infomration not available in the 11th Edition of the ITE Trip Generation Manaul for LUC 822; therefore pass-by and diverted trip information was utilized from

similar land use, LUC 821.

(6) Rate caclulated using 80% of LUC 150 and 20% of LUC 710 per the ITE Trip Generation Manual, 11th Edition

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Ordinance No.

Kane County Road Improvement Impact Fee Ordinance



Budget Information:



Summary:

In accordance with the Road Improvement Impact Fee statute, Kane County has updated the Comprehensive Road Improvement Plan (CRIP), the Road Improvements Impact Fee Ordinance and the Fee Schedule. A Public Hearing was held on November 16, 2021 for consideration of the updated CRIP, Ordinance and Fee Schedule. The Impact Fee Advisory Committee (IFAC) met on December 7, 2021 and reviewed the public comments and unanimously recommended adoption of the documents as presented. The CRIP identifies highway improvements and estimated costs needed to serve and support new development and economic growth. Existing deficiencies, system performance levels, land use assumptions and trip generation rates are outlined in the CRIP. Illinois State Statute 605 ILCS 5/5-905(k) affirms that the County Board has no less than 30, nor more than 60 days from the date of the IFAC recommendation to adopt, reject in whole or in part, or modify by ordinance or resolution the updated Comprehensive Road Improvement Plan. An online copy of the document can be found on the Impact Fee page of the KDOT website at <http://kdot.countyofkane.org/Pages/Impact-Fees.aspx>

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STATE OF ILLINOIS

COUNTY OF KANE

ORDINANCE NO.

KANE COUNTY ROAD IMPROVEMENT IMPACT FEE ORDINANCE

WHEREAS, the County is authorized pursuant to the Highway Code of the Illinois Compiled Statutes (605 ILCS 5/1-101 et seq.), (hereinafter “Highway Code”) to plan, develop, manage,

operate, maintain and control a system of highways (hereinafter “County highway system”) and each highway that is part of the County highway system (hereinafter “highway”) under its exclusive jurisdiction within the boundaries of Kane County; and

WHEREAS, the County of Kane (hereinafter “County”) is further authorized pursuant to the

Illinois Highway Code (605 ILCS 5/5-901 et seq.) to adopt road improvement impact fees (hereinafter "impact fees") pursuant to the Road Improvement Impact Fee Law thereof; and

WHEREAS, the County Board of Kane County (hereinafter “County Board”) has determined

that impact fees are an equitable and financially responsible approach to ensuring an adequate County highway System will be available when needed to serve new residential, commercial and industrial land development; and

WHEREAS, the County Board is committed to developing and implementing an impact fee

program to mitigate the adverse traffic impacts of new development; and WHEREAS, the County Board desires to implement impact fees that support the goals of

the latest version of the County of Kane's Land Resource Management Plan as updated from time to time; and

WHEREAS, the County Board has determined that impact fees shall be expended on the

County highway improvements within the service area(s) as specified in the County's Comprehensive Road Improvement Plan (hereinafter “CRIP”) as may be updated from time to time; and

WHEREAS, the Kane County Road Improvement Impact Fee Ordinance (hereinafter

“Ordinance”) is intended to comply in all respects with the Road Improvement Fee Law; and WHEREAS, the County has previously recommended land use assumptions and has

approved a CRIP for the purpose of implementing this Ordinance in full compliance with the requirements of the Road Improvement Impact Fee Law; and

WHEREAS, the County has, following extensive public participation, adopted Modified

Land Use Assumptions pursuant to County Board Resolution 21-411, in accordance with the provisions of the Road Improvement Impact Fee Law, and has performed all other tasks necessary to update the Ordinance and by approval hereof amends in its entirety Chapter 17, Article II "Road Improvement Impact Fee Ordinance", of the Kane County Code.

NOW, THEREFORE, BE IT ORDAINED by the County Board of Kane County, Illinois:

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Section One. Title.

This Ordinance shall be known and may be referred to as the "Kane County Road Improvement Impact Fee Ordinance."

Section Two. Purpose and Authority.

1. The County Board recognizes that new development in the County requires the capacity of the County highway system be expanded and that without a funded program for County highway system improvements, new development will have an adverse impact on the safety and efficiency of the County highway system.

2. The County Board further recognizes that all new development in Kane County generates traffic on the County highway system and requires direct or indirect access to those highways that are a part of the County highway system, regardless of the location of the new development.

3. The purpose of this Ordinance is to ensure that new development pays a fair share of the cost of County highway improvements expended to serve new development. To that end, the imposition of impact fees is designed to supplement other funding sources so that the burden of paying for County highway improvements necessitated by new development is allocated in a fair and equitable manner and orderly growth is promoted throughout the County.

Section Three. Definitions.

The following definitions shall apply to the terms as used in this Ordinance:

Advisory Committee: the group of people selected from the public and private sectors in accordance with the Highway Code (605 ILCS 5/5-907) and the provisions of Section Eighteen of this Ordinance to advise the County in the development and implementation of the CRIP and the periodic update thereof.

Affordable housing: decent, safe, sanitary, and appropriate housing units that low and moderate-income households can own or rent without having to devote more than approximately thirty percent (30%) of their yearly gross income for monthly housing expenses. “Household expenses” are: (1) rent and utilities for rental housing; and (2) debt service (principal and interest), property taxes, and home insurance for home ownership. To qualify as affordable housing, the maximum purchase price of owner-occupied units shall not exceed that specified in the "Owner Occupied Affordability Chart for Chicago Metro Area" published annually by the Illinois Housing Development Authority. For rental housing to be considered affordable housing, the monthly rent for a dwelling unit may not exceed that specified in "Affordable Rental Units for Chicago Metro Area" published annually by the Illinois Housing Development Authority.

Age-restricted housing: single-family detached or single-family attached housing units that are restricted by deed so that at least one resident thereof must be fifty-five (55) years of age or older and no person under the age of nineteen (19) may reside in the unit more than ninety (90)

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days during any consecutive twelve (12) months.

Assisted financing: the financing of residential new development by the Illinois Housing Development Authority, including loans to developers for multi-unit residential development and loans to purchasers of single-family residences, including condominiums and townhouses.

Building: either a finished or an unfinished product of construction or a structure, carrying no implication as to size or condition. The terms "building" and "structure" as used herein are interchangeable.

Building permit: any form of approval issued or granted by the County or a municipality that grants or otherwise allows the commencement of construction of a building.

Certificate of occupancy: any form of approval granted by either the County or a municipality as a condition to occupy a building, and includes any temporary occupancy approval as well as any permanent occupancy approval.

Charitable organization: entities, corporations, and any trust, fund, foundation or other entity certified by the Internal Revenue Service as tax-exempt under Section 501(c)(3) of the Internal Revenue Code organized and operated exclusively for religious, charitable, scientific, literary, or educational purposes, or for the prevention of cruelty to children or animals. Charitable organization includes organizations dedicated to the relief of the poor, the distressed, the disabled or the underprivileged; advancement of religion; advancement of education or science; erecting or maintaining public buildings, monuments or works; lessening the burdens of government; lessening neighborhood tensions; eliminating prejudice and discrimination; defending human and civil rights secured by law; and combating community deterioration and juvenile delinquency.

Comprehensive Road Improvement Plan: the highway improvement plan, also referred to as the CRIP, prepared by the County in consultation with the Advisory Committee. The plan is an analysis of the Kane County highway network, identification of the highway network deficiencies, formulation of a program of improvements and projects with associated costs thereof all of which ultimately results in the determination of a fee per trip calculation(s).

County: the County of Kane, of the State of Illinois.

County Board: the County Board of the County of Kane, of the State of Illinois.

County Engineer: the County Engineer of Kane County as “County Engineer” is defined as set forth in the Highway Code (605 ILCS 5/5-201 et seq.).

County highway: shall have the same definition as set forth in the Highway Code (605 ILCS 5/2-204).

County highway system: shall have the same definition as set forth in the Highway Code (605 ILCS 5/2-102).

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CRIP: see definition for Comprehensive Road Improvement Plan.

Demolition Credit: a credit against an assessed impact fee which credit is determined by the dollar value of impact fees that would have otherwise been assessed on a building or buildings being demolished as part of a new development.

Density: an impact fee assessment factor that is calculated for residential new development by dividing the total number of residential units by the total buildable land area in acres of the new development. Buildable land excludes land occupied by nonresidential structures, and land excluded from residential development by law (e.g. wetlands, floodplains and rights of way for arterial and major collector roads), but includes areas devoted to public rights of way for local and minor collector streets internal to the new development, storm water management for the new development, parking areas, and common open space. For detached residential units on individual lots, the average density for the entire new development shall be used.

Developer: any person, corporation, organization, or other legal entity initiating or conducting new development.

Division of Transportation: the Kane County Division of Transportation located at 41W011 Burlington Road, St. Charles, Illinois 60175.

Encumbered: legally obligated or otherwise committed to use under contract or purchase order.

Enlarge: to increase is size, make larger, bigger or to add onto so as to increase the useable floor area square footage of a building. Enlarged does not necessarily mean “structurally altered”.

Existing deficiencies: the highway intersections and/or highway segments under the jurisdiction of the County that operated at level of service "E" or below (as defined by the Transportation Research Board) in the year 2003 and that are identified as "existing deficiencies" in the latest version of the CRIP.

Fee payer: any person initiating new development which pays, or is required to pay an impact fee in accordance with the terms of this or any previous version of the Ordinance.

Floor Area Ratio (FAR): the floor area of a structure or structures on a zoning lot divided by the area of such zoning lot, or, in the case of planned unit developments, by the net site area. In all cases, the lot area or site area used to calculate the floor area ratio shall include the land areas allocated to parking and storm water management.

Highway: shall have the same definition as set forth in the Highway Code (605 ILCS 5/5-102 et seq.).

Highway improvement: the improvement, expansion, enhancement, enlargement or

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construction of those highways and/or the parts thereof under the jurisdiction of the County that are designated for improvement as set forth in the CRIP, which improvements include, but are not limited to bridges, right-of-ways and traffic control improvements owned and operated by the County. The term "highway improvement" shall not include tollways but may include tollway ramps at county highway intersections. The term "highway improvement" does not include any highways that are not designated for improvement in the CRIP even though they are under the jurisdiction of the County nor does it include site improvements related to the new development. Highway improvements must address capacity deficiencies on the highways as set forth in the CRIP.

Highway improvement capital costs: include, but are not limited to, capital costs associated with the construction of a highway improvement designated in the CRIP, the need for which is generated by new development, which highway improvement has a life expectancy of three (3) or more years, and the land acquisition, land improvement, planning, design, and engineering related thereto. Such costs do not include routine and periodic maintenance expenditures, resurfacing or rehabilitation of existing pavement structures, personnel, training, or other operating costs, but do include the costs of financing such highway improvements and reasonable administrative costs for administering the impact fee program, provided that such administrative costs do not exceed five percent (5%) of the impact fee paid.

Impact fee: the “road improvement impact fee” as defined herein.

Industrial: manufacturing, production, light manufacturing/industry, construction, assembly, service and/or warehousing activity.

Infill: undeveloped land or vacant land having at least seventy-five percent (75%) of its perimeter bordering land that has been developed. Developed land includes land either having or that has had pre-existing structures thereon. Land that is currently in agricultural use or forestry use is not considered developed. Park and forest preserve properties that border an infill site shall not be counted as part of the perimeter of undeveloped land.

Impact fee agreement: an executed, fully approved, written agreement between the County and a developer and/or fee payer as provided for in Section Twelve of this Ordinance.

Impact fee credit agreement: an executed, fully approved, written agreement between the County and a developer and/or fee payer as provided for in Section Fourteen of this Ordinance.

Impact fee payment agreement: an executed, fully approved, written agreement between the County and a developer and/or fee payer as provided for in Section Twelve of this Ordinance.

Land use assumptions: a description of the service area(s) and the roads, streets or highways incorporated therein, which includes projections relating to changes in land uses, densities and population growth rates which affect the level of traffic within the service area(s) for a ten (10) year period of time.

Level of service: the measure of roadway sufficiency of traffic flow, in which acceptable operating speeds are assessed, and in which changes in operating conditions, fluctuations in traffic

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volume, and temporary restrictions to traffic flow are evaluated.

Municipality: any city or village or district with territory within the boundaries of Kane County.

New development: shall have the same definition as set forth in the Highway Code (605 ILCS 5/5-903). For the purpose of Section Ten of this Ordinance, new development shall additionally constitute a structure or group of structures that require site specific development approval.

Non-commencement: the cancellation of new development prior to commencing construction thereof.

Nonresidential new development: new development consisting of a building(s) or other structure(s) suitable or capable of being used for all purposes other than residential purposes.

Ordinance: Kane County Ordinance No. 04-21 as subsequently amended by Ordinance No. ________________________

Person: any individual, firm, partnership, association, public or private corporation, organization, limited liability company or business, charitable trust or governmental agency, person, unit of local government or any other legal entity.

Private school: a private, nonprofit educational facility serving one or more of grades, kindergarten through grade-12 and formally recognized by the Illinois State Board of Education.

Procedures Manual: the document developed by the County Engineer and available from the Division of Transportation that sets forth the procedures, processes, forms and operating definitions to be used in the administration of this Ordinance.

Project: the construction of a new development.

Redevelopment: a new development site in which at least seventy-five percent (75%) of the land area thereof has been previously developed.

Residential new development: house(s), building(s) or other structure(s) that is suitable or capable of being used for residential purposes.

Road improvement impact fee: any charge or fee levied or imposed by the County pursuant to the Road Improvement Impact Fee Law as a condition to the issuance of a building permit or certificate of occupancy in connection with a new development, when any portion of the revenues collected is intended to be used to fund any portion of the costs of system improvements.

Service area: any one of the three (3) land areas within Kane County delineated by the boundaries shown on Exhibit A of this Ordinance, and which are so designated in the CRIP.

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Site-related improvements: any capital improvement elated in any manner to a highway, street or road necessary or convenient for ingress to and egress from a new development. Site-related improvements include among other things:

a) site driveways, streets and roads;

b) right- and left-turn lanes for or leading to or otherwise benefitting site driveways, alleys streets and roads;

c) traffic control measures for or leading to or otherwise benefitting site driveways, alleys, streets and roads;

d) acceleration and deceleration lanes;

e) median openings and closings;

f) roads necessary to provide direct access to the development;

g) landscaping and berms;

h) lighting and other utilities;

i) sidewalks and bike trails, and

j) any right of way needed for any of the above.

The term "site related improvements" includes any improvements made to alley’s, roads, streets, or highways and any appurtenances thereto that are not designated for or as an improvement in the CRIP.

Site specific development approval: shall have the meaning as set forth in the Highway Code (605 ILCS 5/5-903 et seq.). If the site specific development approval is preliminary in nature,

the final plat or plan for the new development must be in substantial conformance with the approved preliminary plat or plan.

Specifically, and uniquely attributable: shall have the meaning as set forth in the Highway Code (605 ILCS 5/5-903 et seq.).

Speculative industrial new development: industrial or warehouse new development where the developer intends to lease or otherwise convey parts thereof to parties not yet determined at the time of issuance of the building permit or occupancy permit and where construction will commence prior to the new development or the part(s) thereof being leased or otherwise conveyed. Speculative industrial new development is otherwise defined as Light Industrial/Industrial Park or Warehouse/Distribution Terminal, and allows for the collection of impact fees based on an assumption of 20% General Office (ITE LUC 710) and 80% Warehousing (ITE LUC 150) prior to the identification of a tenant(s) or interior architectural plan.

Structurally altered: any change or addition to the load bearing elements of a building that increases the useable internal floor area square feet thereof. Structurally altered does not

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necessarily mean “enlarged”.

Substantial conformance: any final plat or plan for new development which is generally consistent with the approved preliminary plat or plan virtually including the same mix of land uses and density. A final plat or plan in substantial conformance with the preliminary plat or generates the same or fewer peak hour trips, which peak hour trips are determined using the methodology as set forth in Appendix A of the CRIP.

System improvement: see “highway improvement”.

Technical specifications: those documents that contain the impact fee calculation factors necessary for computation of the impact fee for a particular land use, an individual assessment, and the impact fee schedule attached to this Ordinance.

Temporary structure: a building or structure designed or intended for temporary human occupancy or for the temporary protection of animals, chattels, or property of any kind. For the purposes of this Ordinance, "temporary" is defined as a period of time no greater than two (2) years.

Transit Supportive Corridors: shall be as defined in the report titled Implementation of the Kane County 2040 Long Range Transit Plan Transit-Supportive Corridors: Existing Conditions and Implementation Tools <http://kdot.countyofkane.org/Planning%20Documents/Transit-Supportive%20Corridors%20-%20Existing%20Conditions%20and%20Implementation%20Tools/Final%20Report.pdf>, prepared by

the Chicago Metropolitan Agency for Planning (CMAP) (dated May 2015) which report may be amended from time to time.

Transportation Committee: the Transportation Committee as designated by the County Board.

Unit of local government: any city, village or district with territory in Kane County. The terms "unit of local government" and "municipality" as used herein are interchangeable.

Walking distance: the distance that a pedestrian must travel between destinations without obstruction, in a safe and comfortable environment. Walking distance is measured in linear feet along such paths, sidewalks or ways with one thousand three hundred twenty feet (1,320’) equaling a one-fourth (1/4) mile and two thousand six hundred forty feet (2,640’) equaling a one-half (1/2) mile.

Warehouse: a structure utilized in whole or part for the storage of materials, merchandise or goods only without any processing, fabrication, direct transfer or assembly.

Working day: any day on which the offices of the County are officially open, not including Saturdays, Sundays, and other holidays as designated by the County Board.

Section Four. Interpretation of Ordinance, Fee Schedule and Appeals.

1. Application of the provisions of this Ordinance, the impact fee schedules, standard

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individual assessment, and simplified individual assessment shall be made by the County Engineer. Whenever necessary, the County Engineer may use the latest edition of the Institute of Transportation Engineers Trip Generation Manual, the latest edition of the Transportation Research Board Highway Capacity Manual, or locally obtained empirical data, in applying this Ordinance. The County Engineer shall establish a Procedures Manual identifying the procedures the Division of Transportation will utilize in administering this Ordinance.

2. Any decision by the County Engineer with respect to this Ordinance may be appealed by the fee payer to the County Board through its Transportation Committee. Any appeal shall be made by written petition within fourteen (14) calendar days of written notice of a decision by the County Engineer.

3. Upon receipt of a petition for appeal of a decision of the County Engineer, the Transportation Committee shall schedule consideration of such appeal at its next regularly scheduled committee meeting that will comply with the requirements of the Illinois Open Meetings Act, (5 ILCS 120/1 et seq.) . The Transportation Committee shall notify the petitioner in writing of the date and time

of such meeting and shall consider such written or oral testimony that the petitioner may present in conjunction with the decision and recommendation of the County Engineer. The Transportation Committee shall affirm, reverse, or modify the County Engineer's decision at said regularly scheduled meeting.

4. The fee payer shall have seven (7) calendar days after the date of the decision of the Transportation Committee to appeal the Transportation Committee's decision to the County Board. The County Board shall schedule consideration of such appeal at its next regularly scheduled County Board meeting that will comply with the requirements of the Illinois Open Meetings Act,. Failure by the County Board to render a decision within sixty (60) days of said County Board meeting shall constitute a denial of the petitioner’s appeal.

5. Upon a final decision by the County Board, a fee payer may seek any subsequent relief in a de novo proceeding in the Circuit Court of the Sixteenth Judicial Circuit, Kane County, Illinois.

Section Five. Developers of New Development to Pay Road Improvement Impact Fee.

Any developer initiating or conducting new development shall pay an impact fee to the County in accordance with the terms and conditions of this Ordinance.

Section Six. Intergovernmental Agreements.

At any time after the adoption of this Ordinance, the County may enter into an intergovernmental agreement with any municipality the boundaries of which are within Kane County regarding the impact fee imposed by this Ordinance. Such intergovernmental agreements shall be adopted in accordance with law and may include provisions governing administrative issues involving the collection of the impact fee assessed and any other matters deemed necessary or appropriate by the County and the municipality.

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Section Seven. Assessment of Impact Fees and Impact Fee Schedule.

1. An impact fee assessment shall be calculated pursuant to the impact fee schedules set forth in Exhibit B of this Ordinance and shall be due upon issuance of a building permit, unless otherwise provided for herein. Unless the project is otherwise covered by an impact fee agreement, impact fees shall be assessed based on the predominant use of each building.

2. Any new development shall be assessed an impact fee under the terms of the Ordinance in effect at the time of site specific development approval. For any new development, the assessed impact fee shall not be greater than the impact fee calculated under the most current version of this Ordinance and its attached impact fee schedules as may be amended. New development assessed an impact fee under Ordinance #04-22 shall not be eligible for any discounts provided for in Section Ten of this Ordinance.

3. When a land use of a new development is not listed in Exhibit B of this Ordinance, the County Engineer may determine the land use classification which most closely compares with the new development, which land use shall apply for purposes of determining the applicable impact fee under this Section. For land uses not specifically listed in Exhibit B, the County may, at the discretion of the County Engineer, determine an appropriate impact fee based on data published in the latest edition of the Institute of Transportation Engineers Trip Generation Manual pursuant to Section Thirteen of this Ordinance. Where land uses are not specifically listed in Exhibit B or the latest edition of the Institute of Transportation Engineers Trip Generation Manual, the County may, at the discretion of the County Engineer, determine an appropriate impact fee based on accepted traffic engineering practices, published data, the impact fee per trip provided in Exhibit D of this Ordinance, and the formula set forth in Section Thirteen of this Ordinance.

4. Where new development is a change in the existing land use, the amount of the impact fee shall be based on the net increase in trips generated by the new development, and the formula set forth in Section Thirteen of this Ordinance shall be used to calculate the impact fee.

5. Speculative industrial new development for which the use of the building(s) therein has not been determined at the time a building permit is to be requested will be assessed by one of the following methods:

a) Assessed at the highest rates in the impact fee based on the new development.

b) Assessed at a reduced contingent fee via a Fee Payment Agreement per Section Twelve.

c) Assessed pursuant to a standard individual assessment or simplified individual assessment contained in Section Thirteen.

6. Where a proposed new development is to be located within two (2) service areas, the County Engineer shall assess the impact fee as follows:

a) In the case of residential new development, the impact fee shall be determined by counting the number of dwelling units located within each service area of the new development and charging a per-unit cost for the dwelling units within each service area.

b) In the case of non-residential new development, the impact fee shall be determined by calculating the average of the impact fees that would otherwise be

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charged if the new development were located entirely within each service area.

Section Eight. Exemptions

The following new development shall be exempt from payment of any impact fees imposed by this Ordinance:

1. Alterations or expansion of an existing dwelling unit where no additional units are created and the use of the unit is not changed;

2. Nonresidential new development where an existing building will be structurally altered or enlarged and does not exceed the lesser of (a) twenty-five thousand (25,000) square feet of floor area or (b) twenty-five percent (25%) of the existing floor area square footage of the building; where (i) the nonresidential new development does not require a zoning change, and (ii) where additional trips created by the alteration or enlargement does not exceed ten percent (10%) of trips per existing land use; or (iii) where the alteration is required by the County's or a Municipality's building code;

3. The construction of nonresidential accessory buildings which do not constitute an increase in intensity of the existing use;

4. The reconstruction of a destroyed or partially destroyed building with a new building of the same size and use;

5. Publicly owned and operated school buildings;

6. Public buildings owned, operated and occupied by government agencies;

7. Temporary structures;

8. Affordable housing. Each housing unit (or a designated percentage of the housing units in multi-family housing developments) meeting the definition of “affordable housing” and the requirements of this Section shall be exempt from payment of an impact fee. The County Engineer shall establish procedures to ensure that rental housing developments qualifying for this exemption continue to meet the minimum affordability requirements of the Illinois Housing Development Authority for a period of ten (10) years. If a rental housing development fails to meet the affordability requirement in any year, the impact fee that would otherwise have been due shall be paid in full by the owner of record; and

9. Private schools.

Section Nine. Demolition Credits.

1. A fee payer or developer shall be entitled to a demolition credit equal to the dollar value of the reduced impact fee that would have been charged on the building(s) being demolished if part of a redevelopment plan or new development. A demolition credit shall not exceed the reduced impact fee for the new development.

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2. At the time of application for an impact fee receipt, the person applying for an impact fee receipt shall present to the County a copy of the demolition permit or letter of authorization from the unit of local government issuing the demolition approval. The demolition permit shall be attached to the impact fee receipt application and demolition credits shall be calculated based upon the impact fee schedule in effect as of the date the impact fee is assessed. Demolition credits shall be deducted from the gross impact fee calculated for the new development.

3. The County shall not grant demolition credits for demolitions not associated with new development.

Section Ten. Discounts.

1. Eligibility: A new development shall be eligible for a discount from impact fees assessed in accordance with Section Seven of this Ordinance, provided that the following criteria are satisfied:

a) Mobility Options Discounts (up to a maximum of 20%)

i. 10% Discount if the new development is within one-quarter mile walking distance from an existing Pace Suburban Bus route;

ii. 10% Discount if the new development is within one-half mile walking distance from an existing Metra station;

iii. 10% Discount if the new development is within one-half mile from a Transit Supportive Corridor

iv. 10% Discount if the new development is within one-half mile from a local or regional greenway or bicycle trail. The greenway or bicycle trail shall be depicted on the Kane County Bike Map <http://kdot.countyofkane.org/Publications/Kane_Kendall_Bike_Map_2020-10-07.pdf> or Chicago Metropolitan Agency for Planning (CMAP) Regional Greenways and Trails Plan Map <https://www.cmap.illinois.gov/mobility/walking-and-bicycling/greenways-and-trails>.

2. New development meeting any requirements set forth in 1(a) above may be eligible for additional discounts as follows:

a) 10% Discount for Mixed-Use Developments with a residential use and at least two (2) of the following land uses incorporated. Accessory uses within a principal use may not be counted as a separate use.

i. parks

ii. forest preserves

iii. community or civic centers

iv. recreation facilities

v. schools or daycare centers

vi. libraries

vii. places of worship

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viii. post offices

ix. convenience stores

x. laundry/dry cleaners

xi. neighborhood retail centers

xii. restaurants

xiii. pharmacies

xiv. grocery stores

xv. banks

xvi. medical/dental offices or hospitals

xvii. general offices

b) Up to a maximum 30% Discount for Residential Density where the residential new development provides an average density of at least 7 units per acre. Where the Residential Density Discount is applied, the new development shall not be eligible for the Mixed-Use Development Density Discount.

i. 10% Discount for an average residential density of at least 7 units per acre and no more than 14 units per acre;

ii. 20% Discount for an average residential density of at least 15 units per acre and no more than 28 units per acre; or

iii. 30% Discount for an average residential density greater than 29 units per acre.

3. 20% Discount for Downtown Development where the new development is located on an infill or redevelopment site defined in a municipal adopted downtown subarea, comprehensive plan or within an established downtown Tax Increment Finance (TIF) district.

4. Up to 20% Discount for Industrial Developments where the following criteria are satisfied.

a) 10% Discount for redevelopment or infill; or

b) 10% Discount for onsite railroad spur access, airport access for freight, or direct access to a state designated truck route.

5. Discount for local skilled manufacturing job creation within the Light Industrial/Industrial Park and related land use categories on the Impact Fee Schedule. New development which generates skilled manufacturing jobs can apply for a discount. Skilled manufacturing jobs are defined and classified as follows:

Highly trained, educated, or experienced employees that can complete more complex mental or physical tasks on the job.

Often specialized and may require a prolonged period of training and experience

Skills in science, technology, engineering, and math (STEM) are essential in many

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industries

Skilled job creation must be verified in writing by the permitting municipality or agency, local economic development organization, or local workforce development board and submitted for approval prior to the discount being granted.

a) 10% discount for 1-100 jobs created

b) 20% discount for 101 or more jobs created

Any new development within the Speculative Industrial new development category on the Impact Fee Schedule is not eligible for this discount

6. Except for charitable organizations, the maximum impact fee discount that any new development may receive under this Section is seventy percent (70%). Impact fees calculated through any individual assessment are not eligible for any of the discounts in this Section.

7. Impact Fee Discount Application: In order to receive the impact fee discount described in this Section, the developer shall submit an impact fee discount application to the Division of Transportation Impact Fee Coordinator. The impact fee discount application shall include an overall plan of the new development, a description of the permitted and anticipated land uses, and detailed calculations clearly demonstrating that the new development meets the requirements listed in this Section and a schedule indicating the anticipated year of construction of the various phases and elements of the new development. The Division of Transportation may establish further requirements for an impact fee discount application as needed for proper administration the requirements of this Section.

a) Within fifteen (15) working days of receipt of a written impact fee discount application, the County Engineer shall determine if all pertinent information has been provided by the developer. If the County Engineer determines that additional documentation is required, the County Engineer shall send a written statement to the developer specifying the deficiencies. Until the deficiencies are corrected, the County shall take no further action on the application for an impact fee discount.

b) When the County Engineer determines that the application for an impact fee discount is complete, the County Engineer shall draft an impact fee payment agreement for the review and approval of the fee payer pursuant to Section Twelve.

8. Impact Fee Discount Payment: As a condition of receiving an impact fee discount under this Section, the developer shall enter into a Memorandum of Agreement with the County Engineer. The Memorandum of Agreement shall provide that the developer will construct the new development in accordance with the supporting documents submitted with the impact fee discount application, within a period not to exceed ten (10) years. The agreement shall also include a commitment by the developer that if the new development is not completed in accordance with the impact fee discount application within ten (10) years of the date of the impact fee payment agreement, or if there is a material change in the new development that would result in (i) its ineligibility to receive an impact fee discount, or (ii) its receiving a lesser impact fee discount, then the developer shall pay or cause to be paid to the County an amount equal to the impact fee discount or excess impact fee discount received. The duration of the impact fee discount may be extended beyond the ten (10) year period upon mutual agreement of the County and the developer, provided that portions of the new development completed within ten (10) years meet the

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qualification requirements for the discount obtained and that additional portions of the development receiving the discount after the ten (10) year period continue to meet the requirements for the discount obtained. The County Engineer may, as a condition of the Memorandum of Agreement, require an impact fee payment agreement with the County in accordance with Section Twelve of this Ordinance, which also may include provision of a guaranty in a form acceptable to the County to ensure such payment.

9. Impact Fee Discount Exemptions: New development shall be eligible for a one hundred percent (100%) discount from the impact fee assessed in accordance with Section Seven of this Ordinance, provided: (i) it is solely owned and solely occupied by a charitable organization certified by the Internal Revenue Service as tax-exempt under section 501(c)(3) of the Internal Revenue Code and (ii) the total site generates fifty (50) or fewer weekday P.M. peak hour trips as determined using the methodology contained in Appendix A of the CRIP. Sites that generate greater than fifty (50) weekday P.M. peak hour trips but otherwise meet the requirements of this Section shall receive a total maximum discount the amount of which is determined by multiplying the applicable impact fee per trip from Exhibit D of this Ordinance, by the applicable impact fee multiplier from Exhibit C of this Ordinance, and multiplying the result by fifty (50). In order to receive this discount, the charitable organization shall provide satisfactory evidence of its federal tax-exempt status.

Section Eleven. Payment of Impact Fees.

1. Except as may be otherwise provided in subsections 2 and 3 of this Section, impact fees for any new development assessed pursuant to any previous, or current Ordinance shall, prior to the issuance of a building permit by either a municipality or the County, be paid in full or upon issuance of an occupancy permit for the Speculative Industrial new development. .

2. In the event that a building permit or certificate of occupancy is issued by a municipality without an impact fee having been paid, the County may collect the impact fee from the fee payer or the fee payer's successor in title at any time thereafter. In conjunction with the collection of any impact fee that remains unpaid or becomes due, the County may file in the Office of the Kane County Recorder notification of an unpaid impact fee. Any fee payer or any fee payer's successor in title, paying an impact fee after a building permit or certificate of occupancy has been issued shall be charged a rate of interest which is three percent (3%) over the prime commercial rate in effect at the time that the impact fee is assessed. Interest shall begin accruing on the first business day following the date of said building permit or certificate of occupancy issuance.

3. Payment of an impact fee may be authorized at a time earlier than as otherwise specified in subsections 1 of this Section if the County and the fee payer enter into an impact fee payment agreement that provides for such earlier payment of the impact fee. At the option of the County, the County may enter into an impact fee payment agreement with a fee payer pursuant to Section Twelve hereof that provides for the installment payment of the impact fee at a rate of interest which is 3% over the prime commercial rate in effect at the time that the impact fee is imposed, for a period of up to ten (10) years after the impact fee is due, provided that the County receives, in the opinion of the County, adequate security ensuring such later payment of the impact fee. In all impact fee payment agreements, interest on any unpaid Impact fee or part thereof shall begin accruing on the first business day following submittal of the impact fee application.

4. Developers of residential new development which receives assisted financing, or who have received a written commitment for assisted financing and whose assisted financing has been

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provided within six (6) months of the issuance of a certificate of occupancy, may enter into an impact fee payment agreement with the County whereby the impact fee may be paid in installments over a ten (10) year period of time at a rate of interest which is three percent (3%) over the prime commercial rate in effect at the time that the impact fee is assessed.

5. The County and any municipality may enter into an intergovernmental agreement that provides for the cooperative collection of impact fees and/or for the conditioning of the issuance of municipal building permits or certificates of occupancy upon proof of payment of the County's impact fee.

6. Municipalities shall provide the County with a notice of issuance of any building permit in accordance with the provisions of the Illinois Municipal Code of the Illinois Compiled Statutes (65 ILCS 5/11-39-1), and shall submit a copy of the fee payer's receipt of payment of the impact fee or a County approved impact fee payment agreement along with such notice.

Section Twelve. Impact Fee Payment Agreements.

1. At any time prior to the issuance of a building permit, a fee payer may enter into an impact fee payment agreement with the County providing for the payment of the impact fee imposed by this Ordinance, in accordance with requirements specified by the County Engineer. Such impact fee payment agreement may provide for the following:

a) installment payments of the impact fee for a period up to ten (10) years, (only in the case of new development funded by assisted financing),

b) recapture payments for construction credits,

c) credit and security arrangements, and

d) other matters relating to the impact fee.

In addition, any impact fee payment agreement may also include an improvement credit agreement as provided for in Section Fourteen of this Ordinance.

2. For new development eligible for deferred payment of an impact fee, the impact fee payment agreement may require security, the form of which shall be determined at the sole option of the County. Security may be in the form of a promissory note, cash bond, security bond, an irrevocable letter of credit, or a lien or mortgage on the lands to be covered by the building permit, among other things. The impact fee payment agreement may provide that such security may be partially releasable upon receipt of partial payments of the impact fee. Fee payers receiving assisted financing shall be charged a rate of interest which is three percent (3%) over the prime commercial rate in effect at the time that the impact fee is assessed, on any deferred impact fee payments.

3. Fee payers for any new development other than residential new development and fee payers for multi-unit residential new development will be allowed to enter into impact fee payment agreements to defer payment of some portion of the impact fees due upon the issuance of a building permit. Impact fee payment agreements shall provide that a payment of at least fifty percent (50%) of the assessed impact fee or construction credits in lieu of cash shall be payable upon the issuance of a building permit, and the balance shall be payable in twelve (12) months from the date of issuance of the building permit. Fee payers shall be charged a rate of interest that is three percent (3%) over the prime commercial rate

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in effect at the time that the impact fee is assessed, on any impact fees deferred in accordance with this Section for new development eligible for deferred payment of an impact fee, through an impact fee discount agreement.

4. For new development approved for impact fee discounts pursuant to Section Ten of this Ordinance, the impact fee payment agreement shall provide that the developer will construct the new development in accordance with the supporting documents submitted with the impact fee discount application, within a period not to exceed ten (10) years. The impact fee payment agreement must also include a commitment by the developer that if the new development is not completed in accordance with the impact fee discount application within ten (10) years of the date of the impact fee payment agreement, or if there is a material change in the new development that would result in (i) its ineligibility to receive an impact fee discount, or (ii) its receiving a lesser impact fee discount, then the developer shall pay or cause to be paid to the County an amount equal to the impact fee discount or excess impact fee discount received. The duration of the impact fee discount may be extended beyond the ten (10) year period upon mutual agreement of the County and the developer, provided that portions of the new development completed within ten (10) years meet the qualification requirements for the discount obtained and that additional portions of the development receiving the discount after the ten (10) year period continue to meet the requirements for the discount obtained. The County may, as a condition of the impact fee payment agreement, require a guaranty in a form acceptable to the County to ensure such payment.

5. Within fifteen (15) working days of receipt of a written application for an impact fee payment agreement, the County Engineer shall determine if all pertinent information has been provided by the fee payer. If the County Engineer determines that additional documentation is required, the County Engineer shall send a written statement to the fee payor specifying the deficiencies in the application. Until the deficiencies are corrected, the County shall take no further action on the application for an impact fee payment agreement.

6. When the County Engineer determines that the application for an impact fee payment agreement is complete, the County Engineer shall draft an impact fee payment agreement for the review and approval of the fee payer. Upon acceptance of the impact fee payment agreement by the fee payer, the Transportation Committee shall consider the impact fee payment agreement at its next regularly scheduled meeting that will comply with the requirements of the Illinois Open Meetings Act. If the Transportation Committee approves the impact fee payment agreement, the County Engineer may execute the agreement on behalf of the County. The Transportation Committee’s denial of an impact fee payment agreement shall be based on written findings. Said written findings shall indicate that the impact fee payment agreement is not in the best interest of the County. Reasons for such finding may include but are not necessarily limited to the extraordinary potential adverse impact of the new development among other things.

Section Thirteen. Individual Assessment of Impact - Simplified and Standard Analysis.

1. Any developer may choose to provide an individual assessment of the impacts of the proposed new development upon the County highway system. The individual assessment may be used by the County to determine: (i) whether the share of the highway improvement capital costs necessitated by the proposed new development should be less than the impact fee established in Section Seven of this Ordinance or (ii) the impact fee for a particular land use or combination of uses not otherwise identified in Section Seven of this Ordinance. There are two types of individual assessments available.

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Simplified

2. Where the impact fee assessed under Section Seven of this Ordinance does not reflect the impact of the proposed new development, and where the latest version of the Institute of Transportation Engineers Trip Generation Manual provides trip generation data for another Land Use Code(s) which more closely represents the data for the new development, the developer may complete a simplified individual assessment.

3. Any developer who requests a simplified individual assessment is required to submit an application for a simplified individual assessment to the County Engineer (see Exhibit E of this Ordinance).

4. The County Engineer will review the application for a simplified individual assessment within fifteen (15) working days of receipt. If the County Engineer determines the application is not complete, the County Engineer shall send a written statement specifying the deficiencies to the person submitting the application. Until the deficiencies are corrected, the County Engineer shall take no further action on the application for simplified individual assessment, other than further reviews for completeness.

5. The County may, at the discretion of the County Engineer, have the simplified individual assessment reviewed by an approved transportation professional. The County Engineer shall approve the proposed impact fee if the County Engineer determines that the data provided in the latest version of the Institute of Transportation Engineers Trip Generation Manual accurately represents the trip generation characteristics anticipated for the new development. If the County Engineer determines that use of the Institute of Transportation Engineers Trip Generation Manual data does not fairly assess the highway improvement capital costs to the County highway system in accordance with the formula set out in subsection 8 of this Section the proposed impact fee shall be denied, and the developer shall pay the impact fee according to the schedule established in Section Seven of this Ordinance if the new development’s proposed land use has not previously been identified in the impact fee schedule or an amount as otherwise determined by the County Engineer.

6. If the simplified individual assessment is denied by the County Engineer, the developer retains the ability to perform a full standard individual assessment pursuant to this Section.

Standard

7.Any developer who chooses to provide a standard individual assessment is required to submit to the County Engineer a written statement of intent to perform a standard individual assessment, including its intended methodology, prior to performing the standard individual assessment and commencing the new development.

8. The individual assessment shall be calculated according to the following formulas (See Technical Specifications for detailed information):

PRIMARY TRIP RATE = GROSS TRIP RATE x TOTAL TRIP REDUCTION

TRIPS = PRIMARY TRIP RATE x NUMBER OF IMPACT UNITS

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NET IMPACT FEE = GROSS IMPACT FEE minus DEMOLITION CREDIT minus IMPROVEMENT CREDIT


Where:

GROSS TRIP RATE; equals the number of trips generated by one IMPACT UNIT of the new development on a weekday during the peak hour, between 4:00 p.m. and 6:00 p.m., of adjacent street traffic, as defined in the latest edition of the Institute of Transportation Engineers Trip Generation Manual.

TOTAL TRIP REDUCTION: equals the percentage of trips generated by a new development that are pass-by trips or diverted-linked trips as defined in the latest edition of the Institute of Transportation Engineers Trip Generation Handbook.

PRIMARY TRIP RATE; equals the portion of the GROSS TRIP RATE that represents new trips on the County highway system, discounting pass-by and diverted-linked trips.

IMPACT UNITS; equals a measure of the size of the new development that correlates with the number of peak hour trips generated by the new development between 4:00 p.m. and 6:00 p.m. For residential new developments, the IMPACT UNIT is the number of dwelling units of various types in the new development. For non-residential new developments, the IMPACT UNIT is generally a multiple of the number of gross interior square feet of the buildings constructed in the new development.

IMPACT FEE PER TRIP: equals the GROSS IMPACT FEE for the service area for new development that generates one trip during the peak hour of adjacent highway traffic between 4:00 p.m. and 6:00 p.m. (See Exhibit D of this Ordinance).

DEMOLITION CREDIT: equals the GROSS IMPACT FEE that would have been assessed on a building that a fee payer demolishes in conjunction with new development.

IMPROVEMENT CREDIT: equals the value of impact fee eligible highway improvements constructed by a developer in conjunction with new development and pursuant to an improvement credit agreement with the County.

IMPACT FEE MULTIPLIER; equals the percentage determined by the County Board by which the NET FEE shall be multiplied to determine the REDUCED FEE (See Exhibit C of this Ordinance).

9.The standard individual assessment shall include the following information:

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a) The trip generation rates for the proposed new development, on an average daily and on a peak design hour basis. The trip generation rates shall be based on local empirical surveys for the same or similar land use types. Empirical surveys shall include data collected from 4:00 pm to 6:00 pm at a minimum of three (3) locations having the same or similar land uses, or three (3) consecutive days at the same location. Survey locations should be similar to the location of the new development in terms of land use, adjacent street daily traffic, and mobility options. Coordination with the Division of Transportation impact fee coordinator is required for survey locations outside of Kane County

b) The proposed trip reduction rates for pass-by and diverted-linked trips, if any. The trip reduction rates shall be based on data provided in the latest edition of the Institute of Transportation Engineers Trip Generation Handbook or local empirical surveys for the same or similar land use types.

c) Any other data and supporting calculations that demonstrate a lower impact fee would be justified due to the unique nature or location of the new development.

10. An individual assessment shall be prepared only by a Professional Traffic Operations Engineer (PTOE) licensed in the state of Illinois utilizing established procedures, in the field of transportation planning and engineering and impact analysis. The standard individual assessment shall be stamped and signed by the qualified engineer.

11. The maximum reduction in any impact fee determined through any individual assessment, standard or simplified shall not exceed seventy percent (70%) of the impact fee as initially determined by and set forth in the impact fee schedule.

12. Within fifteen (15) working days of receipt of an individual assessment, the County Engineer shall determine if the standard individual assessment application materials are complete. If the County Engineer determines the standard individual assessment application is not complete, the County Engineer shall send a written statement specifying the deficiencies to the person submitting the standard individual assessment. The County may, at the discretion of the County Engineer, have the individual assessment reviewed by an approved transportation professional. Until the deficiencies are corrected, the County Engineer shall take no further action on the standard individual assessment, other than further reviews for completeness.

13. When the County Engineer determines the standard individual assessment is complete, the standard individual assessment shall be reviewed by the County within thirty (30) days thereafter. The County Engineer shall approve the proposed impact fee if the County Engineer determines that the traffic information, traffic factors, and methodology used to determine the proposed impact fee are professionally acceptable and fairly assess the highway improvement capital costs to the County highway system in accordance with the formula set out in subsection 8 of this Section. If the County Engineer determines that the traffic information, traffic factors, or methodology does not fairly assess the highway improvement capital costs to the County highway system in accordance with the formula set out in subsection 8 of this Section, the proposed impact fee shall be denied, and the developer shall pay the impact fee according to the schedule established in Section Seven of this Ordinance or as otherwise determined by the County Engineer if the new development’s proposed land use has not previously been identified in the impact fee schedule. If the individual assessment is denied by the County Engineer, the decision of the County Engineer may be appealed in the manner provided for in Section Four of this Ordinance.

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Section Fourteen. Impact Fee Credit Agreements.

1. Any fee payer may request an impact fee credit against the impact fee imposed by this Ordinance for any contribution, payment, recapture or construction of a system improvement or conveyance of land accepted and received by Kane County for any system improvement in accordance with the provisions of this Section. Highway related improvements made primarily for the benefit of the new development or municipalities or individuals or entities other than the County, including but not limited to highway related improvements such as turn lanes, traffic signals at private entrances, improvements to cross streets not on the County highway system over and above those necessary for the efficient operation of County intersections, and improvements to private property, together with the engineering and right of way costs therefor, are not eligible for an improvement credit. Any contribution, payment, recapture, construction of a highway related improvement or conveyance of land accepted and received by the County that does not address a capacity deficiency as set forth in the CRIP or that is received by the County as third party beneficiary as consideration included in any annexation agreement or as consideration for a grant from the County of any benefit to the new development that the new development is not otherwise entitled to as a matter of law, is not eligible as an improvement credit. The County Engineer shall determine which improvements are system improvements eligible for an improvement credit.

2. The County shall not be required to refund any impact fee or part thereof for any improvement credits that exceed any impact fee assessed by this Ordinance for the new development. However, a fee payer or his or her successor in interest may apply an improvement credit which has not otherwise been used in any other improvement credit agreement, against an impact fee which would otherwise be due and owing under the provisions of this Ordinance, provided that the improvement for which the credit is being applied is located within the same service area as the new development which would be the beneficiary of the credit and provided that the credit application is made within five (5) years of the date of execution of the original improvement credit agreement.

3. A fee payer shall be entitled to an improvement credit equal to the dollar value of the cost of any eligible system improvement contributed, paid for or committed to by the fee payer or his or her predecessor in interest in conjunction with the County's approval of the new development which is subject to the impact fee for which an improvement credit is being sought. The cost of such improvements shall be based on the following criteria:

a) The actual cost of the system improvements based on a valid contract proposal or bid tabulations for work performed within Kane County on the County highway system; and

b) The mean value of two legitimate, qualified appraisals of the fair market value of any land or interest therein which is part of the system improvement for which a credit is being sought. The fee payer or developer and the County shall each provide a legitimate, qualified appraisal from which the mean shall be determined.

4. To be eligible to receive an impact fee credit, the fee payer or developer shall initiate such determination of entitlement to an improvement credit by submitting a written application prepared by an Illinois licensed civil engineer for an improvement credit agreement to the County Engineer, no later than the fee payer’s application for (i) the related building permit or (ii) the related highway access permit; whichever occurs first. The application for an improvement credit agreement shall include the following information:

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a) A plan of specific proposed system improvements, prepared and certified by a duly qualified and licensed Illinois civil engineer; and,

b) The projected costs for the proposed system improvements, which shall be based on local information for similar highway improvements, along with the construction timetable for the completion of the proposed system improvements. Such estimated costs shall include the cost of all labor and materials, the appraised value or cost of all lands, property, rights, easements and franchises acquired, financing charges, interest prior to and during construction and for one (1) year after completion of construction, cost of plans and specifications, surveys of estimated costs and of revenues, costs of engineering and legal services and all other expenses necessary or incidental to determining the feasibility or practicability of such construction or reconstruction.

5. Within fifteen (15) working days of receipt of the application for an impact fee credit agreement, the County Engineer shall determine if all pertinent information has been provided. If the County Engineer determines that additional information is required, the County Engineer shall send a written statement outlining the application’s deficiencies to the applicant. The County Engineer shall take no further action on the proposed improvement credit agreement, other than further reviews for completeness, until all deficiencies have been corrected or otherwise settled.

6. Once the County Engineer determines that the applicant’s proposed improvement is a system improvement and the proposed costs for the suggested system improvement are professionally acceptable and fairly assess its cost, the County Engineer shall draft an impact fee credit agreement that shall be reviewed and approved by the applicant submitting the request for the impact fee credit agreement. The impact fee credit agreement shall specifically outline the system improvements that will be constructed by the applicant, the time by which the system improvements shall be completed and the total dollar value of the proposed system improvements. If the County Engineer determines that either the proposed system improvement is not a system improvement or that the proposed costs thereof are not acceptable, the County Engineer shall notify the applicant of his/her decision and may propose an alternative system improvement consistent with the provisions of this Ordinance.

7. Upon written acceptance of the impact fee credit agreement by the County Engineer and the applicant, the Transportation Committee shall consider the impact credit agreement at the next regularly scheduled committee meeting that will comply with the requirements of the Illinois Open Meetings Act. If the Transportation Committee approves the impact fee credit agreement, the County Engineer may execute the impact fee credit agreement on behalf of the County. Any impact fee credit agreement that includes system improvements with a total dollar value over $100,000 shall be reviewed and ratified by the County Board before it is executed by the County Engineer.

8. The Division of Transportation shall maintain records of the use of impact fee credits toward payment of impact fees due and shall provide upon written request a quarterly statement to the beneficiary of each impact fee credit agreement indicating use of any impact fee credits during the reporting period and the balance of impact fee credits remaining. Upon execution of an impact fee credit agreement, the beginning balance shall be equal to the total dollar value of the impact feet credits as specified in the impact fee credit agreement. Impact fee credits will be applied against new development in the following manner:

a) The recipient of the impact fee credit shall indicate on the impact fee application that impact fees assessed will be paid by utilizing impact fee credits and shall

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indicate the impact fee credit agreement number.

b) For each portion of the new development to which an impact fee credit is intended to be applied, the Division of Transportation shall calculate the gross impact fee in accordance with Exhibit B of this Ordinance or in accordance with Section Thirteen of this Ordinance. The remaining impact feet credit balance shall be reduced by the gross impact fee for that portion of the new development. The impact fee receipt shall note that the impact fees were paid through application of impact fee credits and the amount of impact fee credit expended.

c) If the impact fee credits remaining are insufficient to cover the gross impact fee for the new development, the remaining gross impact fee shall be multiplied by the impact fee multiplier then in effect and the applicant notified of the impact fee due.

Section Fifteen. Refunds.

1. Any impact fee collected may be refunded to the fee payer for the new development due to non-commencement before the impact fees have been expended or otherwise encumbered. Refunds may be made in accordance with this Section, provided that the fee payer or his or her successor in interest files a written petition for a refund of impact fees paid, within one (1) year of the date that the impact fees were required to be encumbered or expended.

2. Impact fees collected shall be encumbered for any of the purposes listed in Section Seventeen of this Ordinance within five (5) years of the date of receipt thereof. In determining whether the funds have been encumbered, the impact fees shall be accounted for on a first-in- first-out (FIFO) basis.

3. The impact fees collected pursuant to this Ordinance that have not been encumbered in accordance with subsection 2 of this Section shall be returned to the owner of record only upon receipt of a petition therefor. The petition shall include the following information:

a) A notarized sworn statement that the petitioner is the owner of record of the new development for which the impact fee was paid and that the petitioner is entitled to a refund under the terms of this Ordinance;

b) A certified copy of the latest recorded deed for the property that comprises the new development for which the impact fee was paid; and

c) A copy of the most recent ad valorem property tax bill for the property that comprises the new development for which the impact fee was paid.

4. Within fifteen (15) working days of receipt of the written request, the County Engineer shall determine if the written request is complete. If the County Engineer determines the refund request is not complete, the County Engineer shall send a written statement by U.S. mail or email specifying the deficiencies to the petitioner. Unless the request's deficiencies are corrected, the County Engineer shall take no further action on the request.

5. When the County Engineer determines the written petition for refund of impact fees paid is complete, the County Engineer shall review the petition within fifteen (15) working days, and shall approve the requested refund if the County Engineer determines the fee payer has paid an impact

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fee which the County has neither expended nor encumbered within five (5) years from the date the impact fee was paid.

6. If any impact fee has not been expended or otherwise encumbered within five (5) years of the date the impact fee were received, upon receipt of a complete refund petition as determined by the County Engineer, the impact fee shall be refunded along with interest at a rate which is seventy percent (70%) of the prime commercial rate in effect at the time that the impact fee is imposed, less five percent (5%) of the total fee to defray the costs of administration.

7. Impact fee refunds may be made at the discretion of the County Engineer without petition in any case where inadvertent mathematical error resulting in overpayment has been made.

8. Any charitable organization certified by the Internal Revenue Service as tax-exempt under Section 501(c)(3) of the Internal Revenue Code, and when so certified paid an impact fee under Kane County Ordinance 04-22 for new development that is solely owned and solely occupied by the charitable organization shall, upon written application to the Kane County Engineer, receive a one-time refund in an amount equal to 100% of the impact fee that would have been assessed on an equivalent land use that generates 50 weekday PM peak hour trips, or an amount equal to 100% of the impact fee paid, whichever amount is less.

Section Sixteen. Establishment of Service Areas.

There are hereby established service areas within the County in accordance with the boundaries set forth on Exhibit A of this Ordinance. The impact fee funds collected pursuant to this Ordinance shall be expended within the service area(s) from which they were collected, in accordance with the provisions of Section Seventeen of this Ordinance.

Section Seventeen. Use of Impact Fees Collected.

1. The impact fees collected pursuant to this Ordinance shall be used in the same manner and for the same purposes as motor fuel tax money allotted to the County under the provisions of the Highway Code, (605 ILCS 5/5-701 et seq.) solely for highway improvement capital costs that are specifically and uniquely attributable to the new development assessed the impact fee. In no event shall impact fees be expended to alleviate existing deficiencies in the County's highway system which were identified in the CRIP that was the basis for the original Road Improvement Impact Fees adopted by the County. The impact fees shall be expended on system improvements within the service area(s) from which the impact fees were collected, as specified in the CRIP. In the event that a service area boundary is the centerline of a County highway or intersection, the County Engineer may use the impact fees to complete the system improvements to the opposite side of the highway or right of way. Co-mingling of impact fees with regular highway, local gasoline or state motor fuel tax funds on highway improvements is permissible to the extent that regular tax funds are used to pay for the cost of alleviating any existing deficiencies. The County Engineer shall provide a written justification of the allocation of impact fees whenever such impact fees are allocated to highway improvements that will remedy existing deficiencies, demonstrating that the impact fees are not used to improve said existing deficiencies.

2. Impact fees shall be expended or encumbered within five (5) years from the date of receipt thereof.

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3. Impact fees collected by the County pursuant to this Ordinance shall be kept separate from other funds of the County.

4. Impact fees collected shall accrue to the fund established for the service area(s) in which the new development is proposed or occurs.

5. Impact fees on deposit and not immediately necessary for expenditure shall be invested in interest bearing accounts designated solely for the impact fees for each service area(s). All interest derived therefrom shall be retained in the appropriate fund and used for highway improvements authorized in this Ordinance.

6. The County shall provide for an annual accounting of any fund or account containing impact fees and interest earned thereon. Such accounting shall include, but shall not be limited to, the total impact fees collected, the source of the impact fees collected, the total amount of interest accruing on such impact fees, the amount of impact fees expended on highway improvements, and a list of the improvement credits granted. The County shall publish the results of the accounting once a year in a newspaper of general circulation within Kane County. The notice shall also state that a copy of the accounting report shall be made available for public inspection at reasonable times. A copy of the report shall be given to the Advisory Committee.

7. Impact fees collected pursuant to Ordinance 04-22 and impact fees assessed pursuant to Section Seven of this Ordinance may be expended on any eligible highway improvement identified in the CRIP in effect at the time of award of the contract for expenditure of the impact fees; however, impact fees collected pursuant to Ordinance 04-22 and impact fees assessed pursuant to Section Seven of this Ordinance shall be expended within the service area as defined in Ordinance 04-22 from which the impact fees were collected.

Section Eighteen. Advisory Committee.

1. An Advisory Committee has been established by the County in compliance with the requirements of the Road Improvement Impact Fee Law to assist the County in the recommendation of land use assumptions and the development of the CRIP. After the effective date of this Ordinance, the Advisory Committee shall, among other duties, continue to:

a) Report to the County on all matters relating to the imposition of impact fees;

b) Monitor and evaluate the implementation of the CRIP and the assessment of impact fees;

c) Report annually to the County with respect to the progress of the implementation of the CRIP;

d) Advise the County of the need to update or revise the land use assumptions, CRIP, or impact fees;

e) Review the County's highway program with respect to impact fee expenditures; and

f) Discuss relevant development trends in the County.

2. The County shall adopt procedural rules to be used by the Advisory Committee in

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carrying out the duties imposed by this Section. The rules shall provide that any three (3) members of the Advisory Committee may call a meeting of the Committee to discuss issues that fall within the duties listed above. The County shall assist the Advisory Committee and shall make available all professional reports reasonably relating to the development and implementation of the land use assumptions, the CRIP, and the periodic up-dates of the CRIP. Meetings of the Committee shall be subject to the Illinois Open Meetings Act (5 ILCS 120/1 et seq.).

Section Nineteen. Review of Land Use Assumptions and Update of Comprehensive Road Improvement Plan.

The Advisory Committee shall periodically review the land use assumptions and the CRIP, approved by Resolution 04-21 as amended from time to time, in accordance with Section Eighteen of this Ordinance and shall advise the County of the need to update any of these documents. The CRIP shall be updated at least once every five (5) years in accordance with statutory requirements. The five (5) year period shall commence on the date of the most recent adoption of the CRIP.

Section Twenty. Review of Ordinance.

1. The Advisory Committee shall periodically review the factors used to calculate the impact fee schedule in Section Seven of this Ordinance, the criteria defined for a simplified individual assessment provided for in Section Thirteen, the factors used for a standard individual assessment provided for in Section Thirteen, the administration of this Ordinance and the Procedures Manual, and shall revise the impact fee schedule in accordance with any changes in the factors used in calculating the impact fee. The review shall not affect the applicability of the impact fee schedule in Section Seven or the factors in Section Ten until a revision to the schedule or the factors is approved by the County Board. If the County Engineer determines that the arithmetic average of any proposed increase in the impact fees will be five percent (5%) or greater from the previous impact fee schedule, the County shall hold a public hearing regarding the proposed revisions to the impact fee schedule. The County shall give thirty (30) days’ notice of such public hearing by publication in a newspaper of general circulation within Kane County. A majority vote of the members of the County Board then holding office is required before the impact fees may be increased. In no event shall this subsection or any other Section of this Ordinance be construed to prevent the County Board from taking any action to amend this Ordinance after its effective date.

2. Regarding any revision of the impact fee schedule, the maximum annual increase for any one year shall not be more than ten percent (10%) plus any increase in the Construction Cost Index (as published by the Engineering News Record) for said year.

3. Any impact fee increase or decrease shall become effective on April 1st of the year that the impact fee schedule is approved by the County Board. If there has been a State or County gas tax increase or decrease, a revised fee schedule may be considered by the Transportation Committee at a regularly scheduled meeting and subsequently by the County Board at the next regularly scheduled County Board meeting thereafter. Any revised impact fee schedule approved by the County Board shall reflect the allocation of such gas tax funds to transportation capacity improvements.

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4. An annual report shall be provided to the County Board that examines the expenditure of the impact fees collected under the provisions of this Ordinance and analyzes the effectiveness of such expenditures. The annual report shall be produced prior to June 1st of every year.

5. The limitations contained in subsections 1 and 2 of this Section shall not apply to any amendment to this Ordinance resulting from a complete update of the Land Use Assumptions and Comprehensive Road Improvement Plan in accordance with the Road Improvement Impact Fee Law.

Section Twenty-one. Effective Date of Ordinance.

This Ordinance shall become effective upon adoption by the County Board.

Section Twenty-two. Penalties.

1. The County Engineer shall initiate, through the office of the Kane County State's Attorney, judicial proceedings to collect any impact fee or any interest accrued thereon that has become due under this Ordinance.

2. Unless a fee payer is actively prosecuting the appeal of an impact fee, or actively prosecuting any other remedy provided by law for relief against an impact fee, if an impact fee required by this Ordinance has not been timely paid, the County or the County Engineer shall not issue to the delinquent fee payer any subsequent approvals or permits for any other development or work in the County of Kane in which the delinquent fee payer has an interest and shall suspend review of any and all pending applications or petitions of the delinquent fee payer pending before the County until all impact fees owed have been paid in full.

Section Twenty-three. Distribution.

Certified copies of this Ordinance shall be sent to every municipality having territory within Kane County, the Illinois Department of Transportation, the Division of Transportation, and the Kane/Kendall Council of Mayors, and one copy to the Treasurer, Auditor, Finance Department, Development Department, and State's Attorney's Office.

Section Twenty-four. Severability.

In the event that any portion or section of this Ordinance is determined to be invalid, illegal, or unconstitutional by a court of competent jurisdiction, such decision shall in no manner affect the remaining portions or sections of the Ordinance, which shall remain in full force and effect.


________________________________ _____________________________ John A. Cunningham Corinne M. Pierog MA, MBA

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Clerk, County Board Chairman, County Board Kane County, Illinois Kane County, Illinois

Vote:

22-01 ImpactFee

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Exhibit A: Impact Fee Service Areas

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IMPACT FEE SCHEDULE2030 UPDATE

North Central South North Central SouthRESIDENTIALSingle Family Detached Dwelling Unit 210 $2,721.19 $2,736.12 $2,725.81 $1,360.59 $1,368.06 $1,362.91Single Family Attached Dwelling Unit 215 $1,650.08 $1,659.14 $1,652.89 $825.04 $829.57 $826.44Multi‐Family Attached Dwelling Unit 220 $1,476.39 $1,484.49 $1,478.90 $738.20 $742.25 $739.45Age Restricted Housing Dwelling Unit 251 $868.46 $873.23 $869.94 $434.23 $436.62 $434.97COMMERCIAL RETAILRetail 1 to < 40,000 s.f. (5) 1,000 s.f. (1) 822 $7,058.59 $7,097.32 $7,070.59 $3,529.30 $3,548.66 $3,535.29Retail 40,000 to 150,000 s.f. 1,000 s.f. (1) 821 $9,672.09 $9,725.17 $9,688.53 $4,836.05 $4,862.58 $4,844.26Retail over 150,000 s.f. 1,000 s.f. (1) 820 $5,118.15 $5,146.24 $5,126.85 $2,559.08 $2,573.12 $2,563.42Supermarket 1,000 s.f. (2) 850 $12,436.42 $12,504.66 $12,457.55 $6,218.21 $6,252.33 $6,228.77Gas Service Station Fueling Position 944 $4,832.14 $4,858.65 $4,840.35 $2,416.07 $2,429.33 $2,420.17Convenience Store/Gas Station (GFA 2‐4k) Fueling Position 945 $7,998.56 $8,042.45 $8,012.15 $3,999.28 $4,021.23 $4,006.08Convenience Store/Gas Station (GFA 4‐5.5k) Fueling Position 945 $6,588.75 $6,624.91 $6,599.95 $3,294.38 $3,312.45 $3,299.97COMMERCIAL OFFICEGeneral Office 1,000 s.f. (2) 710 $4,168.63 $4,191.51 $4,175.71 $2,084.32 $2,095.75 $2,087.86Medical‐Dental Office 1,000 s.f. (2) 720 $11,376.89 $11,439.32 $11,396.22 $5,688.45 $5,719.66 $5,698.11Office Park 1,000 s.f. (2) 750 $3,763.35 $3,784.00 $3,769.74 $1,881.67 $1,892.00 $1,884.87Business Park 1,000 s.f. (2) 770 $3,531.76 $3,551.14 $3,537.76 $1,765.88 $1,775.57 $1,768.88COMMERCIAL INDUSTRIALWarehousing/Distribution Terminal 1,000 s.f. (2) 150 $521.08 $523.94 $521.96 $260.54 $261.97 $260.98Speculative Industrial (6) 1,000 s.f. (2) 150/710 $1,244.80 $1,251.63 $1,246.91 $622.40 $625.82 $623.46Light Industrial/Industrial Park 1,000 s.f. (2) 110 $1,881.67 $1,892.00 $1,884.87 $940.84 $946.00 $942.44COMMERCIAL RESTAURANTFast Food Restaurant 1,000 s.f. (2) 934 $24,860.68 $24,997.09 $24,902.92 $12,430.34 $12,498.55 $12,451.46Fine Dining Restaurant 1,000 s.f. (2) 931 $6,548.23 $6,584.16 $6,559.35 $3,274.11 $3,292.08 $3,279.68COMMERCIAL SERVICEDay Care 1,000 s.f. (2) 565 $7,725.86 $7,768.26 $7,738.99 $3,862.93 $3,884.13 $3,869.50Hospital Bed 610 $4,892.35 $4,919.20 $4,900.67 $2,446.18 $2,459.60 $2,450.33Nursing Home Bed 620 $405.28 $407.51 $405.97 $202.64 $203.75 $202.99Hotel/Motel Room 320 $1,042.16 $1,047.88 $1,043.93 $521.08 $523.94 $521.96OTHERReligious Institution 1,000 s.f. (2) 560 $1,418.49 $1,426.28 $1,420.90 $709.25 $713.14 $710.45

2030 CRIP

Land Use Impact Unit LUC (3)Reduced Impact Fee ($) per Impact Unit (7)Gross Impact Fee ($) per Impact Unit

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(2) Gross Floor Area (GFA): The total floor area contained within the building mesasured to the external face of the external walls.

(3) Based on data available in the ITE Trip Generation Manual, 11th Edition

(4) Based on ITE Trip Generation Manual, 11th Edition, for weekday, peak hour, between 4:00 pm and 6:00 pm, of adjacent street traffic

(7) Impact Fee Multipliers

Current Impact Fee Multiplier: 50%

Proposed Impact Fee Multiplier: 50%

Note: For a property with only one tenant, the measurements of GFA and GFLA area essentially equal.

(1) Gross Leasable Floor Area (GLFA): The amount of floor space available to be leased or rented. The gross leasable area is the total floor area designed for tenant occupancy and exclusive use.

(5) Pass-by and Diverted Trip infomration not available in the 11th Edition of the ITE Trip Generation Manaul for LUC 822; therefore pass-by and diverted trip information was utilized from

similar land use, LUC 821.

(6) Rate caclulated using 80% of LUC 150 and 20% of LUC 710 per the ITE Trip Generation Manual, 11th Edition

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Resolution No.

Approving a Phase I/II Engineering Services Agreement with Kimley-Horn Associates, Inc. of Warrenville, Illinois for Plank Road Highway Safety Improvement Project, Kane County Section No. 21-00540-00-SP



Budget Information:

Was this item budgeted? Yes Appropriation Amount: $807,722.00


Summary:

The Kane County Division of Transportation has received construction funding for improvements to Plank Road, between Romke Road and Brier Hill Road. The funding comes from the Highway Safety Improvement Program (HSIP), which is administered by IDOT. Project applications propose solutions to identified safety concerns with a cost/benefit analysis. Improvements to Plank Road would consist of the addition of shoulders, drainage improvements, and pavement marking improvements. KDOT is in need of a qualified firm to provide Phase I/II professional engineering services for these improvements. Engineering services will include traffic studies, geometric alternatives analysis and design, drainage design, environmental clearance coordination, and preliminary engineering design and reports as required for IDOT processing for Phase I Design Approval as well as preparation of contract plans, specifications and estimates for IDOT processing for letting, bidding, and award of the contract for construction. Staff recently completed the consultant selection process and negotiated a locally funded contract with Kimley-Horn Associates, Inc., for phase I/II design services for an amount not to exceed $807,722.00. Details regarding the selection process can be found on the KDOT website.

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STATE OF ILLINOIS

COUNTY OF KANE

RESOLUTION NO.

APPROVING A PHASE I/II ENGINEERING SERVICES AGREEMENT WITH KIMLEY-HORN ASSOCIATES, INC. OF WARRENVILLE, ILLINOIS FOR PLANK ROAD HIGHWAY SAFETY

IMPROVEMENT PROJECT, KANE COUNTY SECTION NO. 21-00540-00-SP

WHEREAS, Phase I/II Engineering services are required for the proposed Kane County Highway No. 22 (Plank Road) Highway Safety Improvement Project (Kane County Section No. 21-00540-00-SP), (herein after referred to as the “Project”); and

WHEREAS, in order to accomplish the Project, it is necessary to retain the services of a

professional engineering firm to provide Phase I/II Engineering services therefor; and WHEREAS, Kimley-Horn Associates, Inc., 4201 Winfield Road #600, Warrenville, Illinois

60555 has experience and professional expertise in Phase I/II Engineering and is willing to perform the required Project services for an amount not to exceed $807,722.00 as set forth in a Phase I/II Engineering services agreement (a copy of which is on file with the County Clerk’s Office).

NOW, THEREFORE, BE IT RESOLVED by the Kane County Board that the County of Kane approve and enter into a Phase I/II Engineering services agreement with Kimley-Horn Associates, Inc. for the Project and that the Chairman thereof is hereby authorized to execute a Phase I/II Engineering services agreement with Kimley-Horn Associates, Inc. for the Project.

BE IT FURTHER RESOLVED that the Kane County Board hereby appropriate the not to exceed sum of Eight Hundred Seven Thousand Seven Hundred Twenty Two Dollars ($807,722.00) from Transportation Sales Tax Fund #305, Line Item #50140 (Engineering Services) to pay for said Phase I/II Engineering services for the Project.



budget revision?



line item?




305.520.527.50140 Engineering Services Yes Yes



Vote:

22-01 PlankRdHSIP

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AGREEMENT BETWEEN THE COUNTY OF KANE AND KIMLEY HORN AND ASSOCIATES, INC.

PHASE I & II ENGINEERING FOR PLANK ROAD HSIP IMPROVEMENTS ROMKE ROAD TO BRIER HILL ROAD

KANE COUNTY SECTION NO. 21-00540-00-SP

PURCHASE ORDER #2022-XXXX This Agreement made this 11th day of January 2022 between COUNTY OF KANE, a body corporate and politic of the State of Illinois (hereinafter referred to as the “COUNTY”), and, KIMLEY HORN AND ASSOCIATES, INC., a North Carolina corporation authorized to conduct business in the state of Illinois and an Illinois licensed professional engineering firm, with offices at 4201 Winfield Road. Warrenville, Illinois (hereinafter referred to as the “CONSULTANT”). The COUNTY and the CONSULTANT are sometimes hereinafter collectively referred to as the “PARTIES” and individually as a “PARTY”.

WITNESSETH

WHEREAS, it is deemed to be in the best interest of the COUNTY and the motoring public

to improve and maintain the various highways throughout Kane County; and, WHEREAS, the COUNTY desires to improve Kane County Highway No. 22 (Plank

Road), (hereinafter referred to as the “Project”); and WHEREAS, in order to complete the PROJECT, it is necessary to retain the services of a

professional engineering firm to perform professional design engineering services; and,

WHEREAS, the CONSULTANT has experience and professional expertise in design engineering and is willing to perform said services for a total amount not to exceed Eight Hundred and Seven Thousand, Seven Hundred and Twenty-Two Dollars and Zero Cents ($807,722.00); and

WHEREAS, the COUNTY has determined that it is in its best interest to enter into this AGREEMENT with the CONSULTANT.

NOW, THEREFORE, in consideration of the above stated preambles, the mutual covenants and agreements herein set forth, the PARTIES do hereby mutually covenant, promise, agree and bind themselves as follows: 1.0 INCORPORATION

1.1 All of the preambles set forth hereinabove are incorporated into and made part of this Agreement.

2.0 SCOPE OF SERVICES

2.1 Services for the PROJECT are only to be provided by the CONSULTANT according to the specifications set forth in Exhibit “A” which is attached hereto and

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incorporated herein. The services are sometimes hereinafter also referred to as the “work”.

3.0 NOTICE TO PROCEED

3.1 Authorization to proceed with the work described and as otherwise set forth in

Exhibit “A” shall be given on behalf of the COUNTY by the Kane County Engineer, in the form of a written notice to proceed (hereinafter “Notice to Proceed”), following execution of this Agreement by the County Board Chairman of the COUNTY.

4.0 TECHNICAL SUBCONSULTANTS

4.1 The prior written approval of the Kane County Engineer shall be required before any technical sub-consultants are hired by the CONSULTANT to perform any of the work.

4.2 Any such sub-consultants shall be hired and supervised by the CONSULTANT and

the CONSULTANT shall be solely responsible for any and all work performed by said sub-consultants in the same manner and with the same liability as if performed by the CONSULTANT.

5.0 TIME FOR PERFORMANCE

5.1 The CONSULTANT shall commence work on the PROJECT only after receipt of

a Notice to Proceed from the COUNTY’s County Engineer. The COUNTY is not liable and will not pay the CONSULTANT for any work performed prior to the date of the Notice to Proceed or after termination of this Agreement.

5.2 Within ten (10) days after the Notice to Proceed is mailed or otherwise transmitted

to the CONSULTANT, the CONSULTANT shall submit a schedule for completion of the work outlined therein. The schedule is subject to approval by the County Engineer.

6.0 COMPENSATION

6.1 The COUNTY shall only pay the CONSULTANT for work approved and shall pay only in accordance with the provisions of this Agreement.

6.2 For work performed, the COUNTY shall pay the CONSULTANT based upon

actual hourly rates for personnel working on the PROJECT. The average hourly rates and hourly rate ranges are set forth in Exhibit “B”, which is attached hereto and incorporated herein and which rates include overhead and profit.

6.3 For direct expenses, the COUNTY shall pay the CONSULTANT for supplies and

materials required for the completion of all work defined in the exhibit(s) attached hereto.

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6.4 For direct expenses, the CONSULTANT shall include copies of receipts from suppliers for expendable materials with its invoice to the COUNTY. Computer charges will not be allowed as direct expenses.

6.5 Within 45 days of receipt, review and approval of properly documented invoices,

the COUNTY shall pay or cause to be paid to the CONSULTANT partial payments of the compensation specified in this Agreement. Payment will be made in the amount of sums earned less previous partial payments. However, the COUNTY reserves the right to hold back a sum equal to five percent (5%) of the total contract sum to ensure performance satisfactory to the Kane County Engineer.

6.6 Total payments to the CONSULTANT under the terms of this Agreement shall not

exceed Eight Hundred and Seven Thousand, Seven Hundred and Twenty-Two Dollars and Zero Cents ($807,722.00).

7.0 DELIVERABLES.

7.1 The CONSULTANT shall provide the COUNTY, prior to the termination of this AGREEMENT, or at such time as the Kane County Engineer directs, any required deliverables related to work performed under this Agreement.

7.2 Upon receipt, review and acceptance of all deliverables by the COUNTY (if

required), final payment will be made to the CONSULTANT by the COUNTY. 8.0 CONSULTANT'S INSURANCE

8.1 The CONSULTANT and any sub-consultants shall, during the term of this Agreement and as may be required thereafter, maintain, at its sole expense, insurance coverage including:

A. Worker's Compensation Insurance in the statutory amounts. B. Employer's Liability Insurance in an amount not less than Five Hundred

Thousand Dollars ($500,000) each accident/injury and Five Hundred Thousand Dollars ($500,000) each employee/disease.

C. Commercial General Liability Insurance, (including contractual

liability) with limits of not less than One Million Dollars ($1,000,000) per occurrence bodily injury/property damage combined single limit; Two Million Dollars ($2,000,000) excess liability coverage in the aggregate for injury/property damage combined single limit and Two Million Dollars ($2,000,000) in the aggregate for products-completed operations.

D. Commercial Automobile Liability Insurance with minimum limits of at

least One Million Dollars ($1,000,000) for any one person and One Million Dollars ($1,000,000) for any one occurrence of bodily injury or property damage.

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E. Professional Errors and Omissions Insurance with a minimum limit of

One Million Dollars ($1,000,000) per event and Two Million Dollars ($2,000,000) in aggregate.

8.2 It shall be the duty of the CONSULTANT to provide to the COUNTY copies of

the CONSULTANT'S certificates of insurance before issuance of the Notice to Proceed. The certificate(s) of insurance shall indicate the County of Kane as the Certificate Holder and shall also indicate the Section Number set forth in the title to this Agreement. The CONSULTANT shall provide the COUNTY and maintain a certificate of insurance for its General Liability Policy which certificate shall include the COUNTY as additional named insured. The additional insured endorsement included on the CONSULTANT’S Commercial General Liability policy will provide the following:

A. That the coverage afforded the additional insured will be primary insurance for

the additional insured with respect to claims arising out of operations performed by or on behalf of the CONSULTANT;

B. That if the additional insured has other insurance which is applicable to the loss,

such other insurance will be only on an excess or contingent basis;

C. That the amount of the CONSULTANT’S liability under the insurance policy will not be reduced by the existence of such other insurance; and,

D. That the certificate of insurance shall contain a provision or endorsement that

the coverage afforded will not be canceled, materially changed, nor renewal refused until at least thirty (30) days prior written notice has been given to COUNTY.

The insurance required to be purchased and maintained by CONSULTANT shall be provided by an insurance company acceptable to the County with an AM Best rating of A- or better, and licensed to do business in the State of Illinois; and shall include at least the specified coverage and be written for not less than the limits of the liability specified herein or required by law or regulation whichever is greater. In no event shall any failure of the COUNTY to receive policies or certificates of insurance or to demand receipt of the same be construed as a waiver of the CONSULTANT’S obligation to obtain and keep in force the required insurance.

9.0 INDEMNIFICATION.

9.1 To the fullest extent permitted by law, the CONSULTANT shall indemnify and

hold harmless the COUNTY, and its officials, directors, officers, agents, and employees from and against any and all claims, damages, losses, and expenses, including but not limited to court costs and reasonable attorney's fees, arising out of or resulting from performance of the work, provided that such claim, loss or expense is attributable to bodily injury, sickness, disease or death, or to injury to or destruction of property but only to the extent caused in whole or in part by negligent

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acts or omissions of the CONSULTANT, a sub-consultant, anyone directly or indirectly employed by them or anyone for whose acts they may be liable, excluding any proportionate amount of any claim, damage, loss or expense which is caused by the negligence of the COUNTY. Such obligation shall not be construed to negate, abridge or reduce other rights or obligations of indemnity, which would otherwise exist as to a PARTY or person described in this paragraph. In claims against the COUNTY and its officials, directors, officers, agents, and employees by an employee of the CONSULTANT, a sub-consultant, anyone directly or indirectly employed by them or anyone for whose acts they may be liable, the indemnification obligation under this paragraph shall not be limited by any limitation on the amount or type of damages, compensation or benefits payable by or for the CONSULTANT or a sub-consultant under worker's or workmen's compensation acts, disability benefit acts or other employee benefit acts.

9.2 Nothing contained herein shall be construed as prohibiting the COUNTY, its

officials, directors, officers, agents, and employees, from defending through the selection and use of their own agents, attorneys and experts, to defend any claims, actions or suits brought against them.

9.3 If any errors, omissions, intentional or negligent acts are made by the

CONSULTANT or sub-consultant in any phase of the work, the correction of which requires additional field or office work, the CONSULTANT shall be required to perform such additional work as may be necessary to remedy same without undue delay and without charge to the COUNTY.

9.4 Acceptance of the work by the COUNTY will not relieve the CONSULTANT of

the responsibility for the quality of the work, nor of the CONSULTANT’S liability for loss or damage to property or persons resulting therefrom.

10.0 SATISFACTORY PERFORMANCE.

10.1 The CONSULTANT'S and sub-consultant's standard of performance under the terms of this Agreement shall be that which is to the satisfaction of the COUNTY and meets the quality and standards commonly accepted in the industry in the Chicago Metropolitan area.

11.0 CONFLICT OF INTEREST.

11.1 The CONSULTANT covenants that it has no conflicting public or private interest and shall not acquire directly or indirectly any such interest which would conflict in any manner with the performance of CONSULTANT'S services under this Agreement.

11.2 The CONSULTANT, by its signature on this Agreement, certifies that it has not

been barred from being awarded a contract or subcontract under the Illinois Purchasing Act; and further certifies that it has not been barred from contracting with a unit of State or Local government as a result of a violation of Section 33E-3

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or 33E-4 of the Illinois Criminal Code (Illinois Compiled Statutes, 1992, Chapter 720, paragraph 5/33E-3).

12.0 OWNERSHIP OF DOCUMENTS.

12.1 The CONSULTANT agrees that all survey data, reports, drafting, studies, specifications, estimates, maps and computations prepared by the CONSULTANT under the terms of this Agreement shall be properly arranged, indexed and delivered to the COUNTY within ninety (90) days of written request therefor.

12.2 The documents and materials made or maintained under this AGREEMENT shall

be and will remain the property of the COUNTY which shall have the right to use same without restriction or limitation and without compensation to the CONSULTANT other than as provided in this Agreement.

13.0 COMPLIANCE WITH STATE AND OTHER LAWS – PREVAILING WAGE ACT.

13.1 The CONSULTANT and sub-consultants will comply with all State, Federal and Local statutes, ordinances and regulations; and will obtain all permits as are applicable.

13.2 The CONSULTANT and any sub-consultants shall not discriminate against any

worker, job applicant, employee or any member of the public, because of race, creed, color, sex, age, handicap, or national origin, or otherwise commit an unfair employment practice.

13.3 The CONSULTANT and any sub-consultant(s) shall comply with all applicable

State and Federal Prevailing Rate of Wage Laws, and shall take all steps necessary to remain in compliance therewith. (See Exhibit “C”).

13.4 The CONSULTANT and any sub-consultant(s) shall comply with the Kane County

Ethics Ordinance (Article II, Division 3, Section 2-211). 14.0 MODIFICATION OR AMENDMENT

14.1 The terms of this AGREEMENT may only be modified or amended by a written

document duly executed by the PARTIES.

15.0 TERM OF THIS AGREEMENT. 15.1 The term of this Agreement shall begin on the date this AGREEMENT is fully

executed and shall continue in full force and effect until the earlier of the following occurs:

A. The PARTY’S termination of this Agreement in accordance with the terms of

Section 16.0; or

B. January 11, 2025.

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15.2 In the event the required time is exceeded and/or anticipated personnel

requirements are not adequate and remaining funds are not sufficient to complete the PROJECT, adjustments in total compensation available to the CONSULTANT may be determined through negotiation between the COUNTY and the CONSULTANT. The COUNTY shall however, have no obligation to agree to any such adjustment.

15.3 The date of the first calendar day for this Agreement shall be the date of receipt of

the Notice to Proceed by the CONSULTANT from the COUNTY. In the event the PROJECT work is suspended as recorded on the "Report of Starting and Completion Date," the calendar days for this Agreement will also be suspended for a like amount of time.

16.0 TERMINATION ON WRITTEN NOTICE.

16.1 Except as otherwise set forth in this Agreement, the CONSULTANT shall have the right to terminate this Agreement for cause upon serving sixty (60) days written notice upon the COUNTY.

16.2 The COUNTY may terminate this Agreement at any time upon written notice to

the CONSULTANT. In the event of such termination, the CONSULTANT shall be paid for all services satisfactorily performed up to the effective date of the termination.

16.3 Upon termination of this Agreement, the obligations of the PARTIES to this

Agreement shall cease, but they shall not be relieved of the duty to perform their obligations up to the date of termination. Notwithstanding anything in this Agreement to the contrary however, the obligations of the CONSULTANT to indemnify and hold harmless the COUNTY as provided for in Section 9.0 of the Agreement shall survive the termination of this Agreement.

16.4 Upon termination of this Agreement, all data, work products, reports and

documents produced, as a result of this Agreement shall become the property of the COUNTY.

17.0 ENTIRE AGREEMENT.

17.1 This Agreement contains the entire Agreement between the PARTIES.

17.2 There are no other covenants, promises, conditions or understandings, either oral or written, other than those contained herein.

18.0 NON-ASSIGNMENT.

18.1 This Agreement shall not be assigned by either PARTY without prior written approval by the other PARTY requesting the assignment.

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19.0 SEVERABILITY.

19.1 In the event any provision of this Agreement is held to be unenforceable for any reason, the enforceability thereof shall not affect the remainder of the Agreement, which will remain in full force and effect and enforceability in accordance with its terms.

20.0 GOVERNING LAW.

20.1 This Agreement shall be governed by the laws of the State of Illinois both as to interpretation and performance.

20.2 Venue for any dispute arising hereunder shall be in the Circuit Court of the

Sixteenth Judicial Circuit, Kane County, Illinois. 21.0 NOTICE.

Any required notice shall be sent to the following addresses and party:

KANE COUNTY DIVISION OF TRANSPORTATION 41W011 Burlington Road Saint Charles, Illinois 60175 Attn.: Carl Schoedel, P.E., Kane County Engineer

Kimley-Horn and Associates, Inc. 4201 Winfield Road, Suite 600 Warrenville, Illinois 60505 Attn: Sagar Sonar, P.E.

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IN WITNESS WHEREOF, the parties set their hands and seals as of the date first written above. COUNTY OF KANE _____________________________ CORINNE M. PIEROG CHAIRMAN, KANE COUNTY BOARD

KIMLEY HORN AND ASSOCIATES, INC _______________________________ TIM SJOGREN, P.E. ASSOCIATE

ATTEST: _____________________________ JOHN A. CUNNINGHAM KANE COUNTY CLERK

ATTEST: ________________________________ SAGAR SONAR, PE, PTOE PROJECT MANAGER

(seal)

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Exhibit A

Scope of Engineering Services

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Plank Road Romke Road to Brier Hill Road Kane County Division of Transportation

Scope of Services

1

Introduction

The project involves Plank Road f rom Romke Road to Brier Hill Road and is located in the Village of Burlington in Kane County, Illinois. Plank Road is under the jurisdiction of the Kane County Division of Transportation. The County will be the lead agency for the project. The purpose of the project is to implement roadway safety improvements identified in the Highway Safety Improvement Program (HSIP) funding received by the County. The improvements include shoulder widening, shoulder rumble strips, placement of inlaid wet ref lective pavement marking along the edge of pavement, and additional ancillary improvements needed to accommodate the proposed widening. The project includes Phase I and Phase II Engineering services and will be processed through the Illinois Department of Transportation (IDOT) Bureau of Local Roads & Streets (BLR&S). It is anticipated that the project will be designed according to 3R criteria and processed as a Categorical Exclusion (CE). The project will be designed using Microstation Geopak SS10 software. Kimley-Horn and Associates, Inc. (“Kimley-Horn” or “Consultant”) is pleased to submit this scope of services for Phase I and Phase II Engineering services to the Kane County Division of Transportation (“County”). Based on our understanding of the project, the Consultant team has developed the following Scope of Services to guide the County through this project: Task 1 – Project Initiation and Kick-off Meetings

The Consultant team will meet with County staf f and IDOT to initiate the project to discuss project goals, design criteria, and project schedule. Separate kick-off meetings are anticipated for Phase I and Phase II for both the County and IDOT. All kick-off meetings are assumed to be held in a virtual format. Task 2 – Environmental Studies

The Consultant will prepare Environmental Survey Request (ESR), Preliminary Environmental Site Assessment (PESA), Preliminary Site Investigation (PSI), Wetland surveys and report, and Clean Construction Demolition Debris (CCDD) testing and coordination. The team will coordinate with the USDA's Natural Resources Conservation Service (NRCS) and review requirements of form CPA-106 depending on the extent of the impacts. ESR The Consultant will obtain aerials for preparation of environmental survey exhibits. The Consultant will prepare and submit an ESR form with Attachments and Exhibits to IDOT BLR&S for processing. The Consultant will be responsible for the following related to the ESR:

• Review of the f indings • Responses to inquiries regarding the project impacts on environmental resources • Incorporation of the information into the project report

The Consultant will coordinate with the environmental subconsultant HLR who will perform the following tasks. The HLR scope is included in Exhibit F.

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Scope of Services

2

• Wetland screening and wetland delineation with report • Tree survey • Special waste screening • PESA • PSI

The Consultant will request jurisdictional determination f rom U.S. Army Corps of Engineers (USCAE) and submit a Wetland Impact Evaluation (WIE) to IDOT. CCDD Testing and Coordination (by Interra) CCDD coordination will be completed utilizing the information f rom the PESA. Six (6) samples would be collected f rom the site. The soil samples will be submitted to a NELAC approved laboratory for analysis. The laboratory analysis f rom the soil samples will be reviewed for acceptance to a CCDD facility. The results of the analysis would be compared to the limits outlined in the Maximum Allowable Concentrations (MAC) of Chemical Constituents in Uncontaminated Soil Used as Fill Material at Regulated Fill Operations (35 Ill. Adm. Code 1100.Subpart F). A 663 will be prepared if levels meet MAC table limits. The Interra scope is included in Exhibit F. If the soils testing should indicate any elevated levels of contaminants, additional TCLP or SPLP analysis on those specif ic constituents may be required to determine if they are within the MAC table limits. This testing would be used to create a waste prof ile if it is necessary to take it to a landf ill. NRCS/CPA106 Coordination The Consultant will prepare and submit form CPA-106 form for impacts to agricultural lands and conduct the necessary coordination required with Illinois Department of Agriculture if the right-of -way (ROW) acquisition f rom farms exceeds three (3) acres/mile. A COSIM submittal and noise impact evaluation is not anticipated for the project based on IDOT BLR&S criteria. Task 3 – Data Collection and Topographic Survey

The Consultant team will collect all available information f rom the County and other sources necessary for the project. The information will include: • Storm and sanitary sewer atlases • Water system atlases • Conduct coordination with J.U.L.I.E. to obtain private utility atlases • Existing plans for corridor • Right-of -way (ROW) maps

A J.U.L.I.E. design stage utility locate will be requested. Utility companies will be contacted to request utility atlases that will be draf ted into the base f iles. Utility data collected including County and Village facilities will be draf ted into the base f iles and submitted to the County for review. The Consultant will maintain a utility coordination status sheet. The other tasks will include:

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Scope of Services

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• Topographic Survey (by HLR) • Drain Tile and Septic Field Survey (by Huddleston McBride) • Geotechnical Investigation (by Interra)

The subconsultant scopes are included as Exhibit F. Task 4 – Traffic Studies

The existing traf f ic control will be reviewed at both intersections by conducting classification 24-hour traf f ic counts and traf fic control warrant analysis. Traf f ic counts will be conducted using Miovision cameras. Four-way stop-controlled and traf fic signal controls will be reviewed along with f lashing beacon options to bring attention to the stop-controlled intersection. Task 5 – Geometric Studies

Geometric studies will be necessary to evaluate the shoulder widening by developing cross-sections to identify limits of improvements and impacts to adjacent parcels. The impacts to drain tiles and septic f ields will also be evaluated. Plan and Prof ile sheets will be prepared. The studies will include intersection sight distance evaluation for the intersections of Romke Road and Brier Hill Road with the proposed shoulder widening. The Plank Road corridor includes several No-Passing Zones. These zones will be reviewed and the centerline pavement markings could be revised if necessary. The No Passing Zone signs will be relocated to accommodate the shoulder widening. A Barrier Warrant Analysis and summary memorandum will be prepared to evaluate the guardrail protecting the culvert. Cross-section studies will be conducted to evaluate the shoulder widening and drainage needs for the project. Utility impacts will also be evaluated to identify any ComEd poles that may need to be relocated. Task 6 – Drainage Studies

The Location Drainage Technical Memorandum (LDTM) will be prepared per the IDOT Drainage Manual submittal requirements and the stormwater management requirements of the Kane County Stormwater Ordinance. It will contain a qualitative analysis of the drainage systems, including a brief narrative of existing and proposed drainage conditions, existing and proposed drainage plans, Control Structure Exhibit, Location Drainage Map, FIRM Map, Wetland Exhibit, Water Quality BMP, and Erosion and Sediment Control Data References.

The existing drainage plan will identify drainage problems, base floodplains, ditches, and major drainage features. The proposed drainage plan will involve evaluation of ditches, development of drainage alternatives, stormwater management best management practices (BMPs) for increased impervious areas and identifying required permits. Kimley-Horn will develop a proposed drainage plan to illustrate

Packet Pg. 626


Scope of Services

4

the recommended improvements. Open ditches on either side of the road will be designed to convey the stormwater runof f per IDOT requirements. BMPs will be designed to treat the additional impervious area proposed as part of the project per the Kane County Stormwater Ordinance. The capacity of the existing culvert crossing will be analyzed and compared with the applicable requirements f rom the IDOT drainage manual. The proposed extension of the culvert will also be evaluated to estimate the upstream and downstream impacts of the culvert extension on adjacent property f lood levels. The existing concrete culvert will be evaluated for extension and the headwalls will be evaluated for replacement. The Consultant will evaluate soil conditions and hydraulic requirements to develop recommendations for extending the culvert. Precast culvert sections and headwalls will be evaluated. The Consultant will coordinate with precast culvert suppliers to identify feasible options. Task 7 – Stakeholder Coordination

Kimley-Horn will work with the County to identify key stakeholders that will be included in the coordination of the project. The Consultant team will coordinate and schedule two stakeholder meetings to discuss the proposed improvements. For each meeting, the Consultant will prepare: • Meeting notice • Attendance sheet • Exhibit boards (4) • Meeting summary

For the parcels impacts, letters with exhibits will be prepared and send to parcel owners to coordinate ROW acquisition. Task 8 – Project Development Report (PDR)

The Consultant will prepare the PDR utilizing the standard IDOT BLR&S form for Categorical Exclusion to include exhibits, maps, tables, supplemental documents, and appendices. The Consultant will submit the following documents:

• Two paper copies and one PDF copy of the draf t PDR to County for review. The Consultant will revise the draf t PDR per County comments.

• Two paper copies of the revised draf t PDR to IDOT BLR&S. • One PDF copy of the f inal PDR to County. • Four paper copies of the f inal PDR to IDOT BLR&S.

The f inal PDR to IDOT BLR&S will include revisions to all IDOT BLR&S comments. The cost for developing the PDR will include assembling all required documents, printing, binding, and delivering the reports.

Packet Pg. 627

Sagar.Sonar

Line


Scope of Services

5

Task 9 – Contract Documents

The contract documents will include: A. Plan preparation B. Permits C. Cost estimate D. Specif ications E. Estimate of Time

The contract documents will be prepared in three stages as follows for a State letting.

• Preliminary – 60% (Plans only, County submittal only) • Pref inal – 90% • Final – 100%

A. Plan preparation

The plans will be prepared according the IDOT BLR&S and County standards. A summary of anticipated sheets is as follows:

Sheet Title # of sheets Cover Sheet 1 Index of Sheets / List of Hwy Stds 1 General Notes 1 Summary of Quantities 2 Schedule of Quantities 2 Alignment and Ties 1 Typical Sections 2 Maintenance of Traf f ic (MOT)

MOT Typical Section & Notes 2 MOT-Stage 1 4 MOT-Stage 2 4 MOT Details 4

Removal Sheets 4 Plan and Prof ile 8 Drainage Plan and Prof ile 8 Pavement Marking and Signing Notes 1 Pavement Marking and Signing 4 Structural Plans, Culvert & Headwalls 3 Erosion Control Plan

Notes 1 Stage 1 4 Stage 2 4

Details - Bioswale 1 Details - Outlet Control Structures 2 IDOT Highway Standards 12 Cross Sections 49

Packet Pg. 628


Scope of Services

6

B. Cost Estimate Construction Estimate of Cost will be prepared using form BLR 11510 using current bid tabs for projects of similar size. A cost breakdown of lump-sum items and a breakdown for municipal participation on relevant items will be prepared.

C. Specif ications

Specif ications for project specific items will be prepared. Additional special provisions provided by the County will be included.

D. Permits The preparation of a NPDES SWPPP permit is included in the scope. The project will be designed to meet the Kane County Stormwater Ordinance. A Kane County Stormwater Management Permit application will be prepared. Coordination with U.S. Army Corps of Engineers (USACE) if necessary, will be conducted to obtain a permit. The task will include preparation of a PESA response form.

E. Estimate of Time Required

The Estimate of Time will be prepared using form BDE 220A. Task 10 – Land Acquisition

It is anticipated that 40 parcels along Plank Road will require either a partial take (fee simple) or an easement for implementing the shoulder improvements. HLR will follow IDOT procedures for plat of highways and will provide a plat of highways and legal descriptions for the 40 parcels in conformance with IDOT platting. HLR will complete appraisals and negotiations as described in the attached scope. The Consultant will coordinate the land acquisition with HLR and the tasks will include the following.

• Right-of -way Survey (by HLR) • Appraisals and Review Appraisals (by HLR) • Negotiations (by HLR)

Task 11 – Meetings and Coordination

We anticipate the following meetings: IDOT or County o 2 coordination meetings each for Phase I and Phase II to review project submittals

Kane County o Monthly coordination web meetings to review project status and submittals

It is anticipated that these meetings will be held virtually.

Packet Pg. 629


Scope of Services

7

Task 12 – Administration and Management

The Consultant will perform project management and administration, including project setup, staff and resource scheduling, progress monitoring, monthly invoice and progress reports. As part of the design development process, the Consultant will hold internal coordination meetings with all pertinent team members on an as needed basis. These meetings are necessary to ensure the project budget and schedule stay on track. Discussions at the meetings will include the following topics: individual task progress, critical and open issues, coordination between pertinent disciplines, early identif ication of issues that could negatively af fect project schedules and/or budgets, and issues related to deliverable dates. Task 13 – QA/QC

It is the Consultant’s policy that all deliverables, reports and studies be checked and reviewed under our QC Program to ensure a timely and accurate submittal of deliverables. This process includes review of documents by qualif ied and experienced personnel. At the completion of the study, the Consultant will provide the following to the County:

• CADD f iles • Shape f iles • Utility data • Other project data

Packet Pg. 630


Exhibit B: Project Schedule

Packet Pg. 631

Plank RoadRomke Road to Brier Hill Road, Phase I and IIKane County Division of Transportation

Legend: Consultant Task Kane County Review IDOT Review

Schedule

*

R

F

MilestonesEnvironmental Survey Request Draft PDR C ConstructionPref. Improvement Plan Final PDR R ROW CertifiedEDP Pre-Final PS&E F Federal AuthorizationPDP Final PS&EJurisdictional Determination Design ApprovalEnvironmental Clearances Letting

910

Nov DecTask Description Feb Mar Apr May Jun MarJan FebJul Aug Sep Oct Nov DecJan Feb Mar Apr May JunJul Aug Sep Oct

Project Initiation and Kick-Off

Data Collection and Survey

Traffic Studies

Environmental Studies 1 6 6

Geometric Studies 2

Drainage Studies 3

Stakeholder Coordination

Project Development Report 7 8

Contract Documents (PS&E) 9 10 #

Land Acquisition

Meetings

Project Administration and Management

C

5

4

5 *6 #

2022 2023 2024

2 834

1 7

Packet Pg. 632

11

Exhibit B

Packet Pg. 633

Local Public Agency County Section Number

Consultant (Firm) Name Prepared By Date

CONTRACT TERM 24 MONTHS OVERHEAD RATE 194.77%START DATE 1/3/2022 COMPLEXITY FACTORRAISE DATE 7/1/2022 % OF RAISE 2.00%

END DATE 1/2/2024

Year First Date Last Date Months% of Contract

0 1/3/2022 7/1/2022 6 25.00%1 7/2/2022 7/1/2023 12 51.00%2 7/2/2023 1/1/2024 6 26.01%

The total escalation = 2.01%

ESCALATION PER YEAR

PAYROLL ESCALATION TABLE

EXHIBIT E

COST ESTIMATE OF CONSULTANT SERVICES WORKSHEET

FIXED RAISE

Kane County Division of Transportation Kane County 21-00540-00-SP

Kimley-Horn Sagar Sonar 10/27/2021

Printed 10/27/2021 10:07 PM Page 1 of 7

BLR 05514 (Rev. 02/01/21)Payroll EscalationPacket Pg. 634

Local Public Agency County Section NumberKane County Division of Transp 21-00540-00-SP

MAXIMUM PAYROLL RATE 78.00 ESCALATION FACTOR 2.01%

IDOTCLASSIFICATION PAYROLL RATES CALCULATED RATE

ON FILEPrincipal $76.45 $77.99Project Manager $75.34 $76.85Senior Project Engineer $68.04 $69.41Project Engineer $62.84 $64.10Design Engineer 1 $33.51 $34.18Design Engineer 2 $35.52 $36.23Design Engineer 3 $39.68 $40.48Design Engineer 4 $48.45 $49.42Senior Landscape Architect $68.29 $69.66Senior Designer $43.28 $44.15Designer $36.03 $36.75Admin. Assistant $38.27 $39.04Secretary/Clerical $29.28 $29.87

Exhibit E Cost Estimate of Consultant Services Worksheet Fixed RaisePAYROLL RATES

Kane County


BLR 05514 (Rev. 02/01/21) Payroll Rates

Packet Pg. 635

Local Public Agency County Section NumberKane County Division of Transportation Kane County 21-00540-00-SP

NAME Direct Labor TotalContribution to Prime

Consultant

HLR 40,895.00 4,089.50Interra 6,333.00 633.30Huddleston McBride 7,068.00 706.80

Total 54,296.00 5,429.60

SUBCONSULTANTSExhibit E Cost Estimate of Consultant Services Worksheet Fixed Raise


BLR 05514 (Rev. 02/01/21) Subconsultants

Packet Pg. 636


OVERHEAD RATE 194.77% 0

TASK STAFF HOURS PAYROLL OVERHEAD & FRINGE BENEFITS DIRECT COSTS FIXED FEE SERVICES BY

OTHERS TOTAL % OF GRAND TOTAL

Project Initiation and Kick-Off 24 1,755 3,418 579 5,752 0.71%Environmental Studies 106 4,485 8,735 1,480 14,700 1.82%Data Collection and Topo Survey 50 2,082 4,054 94 687 6,917 0.86%Traffic Studies 33 1,379 2,686 2,254 455 6,774 0.84%Geometric Studies 369 15,213 29,631 5,020 49,864 6.17%Drainage Studies 378 15,443 30,078 5,096 50,617 6.27%Stakeholder Coordination 62 2,858 5,566 134 943 9,501 1.18%Project Development Report 77 3,369 6,561 208 1,112 11,250 1.39%Contract Documents 821 35,048 68,263 118 11,566 114,995 14.24%Land Acquisition 32 1,544 3,007 509 5,060 0.63%Meetings and Coordination 64 4,199 8,179 1,386 13,764 1.70%Administration and Management 78 3,825 7,450 1,262 12,537 1.55%QA/QC 84 6,551 12,759 2,162 21,472 2.66%

- - - - HLR, Inc. - - - 427,922 427,922 52.98%Interra, Inc. - - - 32,472 32,472 4.02%Huddleston McBride Land Drainage Co. - - - 18,695 18,695 2.31%

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

Subconsultant DL 5,430 5,430 0.67%TOTALS 2178 97,751 190,387 2,808 37,687 479,089 807,722 100.00%

288,138

COMPLEXITY FACTOR

Kane County Division of Transportation Kane County 21-00540-00-SP

Exhibit E Cost Estimate of Consultant Services Worksheet Fixed Raise

COST ESTIMATE WORKSHEET


BLR 05514 (Rev. 02/01/21)Cost Estimate WorksheetPacket Pg. 637


AVERAGE HOURLY PROJECT RATES

SHEET 1 OF 3

PAYROLL AVG TOTAL PROJ. RATESHOURLY Hours % Wgtd Hours % Wgtd Hours % Wgtd Hours % Wgtd Hours % Wgtd Hours % Wgtd

CLASSIFICATION RATES Part. Avg Part. Avg Part. Avg Part. Avg Part. Avg Part. AvgPrincipal 77.99 84.0 3.86% 3.01 Project Manager 76.85 156.5 7.19% 5.52 12 50.00% 38.43 10 9.43% 7.25 1 2.00% 1.54 3 9.09% 6.99 14.5 3.93% 3.02Senior Project Engineer 69.41 161.0 7.39% 5.13 12 50.00% 34.70 3 2.83% 1.96 2 4.00% 2.78 24 6.50% 4.51Project Engineer 64.10 0.0 Design Engineer 1 34.18 564.5 25.92% 8.86 37 34.91% 11.93 9.5 19.00% 6.49 4 12.12% 4.14 92 24.93% 8.52Design Engineer 2 36.23 524.5 24.08% 8.73 23 21.70% 7.86 14 28.00% 10.15 18 54.55% 19.76 136 36.86% 13.35Design Engineer 3 40.48 217.0 9.96% 4.03 12 11.32% 4.58 10 20.00% 8.10 4 12.12% 4.91 34 9.21% 3.73Design Engineer 4 49.42 263.5 12.10% 5.98 12 11.32% 5.60 10.5 21.00% 10.38 4 12.12% 5.99 34.5 9.35% 4.62Senior Landscape Architect 69.66 0.0 Senior Designer 44.15 30.0 1.38% 0.61 4 1.08% 0.48Designer 36.75 151.0 6.93% 2.55 9 8.49% 3.12 3 6.00% 2.21 30 8.13% 2.99Admin. Assistant 39.04 26.0 1.19% 0.47 Secretary/Clerical 29.87 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0

TOTALS 2178.0 100% $44.88 24.0 100.00% $73.13 106.0 100% $42.31 50.0 100% $41.63 33.0 100% $41.79 369.0 100% $41.23

Exhibit E Cost Estimate of Consultants Services Worksheet Fixed Raise

21-00540-00-SPKane CountyKane County Division of Transportation

Project Initiation and Kick-Off Environmental Studies

Data Collection and Topo Survey Traffic Studies Geometric Studies

Printed 10/27/2021 10:07 PM Page 5 of 7BLR 05514 (Rev. 02/01/21)

Avg Hourly 1

Packet Pg. 638



SHEET 2 OF 3

PAYROLL AVGHOURLY Hours % Wgtd Hours % Wgtd Hours % Wgtd Hours % Wgtd Hours % Wgtd Hours % Wgtd

CLASSIFICATION RATES Part. Avg Part. Avg Part. Avg Part. Avg Part. Avg Part. AvgPrincipal 77.99 Project Manager 76.85 12 3.17% 2.44 8 12.90% 9.92 4 5.19% 3.99 47 5.72% 4.40 4 12.50% 9.61 28 43.75% 33.62Senior Project Engineer 69.41 16 4.23% 2.94 8 12.90% 8.96 6 7.79% 5.41 55 6.70% 4.65 4 12.50% 8.68 18 28.13% 19.52Project Engineer 64.10 Design Engineer 1 34.18 120 31.75% 10.85 24 38.71% 13.23 26 33.77% 11.54 214 26.07% 8.91 8 25.00% 8.55 6 9.38% 3.20Design Engineer 2 36.23 84 22.22% 8.05 9 14.52% 5.26 20.5 26.62% 9.65 212 25.82% 9.36 8 25.00% 9.06 Design Engineer 3 40.48 53 14.02% 5.68 104 12.67% 5.13 Design Engineer 4 49.42 53 14.02% 6.93 5 8.06% 3.99 20.5 26.62% 13.16 104 12.67% 6.26 8 25.00% 12.36 12 18.75% 9.27Senior Landscape Architect 69.66 Senior Designer 44.15 4 1.06% 0.47 20 2.44% 1.08 Designer 36.75 36 9.52% 3.50 8 12.90% 4.74 65 7.92% 2.91 Admin. Assistant 39.04 Secretary/Clerical 29.87

TOTALS 378.0 100% $40.85 62.0 100% $46.09 77.0 100% $43.75 821.0 100% $42.69 32.0 100% $48.24 64.0 100% $65.62


Kane County 21-00540-00-SPKane County Division of Transportation

Meetings and CoordinationDrainage Studies Stakeholder CoordinationProject Development

Report Contract Documents Land Acquisition


Avg Hourly 2

Packet Pg. 639



SHEET 3 OF 3


CLASSIFICATION RATES Part. Avg Part. Avg Part. Avg Part. Avg Part. Avg Part. AvgPrincipal 77.99 84 100.00% 77.99 Project Manager 76.85 13 16.67% 12.81 Senior Project Engineer 69.41 13 16.67% 11.57 Project Engineer 64.10 Design Engineer 1 34.18 24 30.77% 10.52 Design Engineer 2 36.23 Design Engineer 3 40.48 Design Engineer 4 49.42 Senior Landscape Architect 69.66 Senior Designer 44.15 2 2.56% 1.13 Designer 36.75 Admin. Assistant 39.04 26 33.33% 13.01 Secretary/Clerical 29.87

TOTALS 78.0 100% $49.04 84.0 100% $77.99 0.0 0% $0.00 0.0 0% $0.00 0.0 0% $0.00 0.0 0% $0.00


21-00540-00-SPKane CountyKane County Division of Transportation

Huddleston McBride Land Drainage Co.

Administration and Management QA/QC HLR, Inc. Interra, Inc.


BLR 05514 (Rev. 02/01/21) Avg Hourly 3Packet Pg. 640

Plank RoadRomke Road to Brier Hill RoadKane County

Direct Cost Estimate

IN-HOUSE DIRECT COST

OUTSIDE DIRECT COST

TOTAL DIRECT COST

1 Project Initiation and Kick-off (Virtual)PRINTING

NoneTRAVEL

None (Virtual)SUBTOTALS = $0.00 $0.00 $0.00

3 Data Collection and Topo SurveyTRAVEL

Mileage-2 trips x 84 miles x $0.56/mile $94.08SUBTOTALS = $94.08 $0.00 $94.08

4 Traffic StudiesTRAVEL

Mileage-2 trips x 84 miles x $0.56/mile $94.08MIOVISION TRAFFIC COUNTS

2 intersections, 24 hrs, $45/hr $0.00 $2,160.00SUBTOTALS = $94.08 $2,160.00 $2,254.08

7 Stakeholder CoordinationPRINTING

4 boards per meeting @ $5 / board, 2 meetings $40.00TRAVEL

Mileage-2 trips x 84 miles x $0.56/mile $94.08SUBTOTALS = $134.08 $0.00 $134.08

8 Project Development Report (Categorical Exclusion)PROJECT REPORT

DRAFT $104.00400 pages x 0.13 per page x 2 sets

SUBMITTAL $104.00400 pages x 0.13 per page x 2 sets

SUBTOTALS = $208.00 $0.00 $208.009 Contract Documents

PRINTINGPrefinal Specs 3x50 sheets x1 8.5x11 B&W @ $0.10/sheet 15Prefinal Plans 3x125 sheets x1 11x17 B&W @ $0.13/sheet 48.75Final Specs 50 sheets x1 8.5x11 B&W @ $0.10/sheet 5Final Plans 3x125 sheets x1 11x17 B&W @ $0.13/sheet 48.75

SUBTOTALS = $117.50 $0.00 $117.5011 Meetings and Coordination

PRINTINGNone

TRAVELNone (Virtual)

SUBTOTALS = $0.00 $0.00 $0.00

TOTALS = $647.74 $2,160.00 $2,807.74

TASK & DESCRIPTION

1Packet Pg. 641


Exhibit E: Workhour Summary

Packet Pg. 642

Plank RoadRomke Road to Brier Hill RoadKane County Division of Transportation

Work-hour Estimate

Work hours QC Project

ManagerProject

Engineer

Design Engineer

III/IV

Design Engineer II

Design Engineer I

Drainage Engineer Accounting CADD Graphics

1 Project Initiation and Kick-off (Virtual)Kane County Kick-off Meeting-Phase 1 (2 staff x 3 hrs x 1 meeting) 6 3 3Kane County Kick-off Meeting-Phase 2 (2 staff x 3 hrs x 1 meeting) 6 3 3IDOT Kick-off Meeting-Phase 1 (2 staff x 3 hrs x 1 meeting) 6 3 3IDOT Kick-off Meeting-Phase 2 (2 staff x 3 hrs x 1 meeting) 6 3 3

SUBTOTALS = 24 0 12 12 0 0 0 0 0 0 0

2 Environmental StudiesEnvironmental Survey Request

Prepare ESR sheet, 8 sheets at 8 hrs/sheet, 50 scale 64 2 2 8 12 32 8Prepare location map, USGS, and Wetland Inventory map 8 4 4Prepare shape files 2 2Complete ESR form and submit request 4 1 2 1

PESA (by HLR) 2 1 1PSI (by HLR) 2 1 1Wetland delineation and report (by HLR) 2 1 1Jurisdictional Determination and WIE submittal 12 2 4 4 2NRCS/CPA106 8 1 4 2 1CCDD (by Interra) 2 1 1

SUBTOTALS = 106 0 10 3 24 23 37 0 0 9 0

3 Data Collection and Topo SurveyData Collection from Agencies

County GIS, aerials, land use, School, Park, Fire and Sanitary Districts, Village standards, Park district, etc. 1 1.5 1

Site visit and plan check 16 4 4 4 4Utility coordination 18 8 8 2Topographic Survey (by HLR) 4 0.5 0.5 0.5 0.5 2Drain tile and septic field survey (by Huddleston McBride) 4 0.5 0.5 2 1Soil borings and geotech report (by Interra) 4 0.5 1 2 0.5

SUBTOTALS = 50 0 1 2 15.5 14 9.5 5 0 3 0

4 Traffic Studies17 1 4 8 48 1 2 58 1 2 5

SUBTOTALS = 33 0 3 0 8 18 4 0 0 0 0

5 Geometric Studies8 0.5 0.5 1 6

18 1 1 2 6 816 1 2 4 6 1 2128 4 8 40 40 20 16195 8 12 24 80 56 15

Typical sections1 Ex and 1 Pr typical sections x 2 hrs/section 0.5 0.5 2 1

SUBTOTALS = 369 0 14.5 24 67.5 136 92 1 0 34 0

6 Drainage Studies130 4 4 10 24 40 32 16218 4 4 24 50 80 32 2430 4 8 8 10

SUBTOTALS = 378 0 12 16 42 84 120 64 0 40 0

7 Stakeholder CoordinationSchedule 2 meetings, prepare attendance sheets 2 1 1Prepare meeting exhibit boards (4) 12 2 2 8Attend meetings (1 staff x 4 hrs x 2 meetings) 8 4 4Prepare ROW letters, 40 parcels 40 2 2 4 8 24

SUBTOTALS = 62 0 8 8 5 9 24 0 0 0 8

Intersection sight distance analysis, 2 intersections

Barrier warrant analysis and reportNo passing zones review (3 zones, 6 hrs per zone)

Existing Drainage Plan

Concrete Culvert Evaluation

Cross-Sections (195 at 1 hr/section)

Proposed Drainage Plan

Traffic counts and data processing (24-hrs, 2 intersections)Traffic warrant analysis (2 intersections, 2 alternatives)Traffic control alternatives

Plan & Profile, 8 sheets, 16 hrs/sht

TASK & DESCRIPTION

4

0.54

1 Packet Pg. 643

Plank RoadRomke Road to Brier Hill RoadKane County Division of Transportation

Work-hour Estimate

Work hours QC Project

ManagerProject

Engineer

Design Engineer

III/IV

Design Engineer II

Design Engineer I

Drainage Engineer Accounting CADD GraphicsTASK & DESCRIPTION

8 Project Development Report (Categorical Exclusion)Prepare Draft Project Development Report

Compile exhibits, correspondence/documentation, and supplements 10 1 1 4 4Write report, proofread, and edit 36 2 2 8 8 16Combine Draft PDR into Portable Document Format (PDF) 1 0.5 0.5Print, bind, and deliver copies of the Draft PDR 2 1 1

Prepare Final Project Development ReportIncorporate stakeholder meetings information 5.5 0.5 1.5 1.5 2Address comments from draft report and revise exhibits 17.5 1 0.5 4 4 8Revise PDF of PDR and provide bookmarks 2.5 1.5 0.5 0.5Printing, binding and delivery Print, bind, and deliver four copies of the Final PDR 0.5 1 1

SUBTOTALS = 77 0 4 6 20.5 20.5 26 0 0 0 0

9 Contract DocumentsPlans 721 40 48 120 196 200 32 80 5Permits 48 2 2 18 8 2 16Cost estimate 24 2 2 8 4 6 2Specifications 24 2 2 8 4 6 2Estimate of Time 4 1 1 2

SUBTOTALS = 821 0 47 55 156 212 214 52 0 80 5

10 Land AcquisitionPlats/Legals, Appraisal and Negotiations - 40 parcels (by HLR) 32 4 4 8 8 8

SUBTOTALS = 32 0 4 4 8 8 8 0 0 0 0

11 Meetings and CoordinationProject review meetings (2 Phase I and 2 Phase II)

Coordination meetings, 4 meetings, 2 staff at 1 hours / meeting 8 4 4BDE/FHWA meeting

1 meeting, 2 staffCounty coordination, virtual, 24 meetings , 2 staff at 0.5 hrs/meeting 24 12 6 6Subconsultant coordination 24 8 8 8

SUBTOTALS = 64 0 28 18 12 0 6 0 0 0 0

12 Administration and ManagementProject Setup 6 1 1 2 2Administration (3 hrs/month x 24 months) 72 12 12 24 24

SUBTOTALS = 78 0 13 13 0 0 24 0 26 2 0

13 QA/QCReview of milestone submittals - 4 % of total hours 84 84

SUBTOTALS = 84 84 0 0 0 0 0 0 0 0 0

TOTAL = 2178.0 84 156.5 161 358.5 524.5 564.5 122 26 168 13

8 4 4

2.5

2 Packet Pg. 644

Printed 10/27/2021 Page 1 of 2 D1 PD0021 (11/24/14)

Location Drainage Study Drainage Engineering Work Hour Summary

Project Route: Plank Road

Project Limits: Romke Road to Brier Hill Road

County: Kane

State Job Number:

Local Agencies: Kane County

Number of Agencies: 2 Identif ied Drainage Problems: 0 Number of Outlets: 8 Drainage Districts: 0

Number of FPE’s 0 Total 0 Transverse 0 Longitudinal Number of Floodways 0 Total 0 Transverse 0 Longitudinal Major Drainage Features: 0 Bridges 1 Major Culvert Crossings 0 Pump Stations

0 Reservoirs/Detention Facilities 0 Subway 0 Channels

Length: Mainline Plank Road: 1.65 miles

Cross Sts Brier Hill Rd and Romke Rd: 1,200’ N and 1,200’ S

Interchanges 0

Total Length (All of Above) 2.6 miles

Packet Pg. 645

Printed 10/27/2021 Page 2 of 2 D1 PD0021 (11/24/14)

ITEM WORK HOURS EXISTING DRAINAGE SYSTEM

General Location Drainage Map 4 Existing Drainage Plan Field Check: 1 day x 2 people x 8 MH 12 sheets x 10 MH (50 scale)

120

Identif ied Drainage Problems 2 Identif ied Base Floodplains Prepare FEMA FIRM Exhibit

0

Major Drainage Features 4 EDP Sub-Total: 130

PROPOSED DRAINAGE SYSTEM

Design Criteria 2 Outlet Evaluation 8 outlets x 2 MH

16

Storm Water Detention Analysis 8 outlets x 0 MH (assume no detention)

0

Right of Way Analysis 175 cross sections x 0.05 MH/section

8

Drainage Alternatives, Culvert 4 Local and Other Agency Coordination 2 meetings x 2 people x 3 MH

12

Proposed Drainage Plan 12 sheets x 8 MH (Scope includes drainage cross sections and ditch analysis)

96

Floodplain Encroachment Evaluation 0 IDNR-OWR Permit 0 Water Quality/BMP 8 outlets x 5 MH

40

LDTM Study Assembly 40 Quality Control/Quality Assurance Incl. in CECS Contract Administration and Billing Incl. in CECS PDP Sub-total: 218

TOTAL WORK HOURS 348

Packet Pg. 646

Plank RoadRomke Road to Brier Hill RoadKane County

Contract Documents

Project Length 20 Scale 550 feet/shtPlank Road 8712 50 Scale 1,200 feet/shtIntersections 2 100 Scale 2,400 feet/sht

Sheet Title # of sheets Hrs/sheet Total Hrs Scale Comment

Cover Sheet 1 8 8 NTSIndex of Sheets / List of Hwy Stds 1 4 4 NTSGeneral Notes 1 8 8 NTSSummary of Quantities 2 8 16 NTSSchedule of Quantities 2 8 16 NTSAlignment and Ties 1 8 8 NTSTypical Sections 2 8 16 NTSMaintenance of Traffic (MOT)

MOT Typical Section & Notes 2 8 16 NTSMOT-Stage 1 4 8 32 1:50 Double plan viewMOT-Stage 2 4 8 32 1:50 Double plan viewMOT Details 4 1 4 NTS

Removal Sheets 4 12 48 1:50 Double plan viewPlan and Profile 8 12 96 1:50Drainage Plan and Profile 8 12 96 1:50Pavement Marking and Signing Note 1 8 8 1:50Pavement Marking and Signing 4 8 32 1:50 Double plan viewStructural Plans, Culvert and headwa 3 20 60 1:50 Includes detailsErosion Control Plan

Notes 1 8 8 NTSStage 1 4 8 32 1:50 Double plan viewStage 2 4 8 32 1:50 Double plan view

Details - Bioswale 1 8 8 NTS Typical bioswale detailDetails - Outlet Control Structures 2 20 40 NTS 10 Structures, 4 hrs/structureIDOT Highway Standards 12 0.25 3 NTSCross Sections 49 2 98 NTS Every 50' plus critical locations

4 sections per sheetTotal 125 721

PermitsSWPPP 16

Stormwater Management Permit 16USACE Permit 16

Quantities and Cost estimate 24Specifications 24Estimate of Time 4

Total 821

Packet Pg. 647


Exhibit F: Subconsultant CECS and Direct Costs

Packet Pg. 648


HLR, Inc.

Packet Pg. 649

Hampton, Lenzini and Renwick, Inc. Civil Engineers • Structural Engineers • Land Surveyors • Environmental Specialists

www.hlrengineering.com

_______________________________________________________________________________________________________________

380 Shepard Drive 1401 Timber Drive, Unit 1 Elgin, Illinois 60123-7010 Tel. 847.697.6700 Fax 847.697.6753

380 N. Terra Cotta Road Unit G Crystal Lake, Illinois 60014 Tel. 847.697.6700 Fax 847.697.6753

3085 Stevenson Drive Suite 201 Springfield, Illinois 62703 Tel. 217.546.3400 Fax 217.546.8116

323 West 3rd Street P.O. Box 160 Mt Carmel, Illinois 62863 Tel. 618.262.8651 Fax 618.263.3327

Plank Road (Romke to Brier Hill Road) Environmental and Survey Scope

Task 1: Wetland Delineation

HLR will conduct a map review of the project. The following maps and documents will be reviewed prior to conducting the field investigation:

• U.S. Geological Survey Topographic Maps • National Wetlands Inventory Maps • Kane County ADID Wetland Maps • USDA Soil Survey • Hydric Soils of the United States • Regulatory Flood Map • Kane-DuPage Soil and Water Conservation District Farm Service Agency Aerials

It appears from a cursory map review that there are two wetlands and one creek crossing mapped in the project area on the Kane County ADID Wetland and National Wetland Inventory Maps. No high-quality wetlands or floodplains are mapped within the project limits. HLR will perform a formal wetland delineation of the proposed project area.

The wetland delineation will be conducted to meet the requirements of Executive Order 11990, "Protection of Wetlands", Section 404 of the Federal Water Pollution Control Act as amended by the Clean Water Act (Corps of Engineers, Section 404 Permit), and Illinois Environmental Protection Agency (IEPA Section 401 Guidelines) regulations. These regulations pertain to the placement of fill or alterations of drainage within wetlands of any type and apply to private as well as publicly owned wetlands. The investigation will meet the requirements of these regulations by identifying the type, functions, and boundary of the involved wetlands.

"Wetlands" are defined by the U.S. Army Corps of Engineers (USACE) for jurisdictional purposes as "those areas that are inundated or saturated by surface or groundwater at a frequency and duration sufficient to support, and that under normal circumstances do support, a prevalence of vegetation typically adapted for life in saturated soil conditions" (33 CFR 323.3(c)).

The field investigation will be conducted by our environmental personnel who are experienced in Federal methods for conducting wetland delineations. Our staff will classify and define hydric soils, hydrophytic vegetation, and evidence of hydrology to determine if wetlands are present. The wetland perimeter (s) will be staked and surveyed. Wetland boundary stake locations will be surveyed using a handheld Trimble R1 GNSS receiver.

Wetlands found will be classified according to type using the "Classification of Wetlands and Deep Water Habitats of the United States" by Cowardin. Wetland boundaries will be defined in accordance

Packet Pg. 650

Plank Road Environmental and Survey Scope Page 2 10/13/21 with the Corps of Engineers Wetlands Delineation Manual: Midwest Region. This includes a soil investigation to determine the presence or absence of hydric soils and an analysis of the dominant plant species. Field observations will be made on any evidence indicating the hydrology of the area and on water sources that are supporting these wetlands. Functions of these wetlands will be evaluated from field observations.

A wetland delineation letter report will be prepared summarizing the findings of the fieldwork. Included in the report will be the required wetland delineation data sheets that summarize the findings of the field investigation as well as figures that detail the maps reviewed and current wetland boundaries of the site.

Task 2A: Special Waste Screening

From a preliminary mapping review, there are no Leaking Underground Storage Tanks, Brownfields, landfills, or Federal RCRA Sites within 0.5 mile of the project limits. There are two oil or gas pipelines within the project area, at the western end owned by Enbridge Energy. Enbridge Energy has its Burlington Station located adjacent to the project area, where a leak occurred in 2014.

HLR will conduct a special waste screening. If the Level 1, 2, or 3 special waste screening indicates evidence of recognized environmental conditions, then the County will authorize the preparation of a PESA. Based on our preliminary review we would anticipate needing to complete a Preliminary Environmental Site Assessment.

Task 2B: Preliminary Environmental Site Assessment

This scope includes completing a Preliminary Environmental Site Assessment. The PESA will be prepared using historical and geological information. The specific methods used to conduct the assessment are contained in 1) ASTM Standards E1527-13, 2) A Manual for Conducting Preliminary Environmental Site Assessments for Illinois Department of Transportation Highway Projects (Erdmann et al., 2012), 3) Special Wastes Procedures for Local Highway Improvements (IDOT Local Roads Manual, July 22, 2004), and 4) “IDOT Bureau of Design and Environment Manual (BDE Manual), Section 27-3.03 (b), October 2015). The PESA will include a database search, review of historical records, an on-site evaluation, and review of other project conditions that may give us insight into the existing environmental conditions along the route.

Once the review has been completed, a written report will be completed and submitted as documentation to the on-site analysis. This report will accompany various site photographs, maps, and the above referenced documentation, which will be utilized to assist the project evaluation and any applicable recommendations.

Task 2C: Preliminary Environmental Site Assessment Update

The Preliminary Environmental Site Assessment (PESA) is valid for a period of 6 months, we may need to update the initial PESA completed for this project. This will include ordering the environmental database record, conducting a site visit and completing a written PESA update as an addendum to the original report.

Task 2D: Preliminary Site Investigation (PSI)

PESA reports are valid for 6 months. We anticipate that a PESA update may be required due to the schedule of the project. HLR will complete a Preliminary Site Investigation, including Soil Sampling and Laboratory Analysis for this project. At each PIP location we propose a minimum of 1 soil boring and 1 sample analyzed for VOCs, Semi-VOCs, PNAs, RCRA Metals, PCBs and pH.

Packet Pg. 651

Plank Road Environmental and Survey Scope Page 3 10/13/21 HLR will be responsible for:

• Obtaining a permit to drill in the right-of-way • Locating and clearing underground utilities (public and private locate)

• Collecting soil samples and screening for volatile organics with a photoionization detector (PID)

• Submitting soil samples to Illinois NELAP-accredited laboratory using proper chain-of-custody procedures. • Analyzing soil samples for VOCs, SVOCs, PNAs, RCRA Metals, PCBs, and pH. Additional TCLP analysis shall

be performed on inorganics as needed, which is an additional costs.

• Collecting contingency sample for Subtitle D landfill waste characterization analysis and completing waste disposal facility profiling, if needed.

We will prepare a PSI Report to document the findings of the investigation. The report will include a narrative of the field investigation, boring logs, figures with sample locations, data tables and laboratory analytical reports, and estimate of the quantity of impacted soil. Direct costs include $7,200 laboratory analysis (8 samples at $900) and $4,000 for driller cost which includes traffic control.

Task 3: Field Survey

HLR will prepare a topographic survey for the project limits which spans from Romke Road plus 200 feet west to Brier Hill Road plus 200 feet east on Plank Road. The work will include cross sections on 50-foot intervals along both sides of Plank Road from edge of pavement to 20 feet beyond existing right-of-way. HLR will locate visible utilities which will include inverts of storm and sanitary structures along with top of watermain in valve vaults. The existing centerline of Plank Road will be located as need to provide data to establish the centerline. The survey will locate trees 8” and greater in the survey area. The survey data will be in IL State Plane Coordinates East Zone NAD 83, and NAVD 88 vertical datum. We will establish accurate horizontal control points and benchmarks for use in construction.

Task 4: Survey Right of Way Verification. There are 40 individual parcels that adjoin the Plank Road project limits. For this task, monumentation search for parcel corners and Right of Way changes will be limited to monuments along the Plank Road ROW, its intersections and apparent changes in ROW. A point file of found monuments will be provided. Existing Plats of Highway or Dedications provided to the surveyor will be incorporated. Individual property lot lines and associated distance dimensions from County GIS shape files can be referenced. HLR will provide a center line alignment constructed via existing pavement split in tangent areas and best fit curves between tangents. Parcel boundary determinations will be sufficient for Plat of Survey.

Packet Pg. 652

Plank Road Environmental and Survey Scope Page 4 10/13/21 Tasks not included in Task 2 Survey Right of Way verification: Individual parcel property lines. Research or costs to obtain Deeds, Title, Subdivision and Plat of Highway. Platting or calculation work of Private ownership parcels or recorded documents. Section line determinations.

Task 5 – Land Acquisition

Right-of-way Survey

Survey work for plat of highways along Plank Road will included establishing exist right-of-way in the area outlined in the KMZ file provided by the client. It is anticipated that 40 parcels will require either a partial take or easements. HLR will follow IDOT procedures for plat of highways and will provide a plat of highways and legal descriptions for the 40 parcels in conformance with IDOT platting.

HLR has not included acquiring title reports for the 40 parcels in the survey costs.

Appraisals and Review Appraisals

The appraisal scope includes the following:

Estimate the compensation to be paid by the KDOT to individual property owners for the rights to be acquired by KDOT for each of the road improvement projects.

The reports will be prepared in compliance with the Uniform Standards of Professional Appraisal Practice (USPAP). The reports will be presented in accordance with and are intended to comply with the reporting requirements as set forth in Standard 2-2. Supporting documentation will either be included in the report as addenda exhibits or held in our work files. The depth of discussion in the report will be specific to your needs.

The definition of market value to be used in this report is the definition cited below.

The fair cash market value of a property in an eminent domain proceeding is that price which a willing buyer would pay in cash, and a willing seller would accept, when the buyer is not compelled to buy and the seller is not compelled to sell. In the condemnation of a property for a public improvement, any appreciation or depreciation in value caused by the contemplated improvement shall be excluded from the consideration of the fair cash market value of the whole property and the value of the part taken. (Illinois Pattern Jury instructions)

In the event of a partial acquisition where there is a remainder property, any appreciation or depreciation caused by the contemplated improvement shall be considered when determining the fair cash market value of the remainder. Any increase or decrease in value caused by the actual acquisition of a part of the property must be considered in estimating the value of the remainder after taking.

Research will be completed to identify appropriate market data.

Information will be obtained from public sources, private sources including my files, county and township records. When possible, information will be verified by someone directly involved in the sale. At a minimum, sales will be verified by the assessor’s office.

Packet Pg. 653

Plank Road Environmental and Survey Scope Page 5 10/13/21 The Jurisdictional Exception Rule of USPAP is not used. The report will comply with all of the

requirements of the Uniform Standards of Professional Appraisal Practice. There is no need for use of the Jurisdictional Exception Rule.

The appraisal reports and appraisal reviews will be completed by Illinois Certified General Appraisers who are on the approved IDOT Appraiser list.

Cost - $3,900/parcel ($2,600 for appraisal and $1,300 for review appraisal)

Negotiations

The negotiations scope includes the following:

The negotiator will personally contact the property owner(s) and offer to meet in-person to discuss the project and the acquisition process.

The negotiator will personally present the approved fair market value of the property (offer to purchase) to the property owner(s).

The negotiator will document all efforts in the Negotiator’s Report which shall contain the names and addresses of all interested parties, and if necessary, a recommendation for further action. The negotiator shall maintain and submit this completed report to the Client upon request.

The negotiator will review title exceptions and obtain “clear” title.

The negotiator will obtain proper documentation to secure an adequate interest for the purpose for which it is being acquired.

The negotiator will be available to meet with Client personnel regarding status.

The negotiator’s files will be available for review by the Client.

Negotiations will be performed in compliance with IDOT Land Acquisition Policies and Procedures.

Negotiation services will include obtaining right-of-way certification by IDOT, if required.

Cost - $3,500/parcel

Packet Pg. 654



CONTRACT TERM 15 MONTHS OVERHEAD RATE 160.00%START DATE 1/3/2022 COMPLEXITY FACTOR 0RAISE DATE 1/2/2022 % OF RAISE 2.00%

END DATE 4/2/2023

Year First Date Last Date Months% of Contract

0 1/3/2022 1/2/2022 0 0.00%1 1/3/2022 1/2/2023 12 81.60%2 1/3/2023 4/2/2023 3 20.81%


ESCALATION PER YEAR


EXHIBIT E


FIXED RAISE

Kane County Division of Transportation Kane

Hampton, Lenzini and Renwick, Inc. Erica Spolar 10/11/2021


BLR 05514 (Rev. 02/01/21)Payroll EscalationPacket Pg. 655

Local Public Agency County Section NumberKane County Division of Transp

MAXIMUM PAYROLL RATE 78.00 ESCALATION FACTOR 2.41%

IDOTCLASSIFICATION PAYROLL RATES CALCULATED RATE

ON FILEEngineer 6 $62.50 $64.01Engineer 5 $52.36 $53.62Engineer 4 $46.65 $47.77Engineer 3 $42.00 $43.01Engineer 2 $35.75 $36.61Engineer 1 $27.55 $28.21Structural 2 $69.50 $71.17Structure 1 $54.75 $56.07Survey 2 $45.00 $46.08Survey1 $35.50 $36.35Environmental 2 $45.33 $46.42Environmental 1 $25.38 $25.99Technician 3 $40.30 $41.27Technician 2 $28.19 $28.87Technician 1 $22.29 $22.83Administration 2 $44.72 $45.80Administration 1 $23.10 $23.66

Exhibit E Cost Estimate of Consultant Services Worksheet Fixed RaisePAYROLL RATES

Kane


BLR 05514 (Rev. 02/01/21) Payroll Rates

Packet Pg. 656



TASK STAFF HOURS PAYROLL OVERHEAD & FRINGE BENEFITS DIRECT COSTS FIXED FEE SERVICES BY

OTHERS TOTAL % OF GRAND TOTAL

Wetland Delineation 56 1,712 2,739 565 5,016 1.17%Special Waste Screening 19 712 1,139 100 235 2,186 0.51%PESA (If needed) 54 1,978 3,164 400 653 6,195 1.45%PESA Update (if needed) 25 912 1,459 400 301 3,072 0.72%PSI (if needed) 59 2,331 3,730 769 11,200 18,030 4.21%Field Survey 138 4,407 7,052 1,454 12,913 3.02%ROW Verification 64 2,391 3,826 789 7,006 1.64%Plats and Legals (40 parcels) 704 26,452 42,323 8,729 77,504 18.11%Appraisals and Review Appraisals (40 parcels) - - - 156,000 156,000 36.46%Negotiations (40 parcels) - - - 140,000 140,000 32.72%

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

Subconsultant DL 0 - TOTALS 1119 40,895 65,432 900 13,495 307,200 427,922 100.00%

106,327

COMPLEXITY FACTOR





BLR 05514 (Rev. 02/01/21)Cost Estimate WorksheetPacket Pg. 657



SHEET 1 OF 2

PAYROLL AVG TOTAL PROJ. RATESHOURLY Hours % Wgtd Hours % Wgtd Hours % Wgtd Hours % Wgtd Hours % Wgtd Hours % Wgtd

CLASSIFICATION RATES Part. Avg Part. Avg Part. Avg Part. Avg Part. Avg Part. AvgEngineer 6 64.01 0.0 Engineer 5 53.62 0.0 Engineer 4 47.77 0.0 Engineer 3 43.01 0.0 Engineer 2 36.61 117.0 10.46% 3.83 12 63.16% 23.12 45 83.33% 30.51 20 80.00% 29.29 40 67.80% 24.82Engineer 1 28.21 0.0 Structural 2 71.17 0.0 Structure 1 56.07 0.0 Survey 2 46.08 412.0 36.82% 16.97 Survey1 36.35 0.0 Environmental 2 46.42 38.0 3.40% 1.58 12 21.43% 9.95 4 21.05% 9.77 4 7.41% 3.44 2 8.00% 3.71 16 27.12% 12.59Environmental 1 25.99 40.0 3.57% 0.93 40 71.43% 18.57 Technician 3 41.27 51.0 4.56% 1.88 3 5.08% 2.10Technician 2 28.87 363.0 32.44% 9.36 4 7.14% 2.06 3 15.79% 4.56 5 9.26% 2.67 3 12.00% 3.46 Technician 1 22.83 98.0 8.76% 2.00 Administration 2 45.80 0.0 Administration 1 23.66 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0

TOTALS 1119.0 100% $36.55 56.0 100.00% $30.57 19.0 100% $37.45 54.0 100% $36.62 25.0 100% $36.47 59.0 100% $39.51


KaneKane County Division of Transportation

Wetland Delineation Special Waste Screening PESA (If needed) PESA Update (if needed) PSI (if needed)


Avg Hourly 1

Packet Pg. 658



SHEET 2 OF 2


CLASSIFICATION RATES Part. Avg Part. Avg Part. Avg Part. Avg Part. Avg Part. AvgEngineer 6 64.01 Engineer 5 53.62 Engineer 4 47.77 Engineer 3 43.01 Engineer 2 36.61 Engineer 1 28.21 Structural 2 71.17 Structure 1 56.07 Survey 2 46.08 16 11.59% 5.34 40 62.50% 28.80 356 50.57% 23.30 Survey1 36.35 Environmental 2 46.42 Environmental 1 25.99 Technician 3 41.27 48 34.78% 14.35 Technician 2 28.87 348 49.43% 14.27 Technician 1 22.83 74 53.62% 12.24 24 37.50% 8.56 Administration 2 45.80 Administration 1 23.66

TOTALS 138.0 100% $31.94 64.0 100% $37.36 704.0 100% $37.57 0.0 0% $0.00 0.0 0% $0.00 0.0 0% $0.00


Kane Kane County Division of Transportation

Field Survey ROW VerificationPlats and Legals (40

parcels)Appraisals and Review Appraisals (40 parcels) Negotiations (40 parcels)


Avg Hourly 2

Packet Pg. 659



SHEET 3 OF 2


CLASSIFICATION RATES Part. Avg Part. Avg Part. Avg Part. Avg Part. Avg Part. AvgEngineer 6 64.01 Engineer 5 53.62 Engineer 4 47.77 Engineer 3 43.01 Engineer 2 36.61 Engineer 1 28.21 Structural 2 71.17 Structure 1 56.07 Survey 2 46.08 Survey1 36.35 Environmental 2 46.42 Environmental 1 25.99 Technician 3 41.27 Technician 2 28.87 Technician 1 22.83 Administration 2 45.80 Administration 1 23.66

TOTALS 0.0 0% $0.00 0.0 0% $0.00 0.0 0% $0.00 0.0 0% $0.00 0.0 0% $0.00 0.0 0% $0.00


KaneKane County Division of Transportation


BLR 05514 (Rev. 02/01/21) Avg Hourly 3Packet Pg. 660


Interra, Inc.

Packet Pg. 661

600 Territorial Drive, Suite G Bolingbrook, IL 60440

p: 630-754-8700 f: 630-754-8705

Page No. 1 www.interraservices.com

10/27/2021

Mr. Sagar R. Sonar, PE Kimley-Horn 4201 Winfield Road, Ste. 6000 Warrenville, IL 60555

Proposal Geotechnical Subsurface Soil Exploration

Environmental Sampling & Analytical Testing Plank Road

From Romke to Brier Hill Kane County, Illinois

Dear Mr. Sonar:

Interra, Inc. (INTERRA) is pleased to submit this cost estimate to perform Subsurface soil

exploration, pavement coring and associated laboratory testing for the above referenced

roadway in Kane County, Illinois. We understand that the proposed improvements will consist of

shoulder widening along existing roadway.

Proposed Scope of Work

Geotechnical Scope of Work includes locating and obtaining a total of Eleven (11) soil borings in

the existing shoulder areas and Six (6) Pavement Cores. The soil borings will be drilled to a depth

of 6 feet each.

Environmental Scope of Work includes review of site historical documents to identify potentially

impacted properties (PIPs) within the right of way and vicinity. A total of 6 samples will be

collected for analytical testing for developing soil management options.

Field Work

The borings will be located in the field by INTERRA. The location of the borings will be adjusted

Packet Pg. 662


p: 630-754-8700 f: 630-754-8705


based on field conditions, accessibility and utility conflicts. Traffic control signage and shoulder

lane closures will be utilized during drilling, as needed in accordance with IDOT regulations to

ensure safety of the crew and traffic. Surface elevations of the boreholes will be surveyed by the

client’s project surveyor or interpreted from existing plans and surveys.

The borings will be drilled by INTERRA’s drilling subcontractor Geocon Professional Services, LLC

(GEOCON) with a truck-mounted drill rig. Soil sampling in the borings will be performed in

general accordance with American Society for Testing and Materials (ASTM) standards, D 1586

“Penetration Test and Split Barrel Sampling of Soils”. Observation for groundwater will be made

during and immediately after the completion of the drilling. Collection of 24-hour water levels is

not included in the scope of work. Unconfined compressive strength tests will be performed on

all cohesive soil samples in the field using a RIMAC tester.

Environmental soil sample selection and analytical parameters will be based on findings of

historical document review, Photoionization detector (PID) readings and visual observations. The

samples will be collected and transported to a NELAC accredited laboratory for analytical testing.

After the completion of the drilling, the boreholes will be backfilled with the soil auger cuttings

from the same borehole. Where required, the surface will be patched with asphalt or cement

grout to match surrounding elevations.

Laboratory Work

Geotechnical Laboratory testing of soil samples will be performed by INTERRA. Moisture content

tests will be performed on all recovered soil samples at INTERRA’s Bolingbrook, Illinois

laboratory.

Analytical testing will be subcontracted to a NELAC accredited laboratory.

Report

After completion of laboratory testing, a Roadway Geotechnical Report (RGR) will be prepared in

general accordance with IDOT Geotechnical Manual, 2020.

Packet Pg. 663


p: 630-754-8700 f: 630-754-8705


The results of environmental analytical testing will be compared to Clean Construction and

Demolition Debris (CCDD) Maximum Allowable Concentrations (MAC) and Illinois Tiered

Approach to Corrective Action Objectives (TACO) Tier 1 Soil Remediation Objectives (SROs).

Based on the analytical results, soil management options will be determined in accordance with

Article 669 of IDOT Standard Specifications. If site soils qualify, CCDD Certification (form LPC 663)

will be provided.

Cost Estimate

The cost to provide the above-mentioned services is provided in the attached CECS and Direct

Costs estimate.

Schedule

The fieldwork could be started within two weeks of receiving authorization to proceed. We

anticipate the fieldwork to be completed in 1 to 2 working days. Draft report will be issues within

three weeks of completion of fieldwork. Final report will be issued within two weeks after

receiving final review comments.

INTERRA very much appreciates the opportunity to submit this proposal. Should you at any time

require any additional information or clarifications, please do not hesitate to call us.

Very truly yours,

Interra, Inc.

Ashok Guntaka, EI Sanjeev Bandi, Ph.D., PE

Project Manager Principal Engineer

Sudhakar Rao Doppalapudi, P.E

Principal Engineer

Packet Pg. 664



CONTRACT TERM 12 MONTHS OVERHEAD RATE 144.85%

START DATE 7/1/2022 COMPLEXITY FACTOR 0

RAISE DATE 1/1/2023 % OF RAISE 2.00%

END DATE 6/30/2023

Year First Date Last Date Months

% of

Contract

0 7/1/2022 1/1/2023 6 50.00%

1 1/2/2023 7/1/2023 6 51.00%


ESCALATION PER YEAR


EXHIBIT E


FIXED RAISE

Kane County Division of Transportation Kane Plank Road

INTERRA, Inc. Ashok Guntaka 10/27/2021


BLR 05514 (Rev. 02/01/21)

Payroll EscalationPacket Pg. 665

Local Public Agency County Section NumberKane County Division of Transportation Plank Road

MAXIMUM PAYROLL RATE 78.00

ESCALATION FACTOR 1.00%

IDOT

CLASSIFICATION PAYROLL RATES CALCULATED RATE

ON FILE

Staff Engineer $33.63 $33.97

Project Engineer $47.00 $47.47

Project Manager $66.42 $67.08

Principal Engineer $78.00 $78.00

Inspector $44.40 $44.84


PAYROLL RATES

Kane


BLR 05514 (Rev. 02/01/21)

Payroll Rates

Packet Pg. 666



TASK STAFF HOURS PAYROLLOVERHEAD &

FRINGE BENEFITSDIRECT COSTS FIXED FEE

SERVICES BY

OTHERSTOTAL

% OF GRAND

TOTAL

Geotechnical & Environmental 136 6,333 9,173 14,876 2,090 32,472 100.00%

- - - -

- - - -

- - - -

- - - -

- - - -

- - - -

- - - -

- - - -

- - - -

- - - -

- - - -

- - - -

- - - -

- - - -

- - - -

- - - -

- - - -

- - - -

- - - -

- - - -

- - - -

- - - -

- - - -

- - - -

- - - -

- - - -

- - - -

- - - -

Subconsultant DL 0 -

TOTALS 136 6,333 9,173 14,876 2,090 - 32,472 100.00%

15,506

COMPLEXITY FACTOR

Kane County Division of Transportation Kane Plank Road




BLR 05514 (Rev. 02/01/21)

Cost Estimate WorksheetPacket Pg. 667



SHEET 1 OF 1

PAYROLL AVG TOTAL PROJ. RATES

HOURLY Hours % Wgtd Hours % Wgtd Hours % Wgtd Hours % Wgtd Hours % Wgtd Hours % Wgtd

CLASSIFICATION RATES Part. Avg Part. Avg Part. Avg Part. Avg Part. Avg Part. Avg

Staff Engineer 33.97 56.0 41.18% 13.99 56 41.18% 13.99

Project Engineer 47.47 26.0 19.12% 9.08 26 19.12% 9.08

Project Manager 67.08 8.0 5.88% 3.95 8 5.88% 3.95

Principal Engineer 78.00 18.0 13.24% 10.32 18 13.24% 10.32

Inspector 44.84 28.0 20.59% 9.23 28 20.59% 9.23

0.0

0.0

0.0

0.0

0.0

0.0

0.0

0.0

0.0

0.0

0.0

0.0

0.0

0.0

0.0

0.0

0.0

0.0

0.0

0.0

0.0

0.0

TOTALS 136.0 100% $46.56 136.0 100.00% $46.56 0.0 0% $0.00 0.0 0% $0.00 0.0 0% $0.00 0.0 0% $0.00


Plank RoadKaneKane County Division of Transportation

Geotechnical &

Environmental


Avg Hourly 1

Packet Pg. 668

Local Public Agency County


ITEM ALLOWABLE QUANTITYCONTRACT

RATETOTAL

Soil Drilling and Pavement Coring Outside Direct Cost 1.00 $5,000.00 $5,000.00

Standby time for access delays Outside Direct Cost 0.00 $300.00 $0.00

Traffic Control Outside Direct Cost 1.00 $2,200.00 $2,200.00

Environmental - Historical Documents Outside Direct Cost 1.00 $275.00 $275.00

Environmental - Analytical Testing In House Direct Cost 6.00 $750.00 $4,500.00

Vehicle Owned or Leased $32.50/half day (4 hours or less) or $65/full day 3.00 $65.00 $195.00

Lab - Moisture Content In House Direct Cost 33.00 $20.00 $660.00

Lab - Grainsize Analysis In House Direct Cost 1.00 $200.00 $200.00

Lab - Atterberg Limits In House Direct Cost 1.00 $150.00 $150.00

Lab - Illinois Bearing Ratio In House Direct Cost 1.00 $800.00 $800.00

Lab - Organic Content In House Direct Cost 1.00 $160.00 $160.00

Lab - Pavement Core Analysis In House Direct Cost 6.00 $80.00 $480.00

Lab - Standard Proctor In House Direct Cost 1 $256.00 $256.00

$0.00 $0.00

$0.00 $0.00

$0.00 $0.00

$0.00 $0.00

$0.00 $0.00

$0.00 $0.00

$0.00 $0.00

$0.00 $0.00

$0.00 $0.00

$0.00 $0.00

$0.00 $0.00

$0.00 $0.00

$0.00 $0.00

$0.00 $0.00

$0.00 $0.00

$0.00 $0.00

$0.00 $0.00

$14,876.00

Printed 10/272021 Page 1 BLR 05530 (02/02/21

Formerly BLR 05510, BLR 0511, BLR 0512, BLR 05610, BLR 05611

Section Number

Plank Road

EXHIBIT C

Direct Costs Check Sheet

List ALL direct costs required for this project. Those not listed on the form will not be eligible for reimbursement by the LPA on this project.

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Huddleston McBride Drainage Company

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Sagar R. Sonar, P.E., PTOE Kimley-Horn 4201 Winfield Road, Suite 600, Warrenville, IL 60555

Date : Prop : Terms:

October 9, 2021 21330 Net 30 Days

>> RE: LAND DRAINAGE INVESTIGATION SERVICES PROPOSAL

LOCATION: Plank Road,(Romke to Brier Hill) Roadway Improvement (8650+-lin ft.) Including existing right of way extending 20ft into private lands.

Thank you for the opportunity to submit the attached Mainline Drain Tile Investigation Letter of Agreement for your consideration.

Following is a brief summary outlining investigation services which shall be completed in accordance with Kane County typical standards and procedures for the subject property located at Sec. 1, Burlington, Sec. 6, Plato Twp., Kane Co., IL.

This investigation will be limited to the mapping of private septic systems, mainline and sub-main collectors, and will include local lateral / feeder drain tiles only when encountered at hand probe transect locations. It shall be our intent to complete this investigation process by the implementation of hand probe transects in efforts to minimize right of way and private property damage and restoration. All septic systems and drain tiles will be located and staked within the existing Plank Road,(Romke to Brier Hill) Roadway Improvement (8650+-lin ft.) right of way and will extend 20 ft into private lands.

I. SCOPE OF WORK

FIELD INVESTIGATION PROCEDURES:

Field reconnaissance and record research1 work will be completed in efforts to identify all areas which are typical to installation of existing drain tile. Existing features such as soils, watertable, topographical elevations, surface channels, depressions, wetlands and natural drainage ingress and egress locations are considered.

Following field review, investigation areas are staked and hand probed to verify existence of drain tile. All existing drain tiles encountered during the investigation procedure are recorded on field mapping and repaired if damaged to their original state according to U.S.D.A. Natural Resource Conservation Service construction repair practices. Following specific point locations, drain tile routes are located by surface probing or electronic detection and field staked at 20’ intervals including cut stakes for invert elevations where requested. Any existing drain tile not encountered during s probe transect procedures will remain unknown.

RECORD MAPPING AND REPORT:

Record mapping shall be performed according to typical civil engineering mapping standards. It will be the responsibility of the developer to furnish one ACAD (version 2018 or 2021 .dwg) computer data file of the investigation area including mapped topography, easements, right-of-ways, wetland delineation areas and property boundary limits.

1Huddleston Mcbride Land Drainage Co., owns, maintains and will access an extensive electronic record system of Kane County

Existing Agricultural Drain Tile Historic Mapping Records. This mapping system has been based upon geographic parcel location including record information from Huddleston-Mcbride Land Drainage Co.(1975) , Cooprider Farm Drainage Co. (1930), Elbridge F. Ball & Sons, (drainage engr.) Survey notes (1940), Countryside Drainage (2009). These record files include historic farm parcel notes, active / inactive drainage district maps and documents, conservation resource mapping, agricultural drain tile contractor records, aerial photo delineation, S.C.S./ N.R.C.S design notes and soil maps, typical drain tile investigation reports, record construction drawings, and land owner sketch drawings.

9504 East Fowler Rd., Rochelle, Il., 61068 Phone 815-562-6007 Fax 815-562-6557

T. Huddleston mobile 815-757-6007 Email: [email protected]

P R O P O S A L

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Sagar Sonar, P.E., Kimley-Horn Huddleston McBride Land Drainage Co. Plank Road Improvements (8650+-lin ft.), proposal no. 21330 October 9, 2021, Page 2 of 3 All existing drain tile routes will be located in the field by GPS location systems (<1m., Illinois State Plane East NAD 83) and recorded on final plans. Our field staking process will include pipe invert cut stakes at right of way locations, strategic interior locations and 20’ interval pin flagging along tile routes for electronic survey location by the project engineer if deemed necessary. It will be the responsibility of the project engineer to survey drain tile location/elevation staking pertinent to final improvement design.

Final drain tile mapping will be computer drafted on a base map including recent color digital aerial photography, topography and project limits. Mapped information will include the location of septic systems, existing drain tile routes and applicable drainage findings encountered during the field investigation process. A field report shall be attached to the plan containing evaluation information including size, flow, system effectiveness, restrictive siltation, pipe invert to ground surface depth, pipe type / quality, system classification and specific field notes.

This project shall be completed in accordance with typical drain tile investigation standards as required by Kane County Stormwater ordinances.

II. Proposed Service Description:

The intent of this proposal is to provide septic system and existing drain tile location, consulting and GPS survey mapping services in regard with typical existing drain tile investigation standards and in accordance with Kane County Stormwater Ordinance Standards at Plank Road (Romke to Brier Hill) Roadway Improvement (8650+-lin ft. , (Sec. 1, Burlington, Sec. 6, Plato Twp., Kane Co., IL.)

III. Proposed Services Cost: Qty. Cost Amount

1 Drainage Investigation and Repair Crew (5 days) (Field survey services including all excavation equipment and labor)

40 hrs.

420.00 16,800.00

4 Project Consulting Services Hour Basis (GPS field survey, staking, and record plans)

10 hrs 160.00 1,600.00

5 Heavy Equipment Transport Hour basis, one way only (Including DOT permits, electronic logs, licenses and fees)

1 ea. 295.00 295.00

0

0

Proposed Materials Cost: 0

All materials incidental to labor cost 0.00

0

1 Investigation & Reconnaissance Crew Hour Basis; is calculated on an hourly basis of $420.00 including a full investigation crew and will additionally consist of (6) man ground laborers, electronic and manual investigation equipment, hand probe transects, surface evaluation, pipeline video equipment, field staking materials, field supervision, consulting services and miscellaneous support equipment. Daily hours are computed by home port to home port. 4 Project Consulting Services Hour Basis ; (T.L. Huddleston) is calculated on an hourly basis of $160.00 including initial project assessment, client consultation, site meetings, Utility locations, GPS land surveying , existing conditions research, project planning, record mapping w/ plots and project supervision. 5 Heavy Equipment Transport Hour basis; - is calculated on an hourly basis of $ 295.00 including heavy equipment loading transport including all IDOT and Local transportation permits, licenses and fees, and electronics log system requirements. Travel cost for crew lodging, long haul mobilization, overnight materials trips and expenses will be at $780.00 (based on 6-man crew)

0

TOTAL LUMP SUM CHARGES INCLUDING ALL MATERIALS AND SERVICES $18,695.00 Thank you for considering our proposal, we look forward to an opportunity to assist you with the development of this project.

Respectfully submitted,

HUDDLESTON McBRIDE LAND DRAINAGE CO.

Thomas L. Huddleston III

T. L. Huddleston III, Partner

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EXHIBIT “C”

PREVAILING WAGE RATES

It is the policy of the State of Illinois as declared in the Illinois Prevailing Wage Act (820 ILCS 130/1 et seq.) “that a wage of no less than the general prevailing hourly rate as paid for work of a similar character in the locality in which the work is performed, shall be paid to all laborers, workers and mechanics employed by or on behalf of any and all public bodies engaged in public works”. The CONSULTANT agrees to pay, when applicable, the current Illinois Department of Labor Prevailing Wage Rates for all County of Kane projects. Current prevailing wage rates are available from the Illinois Department of Labor at their website: http://www.state.il.us/agency/idol/rates/rates.HTM. Prevailing wage rates are subject to revision monthly. The CONSULTANT acknowledges its responsibility, for payment of any applicable future adjustment thereof. The CONSULTANT further acknowledges its responsibility to notify any sub-consultant of the applicability of the Prevailing Wage Act. When applicable, the CONSULTANT agrees to provide the Kane County Division of Transportation “certified payrolls” as required by the Prevailing Wage Act

______________________________ Company Name

______________________________ Signature of Officer of Company

______________________________

Title

_____________________________ Date

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Section Number 21-00540-00-SPHISP Plank Road - Romke Road to Brier Hill Road

Project Limits

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County Boundry

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Resolution No.

Approving an Engineering Services Agreement with H.R. Green, Inc. of Aurora, Illinois for 2022 Structure Safety Inspections, Kane County Section No. 21-00541-00-EG



Budget Information:



Summary:

The National Bridge Inspection Standards (NBIS) establish the requirements for structure inspection procedures, frequency of inspections, qualifications of personnel, inspection reports and related matters. Appropriately qualified personnel are to inspect structures, and the findings are submitted to IDOT for inclusion in the state and national databases. Bridges found to be deficient are monitored. Some structures may require a reduction of loads, and ultimately, prompt programming of funds towards a rehabilitation or replacement improvement. This work includes in-depth structure inspections, loads ratings, and various on-call services. This fall, KDOT staff utilized the Kane County QBS process to select H.R.Green, Inc., as the preferred consultant to conduct this work during 2022. At the County’s discretion, depending on H.R. Green’s performance, they may also conduct the 2023 and 2024 work. This work includes in-depth structure inspections, load ratings and various on-call services. The 2022 negotiated engineering services agreement is for an amount not to exceed $436,231. Details regarding the selection process can be found on the KDOT website.

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STATE OF ILLINOIS

COUNTY OF KANE

RESOLUTION NO.

APPROVING AN ENGINEERING SERVICES AGREEMENT WITH H.R. GREEN, INC. OF AURORA, ILLINOIS FOR 2022 STRUCTURE SAFETY INSPECTIONS, KANE COUNTY

SECTION NO. 21-00541-00-EG

WHEREAS, engineering services are necessary for annual on-going inspections of various in-service highway bridge structures throughout Kane County (herein referred to as the “Project”); and

WHEREAS, the Project was developed through the Kane County Division of Transportation

to ensure the structural integrity of in-service bridges and is mandated by the Federal Surface Transportation Assistance Act of 1978; and

WHEREAS, in order to accomplish the Project, it is necessary to retain the services of a

professional structural engineering firm to provide bridge inspection services therefor; and WHEREAS, H.R. Green, Inc., 2363 Sequoia Drive, Suite 101, Aurora, Illinois 60506 has

experience and professional expertise in bridge structure safety inspections and is willing to perform the required bridge inspection services for the Project for an amount not to exceed $436,231.00; and

WHEREAS, the County has determined that it is in the County’s best interest to enter into an

agreement with H. R. Green, Inc. to provide bridge inspection services for the Project, (a copy of which is on file in the office the Kane County Clerk); and

WHEREAS, in order to pay for the Project’s bridge inspection services the County is

required to appropriate Four Hundred Thirty Six Thousand Two Hundred Thirty One Dollars ($436,231.00).

NOW, THEREFORE, BE IT RESOLVED by the Kane County Board that the Chairman thereof is hereby authorized to execute a bridge inspection services agreement with H. R. Green, Inc. for the Project.

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BE IT FURTHER RESOLVED that the Kane County Board appropriate the sum of Four Hundred Thirty Six Thousand Two Hundred Thirty One Dollars ($436,231.00) from County Bridge Fund #301, Line Item #52100 (Bridge Inspection) to pay for said engineering services for the Project.



budget revision?



line item?




301.520.521.52100 Bridge Inspection Yes Yes



Vote:

22-01 StrctreSftyHRGreen

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AGREEMENT BETWEEN THE COUNTY OF KANE AND H.R.GREEN, INC. FOR PROFESSIONAL ENGINEERING

SERVICES FOR THE 2022 STRUCTURE SAFETY INSPECTION PROGRAM KANE COUNTY SECTION NO. 21-00541-00-EG

PURCHASE ORDER #2021-XXX

This AGREEMENT made this 11th day of January 2022 between COUNTY OF KANE, a body corporate and politic of the State of Illinois (hereinafter referred to as the “COUNTY”), and, H.R. GREEN, INC., an Iowa corporation authorized to conduct business in the state of Illinois and an Illinois licensed professional engineering firm with offices at 2363 Sequoia Drive, Suite 101, Aurora, Illinois 60506 (hereinafter referred to as the “CONSULTANT”). The COUNTY and the CONSULTANT are sometimes hereinafter collectively referred to as the “PARTIES” and individually as a “PARTY”.

WITNESSETH

WHEREAS, it is deemed to be in the best interest of the COUNTY and the motoring public to improve and maintain the various highways throughout Kane County; and,

WHEREAS, professional engineering services are required for the ongoing inspection of various in-service highway bridge structures located throughout Kane County (hereinafter referred to as the “PROJECT”); and

WHEREAS, the PROJECT is mandated by the federal Surface Transportation Assistance Act of 1978; and,

WHEREAS, the CONSULTANT has experience and professional expertise in design engineering services and is willing to perform said services for the Project in an amount not to exceed Four Hundred Thirty-Six Thousand Two Hundred Thirty-One Dollars and Zero Cents ($436,231.00); and

WHEREAS, the COUNTY has determined that it is in the COUNTY’S best interest to enter into this AGREEMENT with the CONSULTANT.

NOW, THEREFORE, in consideration of the above stated preambles, the mutual covenants and agreements herein set forth, the PARTIES do hereby mutually covenant, promise, agree and bind themselves as follows:

1.0 INCORPORATION

1.1 All of the preambles set forth hereinabove are incorporated into and made part of this AGREEMENT.

2.0 SCOPE OF SERVICES

2.1 Services for the PROJECT are to be provided by the CONSULTANT according to the specifications set forth in Exhibit “A” which is attached hereto and

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incorporated herein. The services are sometimes hereinafter also referred to as the “work”.

3.0 NOTICE TO PROCEED

3.1 Authorization to proceed with the work described and as otherwise set forth in Exhibit “A” shall be given on behalf of the COUNTY by the Kane County Engineer, in the form of a written notice to proceed (hereinafter “Notice to Proceed”), following execution of this Agreement by the County Board Chairman of the COUNTY.

4.0 TECHNICAL SUBCONSULTANTS

4.1 The prior written approval of the Kane County Engineer shall be required before any technical sub-consultants are hired by the CONSULTANT to perform any of the work.

4.2 Any such sub-consultants shall be hired and supervised by the CONSULTANT

and the CONSULTANT shall be solely responsible for any and all work performed by said sub-consultants in the same manner and with the same liability as if performed by the CONSULTANT.

5.0 TIME FOR PERFORMANCE

5.1 The CONSULTANT shall commence work on the PROJECT as directed in the

Notice to Proceed. The COUNTY is not liable and will not pay the CONSULTANT for any work performed prior to the date of the Notice to Proceed or after termination of this AGREEMENT.

5.2 Within ten (10) days after the Notice to Proceed is mailed or otherwise

transmitted to the CONSULTANT, the CONSULTANT shall submit a schedule for completion of the PROJECT. The schedule is subject to approval by the County Engineer.

6.0 COMPENSATION

6.1 The COUNTY shall only pay the CONSULTANT for work performed and shall pay only in accordance with the provisions of this AGREEMENT.

6.2 For work performed, the COUNTY shall pay the CONSULTANT based upon

actual hourly rates for personnel working on the PROJECT. The average hourly rates and hourly rate ranges are set forth in Exhibit “B”, which is attached hereto and incorporated herein and which rates include overhead and profit.

6.3 For direct expenses, the COUNTY shall pay the CONSULTANT for supplies and

materials required for the completion of all work defined in the exhibit(s) attached hereto

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6.4 For direct expenses, the CONSULTANT shall include copies of receipts from suppliers for expendable materials with its invoice to the COUNTY. Computer charges will not be allowed as direct expenses.

6.5 Within 45 days of receipt, review and approval of properly documented invoices,

the COUNTY shall pay or cause to be paid to the CONSULTANT partial payments of the compensation specified in this AGREEMENT. Payment will be made in the amount of sums earned less previous partial payments. However, the COUNTY reserves the right to hold back a sum equal to five percent (5%) of the total contract sum to ensure performance satisfactory to the Kane County Engineer.

6.6 Total payments to the CONSULTANT under the terms of this AGREEMENT

shall not exceed Four Hundred Thirty-Six Thousand Two Hundred Thirty-One Dollars and Zero Cents ($436,231.00).

6.7 The CONSULTANT shall use the COUNTY’S Automatic Clearing house (ACH)

payment program. 7.0 DELIVERABLES.

7.1 The CONSULTANT shall provide the COUNTY, prior to the termination of this AGREEMENT, or at such time as the Kane County Engineer directs, any required deliverables related to work performed under this AGREEMENT.

7.2 Upon receipt, review and acceptance of all deliverables by the COUNTY (if

required), final payment will be made to the CONSULTANT by the COUNTY. 8.0 CONSULTANT'S INSURANCE

8.1 The CONSULTANT and any sub-consultants shall, during the term of this AGREEMENT and as may be required thereafter, maintain, at its sole expense, insurance coverage including:

A. Worker's Compensation Insurance in the statutory amounts. B. Employer's Liability Insurance in an amount not less than Five

Hundred Thousand Dollars ($500,000) each accident/injury and Five Hundred Thousand Dollars ($500,000) each employee/disease.

C. Commercial General Liability Insurance, (including contractual

liability) with limits of not less than One Million Dollars ($1,000,000) per occurrence bodily injury/property damage combined single limit; Two Million Dollars ($2,000,000) excess liability coverage in the aggregate for injury/property damage combined single limit and Two Million Dollars ($2,000,000) in the aggregate for products-completed operations.

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D. Commercial Automobile Liability Insurance with minimum limits of at least One Million Dollars ($1,000,000) for any one person and One Million Dollars ($1,000,000) for any one occurrence of bodily injury or property damage.

E. Professional Errors and Omissions Insurance with a minimum limit of

One Million Dollars ($1,000,000).

8.2 It shall be the duty of the CONSULTANT to provide to the COUNTY copies of the CONSULTANT'S certificates of insurance before issuance of the Notice to Proceed. The certificate(s) of insurance shall indicate the County of Kane as the Certificate Holder and shall also indicate the Section Number and Purchase Order as set forth in the title to this Agreement. The CONSULTANT shall provide to the COUNTY and maintain a certificate of insurance for its General Liability Policy which certificate shall include the COUNTY as additional named insured. The additional named insured endorsement included on the CONSULTANT’S Commercial General Liability policy will provide the following:

A. That the coverage afforded the additional insured will be primary insurance

for the additional insured with respect to claims arising out of operations performed by or on behalf of the CONSULTANT;

B. That if the additional insured has other insurance which is applicable to the

loss, such other insurance will be only on an excess or contingent basis;

C. That the amount of the CONSULTANT’S liability under the insurance policy will not be reduced by the existence of such other insurance; and,

D. That the certificate of insurance shall contain a provision or endorsement that

the coverage afforded will not be canceled, materially changed, nor renewal refused until at least thirty (30) days prior written notice has been given to COUNTY.

The insurance required to be purchased and maintained by CONSULTANT shall be provided by an insurance company acceptable to the County with an AM Best rating of A- or better, and licensed to do business in the State of Illinois; and shall include at least the specified coverage and be written for not less than the limits of the liability specified herein or required by law or regulation whichever is greater. In no event shall any failure of the COUNTY to receive policies or certificates of insurance or to demand receipt of the same be construed as a waiver of the CONSULTANT’S obligation to obtain and keep in force the required insurance.

9.0 INDEMNIFICATION.

9.1 To the fullest extent permitted by law, the CONSULTANT shall indemnify and

hold harmless the COUNTY, and its officials, directors, officers, agents, and employees from and against any and all claims, damages, losses, and expenses, including but not limited to court costs and reasonable attorney's fees, arising out

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of or resulting from performance of the work, provided that such claim, loss or expense is attributable to bodily injury, sickness, disease or death, or to injury to or destruction of property but only to the extent caused in whole or in part by negligent acts or omissions of the CONSULTANT, a sub-consultant, anyone directly or indirectly employed by them or anyone for whose acts they may be liable, excluding any proportionate amount of any claim, damage, loss or expense which is caused by the negligence of the COUNTY. Such obligation shall not be construed to negate, abridge or reduce other rights or obligations of indemnity, which would otherwise exist as to a PARTY or person described in this paragraph. In claims against the COUNTY and its officials, directors, officers, agents, and employees by an employee of the CONSULTANT, a sub-consultant, anyone directly or indirectly employed by them or anyone for whose acts they may be liable, the indemnification obligation under this paragraph shall not be limited by any limitation on the amount or type of damages, compensation or benefits payable by or for the CONSULTANT or a sub-consultant under worker's or workmen's compensation acts, disability benefit acts or other employee benefit acts.

9.2 Nothing contained herein shall be construed as prohibiting the COUNTY, its

officials, directors, officers, agents, and employees, from defending through the selection and use of their own agents, attorneys and experts, to defend any claims, actions or suits brought against them.

9.3 If any errors, omissions, intentional or negligent acts are made by the

CONSULTANT or sub-consultant in any phase of the work, the correction of which requires additional field or office work, the CONSULTANT shall be required to perform such additional work as may be necessary to remedy same without undue delay and without charge to the COUNTY.

9.4 Acceptance of the work by the COUNTY will not relieve the CONSULTANT of

the responsibility for the quality of the work, nor of the CONSULTANT’S liability for loss or damage to property or persons resulting therefrom.

10.0 SATISFACTORY PERFORMANCE.

10.1 The CONSULTANT'S and sub-consultant's standard of performance under the terms of this AGREEMENT shall be that which is to the satisfaction of the COUNTY and meets the quality and standards commonly accepted in the industry in the Chicago Metropolitan area.

11.0 CONFLICT OF INTEREST.

11.1 The CONSULTANT covenants that it has no conflicting public or private interest and shall not acquire directly or indirectly any such interest which would conflict in any manner with the performance of CONSULTANT'S services under this AGREEMENT.

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11.2 The CONSULTANT, by its signature on this AGREEMENT, certifies that it has not been barred from being awarded a contract or subcontract under the Illinois Purchasing Act; and further certifies that it has not been barred from contracting with a unit of State or Local government as a result of a violation of Section 33E-3 or 33E-4 of the Illinois Criminal Code (Illinois Compiled Statutes, 1992, Chapter 720, paragraph 5/33E-3).

12.0 OWNERSHIP OF DOCUMENTS.

12.1 The CONSULTANT agrees that all survey data, reports, drafting, studies, specifications, estimates, maps, computations and any other document prepared by the CONSULTANT under the terms of this AGREEMENT shall be properly arranged, indexed and delivered to the COUNTY within ninety (90) days of written request therefor.

12.2 The documents and materials made or maintained under this AGREEMENT shall

be and will remain the property of the COUNTY which shall have the right to use same without restriction or limitation and without compensation to the CONSULTANT other than as provided in this AGREEMENT.

13.0 COMPLIANCE WITH STATE AND OTHER LAWS – PREVAILING WAGE ACT.

13.1 The CONSULTANT and sub-consultants will comply with all State, Federal and Local statutes, ordinances and regulations; and will obtain all permits as are applicable.

13.2 The CONSULTANT and any sub-consultants shall not discriminate against any

worker, job applicant, employee or any member of the public, because of race, creed, color, sex, age, handicap, or national origin, or otherwise commit an unfair employment practice.

13.3 The CONSULTANT and any sub-consultant(s) shall comply with all applicable

State and Federal Prevailing Rate of Wage Laws, and shall take all steps necessary to remain in compliance therewith. (See Exhibit “C”).

13.4 The CONSULTANT and any sub-consultant(s) shall comply with the Kane

County Ethics Ordinance (Article II, Division 3, Section 2-211).

14.0 MODIFICATION OR AMENDMENT

14.1 The terms of this AGREEMENT may only be modified or amended by a written

document duly executed by both PARTIES.

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15.0 TERM OF THIS AGREEMENT. 15.1 The term of this AGREEMENT shall begin on the date this AGREEMENT is

fully executed and shall continue in full force and effect until the earlier of the following occurs:

A. The PARTY’S termination of this Agreement in accordance with the terms of

Section 16.0; or

B. December 31, 2023.

15.2 In the event the required time is exceeded and/or anticipated personnel requirements are not adequate and remaining funds are not sufficient to complete the PROJECT, adjustments in total compensation available to the CONSULTANT may be determined through negotiation between the COUNTY and the CONSULTANT. The COUNTY shall however, have no obligation to agree to any such adjustment.

15.3 The date of the first calendar day for this AGREEMENT shall be the date of

receipt of the Notice to Proceed by the CONSULTANT from the COUNTY. In the event the PROJECT work is suspended as recorded on the "Report of Starting and Completion Date," the calendar days for this AGREEMENT will also be suspended for a like amount of time.

16.0 TERMINATION ON WRITTEN NOTICE.

16.1 Except as otherwise set forth in this AGREEMENT, the CONSULTANT shall have the right to terminate this AGREEMENT for cause upon serving sixty (60) days written notice upon the COUNTY.

16.2 The COUNTY may terminate this AGREEMENT at any time upon written notice

to the CONSULTANT. 16.3 Upon termination of this AGREEMENT, the obligations of the PARTIES to this

AGREEMENT shall cease, but they shall not be relieved of the duty to perform their obligations up to the date of termination. Notwithstanding anything in this AGREEMENT to the contrary however, the obligations of the CONSULTANT to indemnify and hold harmless the COUNTY as provided for in Section 9.0 of the AGREEMENT shall survive the termination of this AGREEMENT.

16.4 Upon termination of this AGREEMENT, all data, work products, reports and

documents produced, as a result of this AGREEMENT shall remain the property of the COUNTY.

17.0 ENTIRE AGREEMENT.

17.1 This AGREEMENT contains the entire AGREEMENT between the PARTIES.

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17.2 There are no other covenants, promises, conditions or understandings, either oral or written, other than those contained herein.

18.0 NON-ASSIGNMENT.

18.1 This AGREEMENT shall not be assigned by either PARTY without prior written approval by the other PARTY requesting the assignment.

19.0 SEVERABILITY.

19.1 In the event any provision of this AGREEMENT is held to be unenforceable for any reason, the enforceability thereof shall not affect the remainder of the AGREEMENT, which will remain in full force and effect and enforceability in accordance with its terms.

20.0 GOVERNING LAW.

20.1 This AGREEMENT shall be governed by the laws of the State of Illinois both as to interpretation and performance.

20.2 Venue for any dispute arising hereunder shall be in the Circuit Court of the

Sixteenth Judicial Circuit, Kane County, Illinois. 21.0 NOTICE.

Any required notice shall be sent to the following addresses and party:

KANE COUNTY DIVISION OF TRANSPORTATION 41W011 Burlington Road Saint Charles, Illinois 60175 Attn.: Carl Schoedel, P.E., Kane County Engineer H.R. GREEN, INC. 2363 Sequoia Drive, Suite 101 Aurora, Illinois 60506

Attn.: Andy Underwager, S.E., P.E., Senior Structural Engineer

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IN WITNESS WHEREOF, the parties set their hands and seals as of the date first written above. COUNTY OF KANE _____________________________ CORINNE M. PIEROG CHAIRMAN, KANE COUNTY BOARD

H.R. GREEN, INC. _______________________________ ANDREW MROWICKI, PE VICE PRESIDENT

ATTEST: _____________________________ JOHN A. CUNNINGHAM KANE COUNTY CLERK

ATTEST: ________________________________

(seal)

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EXHIBIT “C”

PREVAILING WAGE RATES

It is the policy of the State of Illinois as declared in the Illinois Prevailing Wage Act (820 ILCS 130/1 et seq.) “that a wage of no less than the general prevailing hourly rate as paid for work of a similar character in the locality in which the work is performed, shall be paid to all laborers, workers and mechanics employed by or on behalf of any and all public bodies engaged in public works”. The CONSULTANT agrees to pay, when applicable, the current Illinois Department of Labor Prevailing Wage Rates for all County of Kane projects. Current prevailing wage rates are available from the Illinois Department of Labor at their website: http://www.state.il.us/agency/idol/rates/rates.HTM. Prevailing wage rates are subject to revision monthly. The CONSULTANT acknowledges its responsibility, for payment of any applicable future adjustment thereof. The CONSULTANT further acknowledges its responsibility to notify any sub-consultant of the applicability of the Prevailing Wage Act. When applicable, the CONSULTANT agrees to provide the Kane County Division of Transportation “certified payrolls” as required by the Prevailing Wage Act

______________________________ Company Name

______________________________ Signature of Officer of Company

______________________________

Title

_____________________________ Date

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http://www.state.il.us/agency/idol/rates/rates.HTM

Version 2.3 02052021

EXHIBIT A

SCOPE OF SERVICES

for

2022 Structure Inspections Sec. 21-00541-00-BR

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Version2.3 02052021

TABLE OF CONTENTS

1.0 PROJECT UNDERSTANDING 2.0 SCOPE OF SERVICES 3.0 DELIVERABLES AND SCHEDULES INCLUDED IN THIS AGREEMENT 4.0 ITEMS NOT INCLUDED IN AGREEMENT/SUPPLEMENTAL SERVICES 5.0 SERVICES BY OTHERS 6.0 CLIENT RESPONSIBILITIES 7.0 PROFESSIONAL SERVICES FEE

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Scope of Services 2022 Structure Inspections

December 2, 2021 Page 1 of 3

Version2.3 02052021

THIS SCOPE OF SERVICES is between KANE COUNTY DIVISION OF TRANSPORTATION (hereafter “CLIENT”) and HR GREEN, INC. (hereafter "COMPANY").

1.0 Project Understanding

1.1 General Understanding

CLIENT has initiated a project requiring engineering services to perform structure inspections, load rating analysis, bridge management support and on-call structural services.

2.0 Scope of Services

The CLIENT agrees to employ COMPANY to perform the following services:

2.1 Routine / In-Depth / Special / Fracture Critical / Element Level / Initial Inspections:

a. Inspections - including channel cross sections, documentation and narrative reports of 66 structures greater than 20 feet in length.

b. Arms-Length Inspection of all structures, including use of access vehicles and traffic control.

c. Complete In-Depth damage inspections of selected precast prestressed deck beam bridges.

d. Coordinate Inspections with CLIENT, Local Agencies, Public, Railroads, Illinois State Toll Highway Authority (ISTHA), etc.

e. Inspect newly constructed CLIENT or Tollway bridges.

f. Inspect any designated small structures under 20 feet in length.

g. Monthly inspection of Coombs Road over the Dakota, Minnesota and Eastern Railroad (DM&E) (SN 045-3124) to verify condition of the temporary shoring and PPC beam conditions.

h. Update and maintain Illinois Department of Transportation (IDOT) Inspection Date Notification (IDN) site.

i. Update IDOT Illinois Structure Information System (ISIS) database information for all structures inspected and inform of changes of status.

j. Provide all access equipment, traffic control and protection, message boards, and safety equipment required for each inspection according to our Bridge Inspection Access Plan. (Message boards may be supplied by CLIENT)

2.2 Structure Load Ratings:

a. Complete structure load rating models as needed per updated condition ratings using

AASHTOWare Load Rating Software for all structures greater than 20 feet in length.

b. Complete and submit IDOT BBS 2795 (SLRS Form) for all completed rating analyses.

c. Coordinate with IDOT – Local Bridge Unit for model verification.

Packet Pg. 691

Scope of Services 2022 Structure Inspections

December 2, 2021 Page 2 of 3

Version2.3 02052021

d. Complete structure load rating models using AASHTOWare for permit evaluations and posting requirements for all structures less than 20 feet in length as requested by CLIENT.

2.3 Bridge Management System & Support:

a. Provide support and data updates as needed to maintain CLIENT’s ArcGIS Online Bridge Inventory Information.

-OR-

b. Develop a Bridge Management System to aid CLIENT in accessing, managing and

maintaining their bridge inventory including making informed decisions on the

maintenance, preservation, replacement and improvement of bridges.

2.4 On-call Structural Services:

a. Develop contract plan, specifications and estimates (PS&E) for bridge maintenance or rehabilitation improvements as requested by CLIENT.

b. Develop Hydraulic Model and Scour Critical Rating for structures requested by CLIENT.

c. Perform on-call inspections for scour critical bridges or other structures due to flooding events or other unforeseen events.

d. Any additional work tasks determined necessary by CLIENT.

2.5 Program Management and Administration:

a. Provide project administration tasks including invoicing, budget and scheduling monitoring.

b. Provide Program Management duties and coordination as necessary.

3.0 Deliverables and Schedules Included in this Agreement

IDOT forms will be prepared and submitted within 30-days of the completed inspection or as IDOT policy dictates. A narrative summary report will be submitted to the CLIENT within 60-days of the completed inspection.

4.0 Items not included in Agreement/Supplemental Services

The following items are not included as part of this AGREEMENT:

1) Construction Inspection and Observation

Supplemental services not included in the AGREEMENT can be provided by COMPANY under separate agreement, if desired.

5.0 Services by Others

None

6.0 Client Responsibilities

None

Packet Pg. 692

2022 Kane County & Township Bridge Inspection Program

Exhibit A

Structure Number Owner Facility Carried Feature Crossed Township Inspect TypePrevious

Inspect DateInspect Due Insp. Int.

1 045-3001 C W County Line Rd Young's Creek Kaneville 2020-01-22 2022-01-22 24

2 045-3004 C Main Street Big Rock Creek Kaneville 2020-01-22 2022-01-22 24

3 045-3005 C Main Street Welch Creek Kaneville 2020-01-22 2022-01-22 24

4 045-3140 C Harter Rd Welch Creek Kaneville 2020-01-22 2022-01-22 24

5 045-5572 C Fabyan Pkwy Br. Mill Creek Geneva ELI 2020-01-22 2022-01-22 24

6 045-6400 C Orchard Rd Blackberry Creek Aurora 2020-01-22 2022-01-22 24

7 045-3141 C Meredith Rd Union Drainage Ditch #3 Virgil 2020-01-23 2022-01-23 24

8 045-3190 C Jericho Road Blackberry Creek Sugar Grove 2018-01-24 2022-01-24 48

9 045-3157 C Big Timber Rd Tyler Creek Rutland 2018-01-25 2022-01-25 48

10 045-3149 C Allen Rd Coon Creek Hampshire 2018-01-25 2022-01-25 48

11 045-3029 C Randall Rd Mill Creek Batavia ELI 2020-02-26 2022-02-26 24

12 045-2031 IDOT IL 31 Stearns Road St. Charles 2018-02-21 2022-02-21 48

13 045-3151 C Granart Rd Big Rock Creek Big Rock 2018-03-21 2022-03-21 48

14 045-3060 C Silver Glen Road Trib of Otter Creek St. Charles 2018-03-22 2022-03-22 48

15 045-5002 C Perry Rd Big Rock Creek Kaneville 2018-03-22 2022-03-22 48

16 045-3021 C Bike Path / Dunham Road Canadian National (CC&P) RR St. Charles 2020-03-24 2022-03-24 24

17 045-3156 C - RR Union Pacific RR / METRA Bunker Rd Blackberry 2020-03-24 2022-03-24 24

18 045-3165 C Stearns Road WB N Arm Brewster Creek St. Charles ELI 2020-03-24 2022-03-24 24

19 045-3167 C Stearns Road EB N Arm Brewster Creek St. Charles ELI 2020-03-24 2022-03-24 24

20 045-5541 C Swan Rd Trib E Br Big Rock Ck Special KDOT 2020-03-24 2022-03-24 24

21 045-3152 C-RR Burlington Northern RR Orchard Road 2020-03-25 2022-03-25 24

22 045-3153 C-RR Burlington Northern RR Orchard Road 2020-03-25 2022-03-25 24

23 045-6003 T Ashland Avenue E. Branch Fox River Aurora 2020-03-25 2022-03-25 24

24 045-6004 T Ashland Avenue W. Branch Fox River Aurora 2020-03-25 2022-03-25 24

25 045-5530 C Keslinger Road LaFox Trib of Mill Creek Blackberry Special KDOT 2021-03-02 2023-03-02 24

26 045-3104 T Hinckley Road W. Branch Big Rock Creek Big Rock 2018-04-02 2022-04-02 48

27 045-3041 C Ramm Rd Virgil Drainage Ditch No. 3 Virgil Special 2020-04-15 2022-04-15 24

28 045-5519 C Burlington Rd Ferson Creek Campton Special KDOT 2020-04-15 2022-04-15 24

29 045-3185 C Allen Rd Hampshire Creek Hampshire 2018-05-04 2020-05-04 24

30 045-3027 C Randall Road Ferson Creek St. Charles ELI 2020-05-18 2022-05-18 24

31 045-3028 C Randall Road Union Pacific RR Geneva ELI 2020-05-18 2022-05-18 24

32 045-3166 C Stearns Road Fox River St. Charles ELI 2020-05-19 2022-05-19 24

33 045-3150 C Keslinger Road UPRR Geneva Fracture 2020-05-19 2022-05-19 24

34 045-5010 C La Fox Rd Mill Creek Campton 2020-05-20 2022-05-20 24

35 045-3078 C Corron Road Br of Ferson Creek Sugar Grove 2018-06-20 2022-06-20 48

36 045-3146 C Scott Road Welch Creek Big Rock 2020-06-23 2022-06-23 24

37 045-3143 T Harley Road Union Pacific RR Blackberry 2020-06-24 2022-06-24 24

38 045-3096 C Kirk Rd Union Pacific RR Geneva ELI 2020-07-13 2022-07-13 24

39 045-0060 ISTHA Randall Road NB & SB US 20 Bypass Elgin 2020-07-17 2022-07-17 24

40 045-3107 C Dauberman Rd Welch Creek Big Rock 2018-07-25 2020-07-25 24

41 045-3121 ISTHA Orchard Road I-88 East-West Tollway Aurora ELI 2020-08-04 2022-08-04 24

42 045-9967 ISTHA Harmony Road I-90 Northwest Tollway Hampshire 2020-08-05 2022-08-05 24

43 045-9966 ISTHA Brier Hill Road I-90 Northwest Tollway Rutland 2020-08-06 2022-08-06 24

44 045-9904 ISTHA Tyrrell Road I-90 Northwest Tollway Rutland 2020-08-10 2022-08-10 24

45 045-0083 ISTHA Main Street I-88 East-West Tollway Kaneville 2020-08-12 2022-08-12 24

46 045-3097 C Fabyan Pkwy Fox River Geneva ELI 2020-08-17 2022-08-17 24

47 045-3115 C Randall Road Metra, DM&E & UP RR, Tyler Creek Elgin ELI 2020-08-17 2022-08-17 24

48 045-3132 T Muirhead Road Canadian National (CC&P) RR Plato Special 2020-08-20 2021-08-20 12

49 045-3142 T Tower Road Canadian National (CC&P) RR Plato 2020-08-20 2022-08-20 24

50 045-3094 T Prairie Street Blackberry Creek Sugar Grove 2018-10-25 2022-10-25 48

51 045-3182 C Silver Glen Road Virgil Ditch No. 2 Campton 2020-12-29 2022-12-29 24

Totals:

NBI 37 January not included

Special 14 Coombs (12), Muirhead (1), Ramm (1)

ELI 11

Fracture Critical 1

Small Bridge 3

66

Packet Pg. 693

Bureau of Design and Environment

Prepared By: ConsultantCOST ESTIMATE OF CONSULTANT SERVICES

FIRM HR Green, Inc. DATE 12/02/21

PTB-ITEM # OVERHEAD RATE 180.16%

PRIME/SUPPLEMENT 0 COMPLEXITY FACTOR 0

DBE OVERHEAD SERVICES % OF

DROP ITEM MANHOURS PAYROLL & DIRECT FIXED BY DBE TOTAL GRAND

BOX FRINGE BENF COSTS FEE OTHERS TOTAL TOTAL

(A) (B) ( C ) (D) (E) (G) (H) (B-G)

2.1 Bridge Inspections 1585 74,812 134,781 82,573 24,688 - 316,854 72.63%

2.2 Str. Load Rating 192 9,108 16,409 3,006 - 28,523 6.54%

2.3 Bridge Management 236 8,808 15,869 2,907 - 27,584 6.32%

2.4 On-call Services 412 16,928 30,497 5,586 - 53,011 12.15%

2.5 Project Mgmt. & Admin. 42 3,276 5,902 1,081 - 10,259 2.35%

- - - - -

- - - - -

- - - - -

- - - - -

- - - - -

- - - - -

- - - - -

- - - - -

- - - - -

- - - - -

- - - - -

- - - - -

- - - - -

- - - - -

- - - - -

- - - - -

- - - - -

- - - - -

- - - - -

- - - - -

- - - - -

- - - - -

- - - - -

- - - - -

Subconsultant DL 0 -

TOTALS 2467 112,932 203,458 82,573 37,268 - - 436,231 100.00%

316,390

DBE 0.00%

COST PLUS FIXED FEE

Printed 12/2/2021 8:37 AM Page 1 of 2 BDE 3608 Template (Rev. 10/28/21)

Packet Pg. 694

gmaldon

Typewritten Text

Exhibit B

Bureau of Design and Environment

Prepared By: Consultant


FIRM HR Green, Inc.

PTB-ITEM# DATE 12/02/21

PRIME/SUPPLEMENT 0

SHEET 1 OF 1

PAYROLL AVG TOTAL PROJ. RATES 2.1 Bridge Inspections 2.2 Str. Load Rating 2.3 Bridge Management 2.4 On-call Services 2.5 Project Mgmt. & Admin.

HOURLY Hours % Wgtd Hours % Wgtd Hours % Wgtd Hours % Wgtd Hours % Wgtd Hours % Wgtd

CLASSIFICATION RATES Part. Avg Part. Avg Part. Avg Part. Avg Part. Avg Part. Avg

Senior Engineer 78.00 223.0 9.04% 7.05 137 8.64% 6.74 32 16.67% 13.00 12 2.91% 2.27 42 100.00% 78.00

Lead Engineer 61.45 508.0 20.59% 12.65 408 25.74% 15.82 16 8.33% 5.12 24 10.17% 6.25 60 14.56% 8.95

Project Engineer I 39.09 1,059.0 42.93% 16.78 743 46.88% 18.32 144 75.00% 29.32 48 20.34% 7.95 124 30.10% 11.76

Staff Engineer I 33.47 124.0 5.03% 1.68 64 27.12% 9.08 60 14.56% 4.87

Sr. Design Tech 40.88 256.0 10.38% 4.24 132 8.33% 3.40 40 16.95% 6.93 84 20.39% 8.33

Design Tech I 28.00 264.0 10.70% 3.00 132 8.33% 2.33 60 25.42% 7.12 72 17.48% 4.89

Admin 27.86 33.0 1.34% 0.37 33 2.08% 0.58

0.0

0.0

0.0

0.0

0.0

0.0

0.0

0.0

0.0

0.0

0.0

0.0

0.0

0.0

0.0

0.0

0.0

0.0

0.0

0.0

TOTALS 2467.0 100% $45.78 1585.0 100.00% $47.20 192.0 100% $47.44 236.0 100% $37.32 412.0 100% $41.09 42.0 100% $78.00

Printed 12/2/2021 8:37 AM Page 2 of 2 BDE 3608 Template (Rev. 10/28/21)Packet Pg. 695

gmaldon

Typewritten Text

Exhibit B

DATE: 12/1/21

Site Visit

Mileage $0.560 per mile 1500

Sub-total $840.00

Inspection Equipment

Lift / week (6-days) $15,500.00 16 $41,333.33

TC&P / day $1,250.00 16 $20,000.00

RR Permit $2,000.00 6 $12,000.00

Flaggers / day $1,200.00 7 $8,400.00

Sub-total $81,733.33

GRAND TOTAL: $82,573.33


Sec. 21-00541-00-BR

2021 Bridge Inspections

Packet Pg. 696

gmaldon

Typewritten Text

Exhibit B

2363 Sequoia Drive | Suite 101

Aurora, IL 60506

Main 630.553.7560 + Fax 713.965.0044

H R G R E E N . C O M

December 2, 2021 Ms. Theresa Dobersztyn, CPM, CPPB Director of Purchasing Kane County Government Center 719 S. Batavia Avenue – Building A, Second Floor Geneva, IL 60134 Re: Contractor Disclosure Statement Dear Ms. Dobersztyn: Per the County's requirements of vendors who have obtained or are seeking contracts with Kane County resulting in an amount greater than Fifteen Thousand Dollars ($15,000), HR Green has the following information to disclose. Since our last disclosure on July 1, 2019, HR Green, Inc. has not made any campaign contributions. In addition, HR Green is disclosing those stockholders holding greater than 5% legal or beneficial interest in HR Green.

Shareholder Name Shares Percentage Ownership

White, Richard L. Principal 100,000 7.20%

If the County requires further information, please do not hesitate or contact me at 630.708.5029, or via email at [email protected]. Sincerely,

HR GREEN, INC.

Anthony P. Simmons, P.E.

Regional Director – Transportation J:\2020\201071\Admin\Contract\Client\ltr-120221-HRGreen_Disclosure.dotx

Packet Pg. 697


Addressee Name

Page 2 of 2

Date

Packet Pg. 698


Resolution No.

Approving an Agreement for Demolition Services with Martam Construction, Inc. of Elgin, Illinois for Main Street Road at Fabyan Parkway, Kane County Section No. 21-00288-03-BD



Budget Information:



Summary:

The Demolition Services Contract will consist of the complete removal and disposal of two barns and 3 silos. Items such as a foundations, concrete pads and miscellaneous items located within the project limits shall be removed. Our intention is to salvage various pieces of barn lumber as well as a cupula.

Staff has completed the solicitation of 3 bids and the lowest responsible bidder Martam Construction, Inc. with a bid of $27,000 for the Demolition Services at Main Street Road and Fabyan Parkway. Staff determined that work of this nature often involves unseen field conditions that may result in additional costs to the contract. As the contract does not provide for any extra work contingency (i.e. items as ordered by engineer), staff recommends that a 25% contingency ($6,750.00) be added for a total amount not to exceed $33,750.00.

Packet Pg. 699

STATE OF ILLINOIS

COUNTY OF KANE

RESOLUTION NO.

APPROVING AN AGREEMENT FOR DEMOLITION SERVICES WITH MARTAM CONSTRUCTION, INC. OF ELGIN, ILLINOIS FOR MAIN STREET ROAD AT FABYAN

PARKWAY, KANE COUNTY SECTION NO. 21-00288-03-BD

WHEREAS, demolition services are necessary for the removal of structures in the right of way of Kane County Highway No. 10 (Main Street Road) at Kane County Highway No. 8 (Fabyan Parkway) (hereinafter referred to as “Project”); and

WHEREAS, in order to complete the Project it is necessary to retain a professional

demolition contractor to provide the demolition services required therefor; and WHEREAS, Martam Construction, Inc., 1200 Gasket Drive, Elgin, Illinois 60123 (hereinafter

the "Contractor") has demolition experience and expertise and is willing to perform the demolition services necessary to complete the Project for an amount of $27,000.00; and

WHEREAS, the County deems it prudent to include a twenty five percent (25%) contingency

of Six Thousand Seven Hundred Fifty Dollars ($6,750.00) for a total appropriation amount not to exceed Thirty Three Thousand Seven Hundred Fifty Dollars ($33,750.00) to pay for the Project.

NOW, THEREFORE, BE IT RESOLVED by the Kane County Board that the demolition services agreement with Martam Construction Inc. of Elgin, Illinois is hereby approved and the County Board Chairman is hereby authorized to execute the demolition services agreement with Martam Construction, Inc. for the Project.

BE IT FURTHER RESOLVED that the Kane County Board appropriate the not to exceed sum of Thirty Three Thousand Seven Hundred Fifty Dollars ($33,750.00) to pay for the demolition services required for the Project and that said funds shall be paid from the Transportation Sales Tax Fund #305, Line Item #73000 (Road Construction).



budget revision?



line item?




305.520.527.73000 Road Construction Yes Yes



Vote:

22-01 FbynMnDemo

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KANE COUNTY DIVISION of TRANSPORTATION

Carl Schoedel, P.E. Director of Transportation County Engineer

NOVEMBER 2, 2021 BID OPENING

41W011 Burlington Road St. Charles, IL 60175

Phone: (630) 584-1170 Fax: (630) 584-5265

KANE COUNTY SECTION #21-00288-03-BD

MAIN STREET AT FABYAN PARKWAY DEMOLITION PROJECT BIDDER AS READ BID ALPINE DEMOLITION SERVICES $98,600.00 FOWLER ENTERPRISES, LLC $77,350.00 MARTAM CONSTRUCTOIN, INC. $27,000.00

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Packet Pg. 716


Resolution No.

Approving a Payment for ComEd Utility Relocation for Walker Road over Burlington Creek Bridge Replacement, Kane County Section No. 08-00133-01-BR



Budget Information:

Was this item budgeted? Yes Amount: $43,403.66


Summary:

In 2015, KDOT replaced the Walker Road over Burlington Creek Bridge (just south of Allen Road). As part of that project, the roadway and bridge were slightly widened to allow for the construction of 4’ bituminous shoulders. A portion of the approach roadway was also elevated to match into the new, larger bridge. ComEd had facilities located in an easement outside the pre-project existing right of way limits. Their facilities were impacted by the new bridge construction and had to be relocated at the expense of the County. ComEd initially estimated that work would cost $98,230.00. The County Board approved Resolution No.14-419 authorizing an appropriation amount of $98,230.00. KDOT paid ComEd 50% ($49,115.00) in March 2015 to start the relocation work. In 2020 the associated purchase order to ComEd was closed, but $49,115.00 of funds remain available from the original appropriation. ComEd submitted a remaining final bill (attached) to the County in an amount of $92,518.66 and demonstrated that additional effort was necessary to complete the project resulting in a larger expense. Staff has reviewed the additional utility relocation work and recommends approval of the final payment of $92,518.66.

Packet Pg. 717

STATE OF ILLINOIS

COUNTY OF KANE

RESOLUTION NO.

APPROVING A PAYMENT FOR COMED UTILITY RELOCATION FOR WALKER ROAD OVER BURLINGTON CREEK BRIDGE REPLACEMENT, KANE COUNTY SECTION NO. 08-

00133-01-BR

WHEREAS, certain ComEd utilities required relocation to accommodate the successful completion of the Kane County Highway No. 46 (Walker Road) over Burlington Creek Bridge Replacement Project (hereinafter the “Project”); and

WHEREAS, pursuant to Resolution No. 14-419, the Kane County Board approved an

appropriation of $98,230.00 for payment to ComEd for the utility relocation associated with the “Project; and

WHEREAS, the County Division of Transportation and ComEd have determined an

equitable allocation of responsibilities for the estimated costs for the utility relocation as set forth in a Utility Relocation Agreement, (a copy of which is on file in the office of the County Clerk); and

WHEREAS, the County made an initial payment to ComEd of $49,115.00 to initiate ComEd

utility relocation to accommodate the “Project”; and WHEREAS, the final cost of the relocation was $141,633.66 and County’s balance due of

the remaining ComEd Project utility relocation is $92,518.66. NOW, THEREFORE, BE IT RESOLVED that the Kane County Board approves the final

payment due for the ComEd utility relocation and authorizes the final payment of Ninety Two Thousand Five Hundred Eighteen and 66/100 Dollars ($92,518.66) for the utility relocation for the Project from the Transportation Sales Tax Fund #305, Line Item #73010 - Bridge Construction.



budget revision?



line item?




305.520.527.73010 Bridge Construction Yes Yes



Vote:

22-01 WlkrBrlngtnCrkCOMED

Packet Pg. 718

ComEd

One Lincoln Centre, 6th Floor

Mr. Michael Zakosek, P.E. Oak Brook Terrace, IL 60181

Chief of Design Amir Mahmutagic

Kane County Division of Transportation(630) 406-7346

[email protected]

Project Name: [15FRD069] Walker Rd over Burling (REIM)Project ID: 15FRD069Payment Type: Final

Current Balance: $92,518.66

Dear Mr. Michael Zakosek, P.E.,

associated with [15FRD069] Walker Rd over Burling (REIM) in the .

The deposit(s) received for performing this work was, -$49,115.00

This deposit was based on preliminary engineering and known scope at the time.This invoice documents the final project costs and any amounts due.

The balance due for this project is 92,518.66$

The total cost for this project includes ComEd and Contractor direct charges, including materials and ComEd indirect allocations. Following pages provide further breakdown of these charges.

If you have any questions, please free to call me directly.

Sincerely,

Amir Mahmutagic

Project ManagerOffice Phone: 630-437-2212

Cell Phone: [email protected]

ComEd has completed the required engineering, design, construction and commissioning with the work

January 28, 2021

1 of 3Packet Pg. 719

ComEd Date 1/28/2021

One Lincoln Centre, 6th FloorOak Brook Terrace, IL 60181 INVOICE NO. 15FRD069-Final

Amir Mahmutagic

[email protected]

BILL TO Project Information

Mr. Michael Zakosek, P.E.

Chief of Design Project ID: 15FRD069Kane County Division of Transportation Payment Type: Final (630) 406-7346 Current Balance: 92,518.66$ [email protected]

DESCRIPTION TOTAL

ComEd Labor 65,661.82

Materials 21,112.76

Contracting 2,389.14

Other 52,469.94

SUBTOTAL 141,633.66

Remarks / Payment Instructions: Tax Gross up -

Previous Payments (49,115.00)

Balance Due 92,518.66$

Return this portion with your check made payable to ComEd

INVOICE 15FRD069-Final Balance Due 92,518.66$

Amount Enclosed

ComEd Mr. Michael Zakosek, P.E.ComEd Project Management Chief of DesignATTN: Amir Mahmutagic Kane County Division of TransportationOne Lincoln Centre, 6th Floor (630) 406-7346Oak Brook Terrace, IL 60181 [email protected]

INVOICE

[15FRD069] Walker Rd over Burling (REIM)Project Name:

Project Name:

Payment due in 90 days

[15FRD069] Walker Rd over Burling (REIM)


ComEd Date 1/28/2021

One Lincoln Centre, 6th FloorOak Brook Terrace, IL 60181 INVOICE NO. 15FRD069-Final

Amir Mahmutagic

[email protected]

TOTAL

ComEd Labor (Tab 1) Hours Hourly Rate (Avg)

Regular Time 292.50 100.70$ 29,454.89$

Overtime 146.50 90.91$ 13,318.70$

Labor Overheads 22,888.23$

SUBTOTAL ComEd Labor (Tab 1) 65,661.82$

Materials (Tab 2) Units

Materials 168 2,683.05$

Material Store Handling 18,429.71$

SUBTOTAL Materials (Tab 2) 21,112.76$

Contracting (Tab 3)

Contracting 2,389.14$

SUBTOTAL Contracting (Tab 3) 2,389.14$

Other (Tab 4)

Other Expenses 14,430.53$

Other Overheads 12,275.08$

GO25 (AIA) 25,764.33$

SUBTOTAL Other (Tab 4) 52,469.94$

Tax Gross up -

SUBTOTAL 141,633.66

Previous Payments (49,115.00)

Balance Due 92,518.66$

- CONFIDENCIAL & PROPRIETARY -

Any and all rate, cost and pricing information contained in this invoicing packet is to remain confidential.Information contained in this packet is exempt from disclosure under FOIA.

DESCRIPTION

INVOICE DETAIL


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Bridge Removal

Legend

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Township Boundry

Rail Roads

County Roads46734

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Section Number 08-00133-01-BRWalker over Burlington RoadBridge Replacement

Bridge Removal

Legend

Fox River

County Boundry

Township Boundry

Rail Roads

County Roads46734

Interstates§̈¦88

US Roads£¤30

State Roads!(31

Municipalities

Forest Preserves

Other Roads

0 1,000 2,000 3,000 4,000500Feet

0 1Miles

72

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Resolution No.

Approving an Agreement with Duncan Solutions, Inc. of Milwaukee, Wisconsin for Debt Collection Services, Administrative Hearing Services and Payment Plan Administration Services, Kane County Section No. 21-00215-26-MS


Budget Information:



Summary:

In the event a Longmeadow Parkway Toll Bridge user doesn’t pay their tolls resulting in a balance equal to or exceeding $7.00 of unpaid tolls and associated fees, a series of three (3) consecutive toll invoices will be sent to the address of the owner of the vehicle. Should all of these notices still result in non-payment, an evidence package will be transferred to a debt collection agency to pursue payment. Working with the Purchasing Department and our tolling consultant, staff went through a competitive RFP process to select a vendor to provide debt collection services, administrative hearing officers and to administer toll payment plans. The selection committee determined that Duncan Solutions, Inc. was the highest ranked firm to provide these services. Staff recommends approval of the attached contract which has a minimum 6-year initial term, with two, 2-year additional optional terms, for a potential 10-year maximum contract length estimated at a cost of $200,000 for the use of administrative hearing officers and the administration of toll payment plans. As described in the County’s Purchasing Ordinance, the Director of Purchasing and the Director of Finance have each pre-approved the use of a maximum contract length of 10 years. Staff recommends approval of a contract with Duncan Solutions, Inc. for an estimated total cost of $200,000 over the maximum 10-year life of the contract.

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STATE OF ILLINOIS

COUNTY OF KANE

RESOLUTION NO.

APPROVING AN AGREEMENT WITH DUNCAN SOLUTIONS, INC. OF MILWAUKEE, WISCONSIN FOR DEBT COLLECTION SERVICES, ADMINISTRATIVE HEARING

SERVICES AND PAYMENT PLAN ADMINISTRATION SERVICES, KANE COUNTY SECTION NO. 21-00215-26-MS

WHEREAS, administration services are required for the Kane County Highway No. 86 (Longmeadow Parkway) Toll Bridge Toll Debt Collection, Administrative Hearing and Payment Plan Administration Services, (Kane County Section No. 21-00215-27-MS) (herein after referred to as the “Project”); and

WHEREAS, in order to accomplish the Project, it is necessary to retain an experienced,

professional consulting services firm to provide toll collection support services; and WHEREAS, Duncan Solutions, Inc., 777 N Jefferson Street #4C, Milwaukee, Wisconsin has

experience and professional expertise in debt collection services, administrative hearing services and payment plan administrative services and is willing to perform the required Project services for the maximum 10-year life of the contract in an amount not to exceed $200,000.00 as set forth in the agreement (a copy of which is on file with the County Clerk’s Office); and

WHEREAS, this contract calls for the use of funds beyond the current budget year and the

County of Kane acknowledges the necessity of the appropriation of such funds; and WHEREAS, in accordance the direction of the County Board and municipal partners,

support services and other tolling operations are considered temporary in nature with tolling to be removed from the bridge once all bond debt service, maintenance set-aside and tolling purposes have been fulfilled.

NOW, THEREFORE, BE IT RESOLVED by the Kane County Board that the Debt Collection,

Administrative Hearing and Payment Plan Administration Services, agreement with Duncan Solutions, Inc. for the Project is hereby approved and that the Chairman of the Kane County Board is hereby authorized to execute an agreement with Duncan Solutions, Inc. therefor.

BE IT FURTHER RESOLVED that the Kane County Board hereby appropriates the not to exceed sum of Two Hundred Thousand Dollars ($200,000.00) from Transportation Sales Tax Fund #305, Line Item #50150 (Contractual/Consulting Services) to pay for said Administrative Services for the Project.



budget revision?



line item?




305.520.527.50150 Contractual/Consulting

Services

Yes Yes


________________________________ _____________________________ John A. Cunningham Corinne M. Pierog MA, MBA

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Clerk, County Board Chairman, County Board Kane County, Illinois Kane County, Illinois

Vote:

22-01 DebtCollectionDuncan

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1 DEBT COLLECTION, ADMINISTRATIVE HEARING, AND PAYMENT PLAN ADMINISTRATION

SERVICES CONTRACT

DEBT COLLECTION SERVICES, ADMINISTRATIVE HEARING SERVICES, AND PAYMENT PLAN ADMINISTRATION SERVICES CONTRACT

KANE COUNTY SECTION NO. 21-

PURCHASE ORDER #2021-_____

This Contract is made and entered this 11th day of January 2022 (the “Effective Date”), between the County of Kane, State of Illinois (“County”) and Professional Account Management, LLC, a Wisconsin limited liability company authorized to do business in the State of Illinois with offices at 633 W Wisconsin Ave., Suite 1600, Milwaukee, WI 53203 (“Contractor”). The County and Contractor may hereinafter be referred to as a “Party” or collectively as the “Parties.”

RECITALS WHEREAS, the County desires to contract for collection, administrative hearing, and

payment plan administration services, as part of its operations of the Longmeadow Parkway Toll Bridge; and

WHEREAS, in response to the Request for Proposals for a Collection Services (RFP #08-

21) issued by the County dated March 19, 2021 (“RFP”), Contractor proposed under its response to RFP #08-21 dated April 5, 2021, response to Request for Clarification dated May 14, 2021 and response to Addendum 3 – Additional Scope of Work Items dated July 2, 2021 (collectively, the “Proposal”) to provide said services (collectively, the “Services” as hereinafter more particularly defined) for the County; and

WHEREAS, the County has determined that Contractor’s Proposal is the best value

among those submitted in response to the RFP and desires to engage Contractor and Contractor agrees to perform the Services, under the terms, conditions and provisions contained herein; and

WHEREAS, this Contract is a multi-year contract the term of which exceeds two (2) years, and in accordance with the requirements of Section 4.27 of the Kane County Purchasing Ordinance, prior approval thereof by the Kane County Director of Purchasing and Director of Finance has been received; and WHEREAS, pursuant to Resolution No.____________, the County Board Chairman of Kane County is authorized to execute this multi-year Contract which calls for the use of funds beyond the present budget year and the Parties acknowledges the necessity of the present and future appropriation of such funds.

NOW THEREFORE, in consideration thereof, the mutual promises and covenants

contained herein, and other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the Parties intending to be legally bound, covenant agree and bind themselves follows: ARTICLE I – SCOPE OF SERVICES A. Generally. Contractor shall provide all services described in Appendix A, Scope of Work, incorporated herein by reference, (1) to expeditiously collect outstanding unpaid tolls, fees

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and/or penalties incurred by and due and owing from users of the Kane County highway No. 86 (Longmeadow Parkway) Toll Bridge which are subsequently designated for collections by the County and transferred by the BOSP to the Contractor (“Collection Services”); (2) to establish and ensure a fair and impartial administrative hearing process for individuals contesting assessment of and liability for non-payment of a toll violation (“Administrative Hearing Services”); and (3) to administer payment plans for delinquent tolls and fees ,and collect payments from customers that request payment plans to pay unpaid tolls and fees prior to being sent to collection (“Payment Plan Administrative Services”). By executing this Contract, the County accepts, and the Contractor agrees to be bound by the County’s Scope of Work, (SOW) as detailed in the RFP, and any addendums thereafter. B. Definitions. Capitalized terms not otherwise defined herein shall have the meaning proscribed for and in accordance with their RFP Document definition. C. Performance Warranty. The Contractor shall perform the Services in a manner consistent with the standards of competent practice and care for the industry. D. Meetings and Reports. The Contractor shall attend meetings and deliver reports as necessary to perform the Services and as required in accordance with Appendix A. E. Performance Expectations.

1. Mitigation of Delay. Contractor shall use commercially reasonable efforts to mitigate delays in performance and completion of Services, in whole or the component parts, by including, but not limited to, re-sequencing Services, and/or re-allocating or re-deploying or acquiring Contractor’s resources and labor, as appropriate.

2. Operations. The Contractor shall be responsible for providing the necessary staff and systems to perform the Services with minimum oversight by the County. The County shall rely on Contractor for and the Contractor shall provide its expertise in providing the Services hereunder in a professional and accountable manner.

3. Coordination. Contractor acknowledges and understands that the provision of its Services will require on-going coordination with the County’s Back Office System Provider (“BOSP”) and integration with the Back Office System to enable the transfer of customer account information.

4. Cooperation. Contractor shall promptly cooperate and require its subcontractors to promptly cooperate with the BOSP, the County and any other County designated representatives or agents to facilitate the full, efficient, effective and timely performance of the Services. Contractor shall cooperate and coordinate with other subcontractors and suppliers, utility companies, governing authorities, and all other individuals and entities required to perform any efforts in support of the Services, or which are otherwise responsible for oversight, supervision, inspection or performance of any part of the Services. Contractor and its representatives and staff shall be available at all reasonable times to the County. It is also understood that to ensure the full, efficient, effective and timely performance of the Services by Contractor, that the BOSP, the County, and any other County designated representatives or agents shall cooperate and coordinate with Contractor.

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In the event that Contractor believes that the County’s third-party contractors, subcontractor or agents, if any, are interfering with, not cooperating with or otherwise not coordinating with Contractor, Contractor shall immediately notify the County in writing, but in no event later than one (1) Business Day for urgent matters that are critical and time sensitive, or within seven (7) Business Days for all other matters, after the alleged interference or non-cooperative activity began or occurs or otherwise becomes reasonably known or apparent. Contractor shall provide the County with details of the nature of the interference, failure or lack of cooperation. Failure on the part of the Contractor to furnish such notice within the specified time period shall result in the Contractor's waiver of any claim resulting from such interference and/or lack of cooperation.

5. Incident Response. In the event of an incident that may occur on or near the Project and in which Contractor or its subcontractors or agents may be involved, Contractor shall for itself and its subcontractors, complete any forms and furnish any required information to the County or its designated representative. For any incidents that involve other contractors and/or subcontractors, Contractor shall complete the forms and furnish the necessary information as required by the County or its designated representatives, or follow other procedures as requested by the County.

6. To the extent necessary to enable Contractor to comply with applicable laws and standards in the collection industry, including the FDCPA and Regulation F, the County agrees to the following: (i) to reasonably cooperate with Contractor and provide reasonably necessary information (or information required to collect under the FDCPA or state laws) it has regarding debts placed for collections under this Contract; (ii) that debts placed with the Contractor are accurate to the best of the County’s knowledge; (iii) that reasonable steps will be taken to report disputes, appeals, validation requests, and defenses of debtors to the Contractor (including any information regarding the bankruptcy, death, legal disability or other defenses; and (iv) to cooperate with Contractor in the event of any changes in law that may impose new or additional obligations on the Contractor.

ARTICLE II – TERM

A. Initial Term. This Contract shall begin on the Effective Date and shall continue thereafter for a period of six (6) years (the "Term"), unless earlier terminated as provided herein. B. Renewal Term. At the County’s sole option, it may renew this Contract for up to two (2) additional 2-year periods each (a "Renewal Term"), which may be exercised upon notice to the Contractor at least 30 days prior to the expiration of the initial Term or any prior Renewal Term. If the County elects to renew the Contract, Contractor must execute the Renewal Term amendment. The renewal of the Contract shall be evidenced by an executed Renewal Term amendment. C. Non-Appropriation. Contractor acknowledges that continuation of this Contract from fiscal year to fiscal year is subject to the appropriation of adequate funds therefor approved and appropriated by the Kane County Board. If funds are not allocated, appropriated or are exhausted, Contractor’s only remedy is suspension of its performance under or termination of this Contract. The Contractor shall have no other remedy in law or in equity against the County and no right to damages of any kind or nature.

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ARTICLE III – CONTRACT PRICE AND COMPENSATION

A. Compensation. Compensation to Contractor shall be based on the services provided as required in the Scope of Work and as accepted by the County from Contractor’s Proposal (Appendix B). Contractor will be compensated based on a combination of contingency fee payments, unit pricing payments and hourly rate payments, as provided in the Compensation Schedule contained in Appendix C.

B. Expenses. All expenses associated with the Services described in Appendix C are included in the Contractor’s Proposal. The Contractor shall not claim, and the County will not make any additional payment for any of the Contractor’s expenses. D. Pass Through Costs. Pass through costs means those costs and fees for Services or parts thereof as provided for in the RFP and furnished by the Contractor’s subcontractors or vendors that are not a direct party to this Contract. The Contractor may directly pass those County approved costs and fees on without markup or upward adjustment of any kind in the Contractor’s invoice for payment to the County. E. Invoices. The Contractor will submit invoices to the County in a form agreeable to the County in the month following, successful performance of the services. For any services performed on a time and materials basis, the invoice will also state the total number of hours worked by billable labor category. Invoices shall be accompanied by such supporting documentation as required by the County. The Contractor shall use the County’s Automatic Clearing House (ACH) payment program. Any payments to the Contractor shall be made through the County’s ACH program and the Contractor shall use and complete the County’s ACH vendor agreement, which agreement can be found on the County’s website at:

https://www.countyofkane.org/Documents/Purchasing/Purchasing%20Ordinance.pdf F. The County will pay all undisputed invoice amounts within sixty (60) days of the date of Invoice. In the event of disputes, the Contractor and the County will work in good faith to resolve disputes via the steps outlined in Article XIII, Laws and Disputes. G. Taxes. The County is a tax-exempt entity and will provide the Contractor a copy of the County’s tax exempt certificate. H. Withholding Payments. The County reserves the right to withhold payment or payments, in whole or in part, for nonconforming Services, or any SOW deliverable (Deliverable) not completed in accordance with this Contract. The value of such Services will be determined by the County and deducted from any invoice claiming such item(s) for payment. Payment for the non-conforming or incomplete Services will be withheld by the County from any submitted invoice until such time as the Services, equipment or Deliverable is corrected or completed. If any aspect of the Services, systems or Deliverable fails, in whole or in part, to pass any test required under the SOW, the County may withhold approval of any associated payments due therefor until the completion of any and all corrective action and the successful completion of

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any and all retests. In the event of any re-testing, Contractor shall pay for (a) the costs of County employees to participate in and to attend each re-testing, including, but not limited to, travel, meals and lodging (but not the cost of any of the County’s employee salary); (b) the consulting fees and the costs of the County’s consultants to participate in and to attend, including, but not limited to, travel, meals and lodging; and (c) all of Contractor's costs and fees. Contractor shall make payment to the County for these costs and expenses within thirty (30) Days of the date of the invoice from the County listing such costs and expenses. I. Payment not Acceptance. Payment or use of any Services, or equipment or portions thereof by the County shall not constitute an acceptance of any Services, or equipment not performed in accordance with this Contract, nor shall payment waive any preceding or then-existing breach or default hereof by Contractor of any term, covenant or condition of this Contract. Additionally, any payment in whole or in part shall not extend or affect (a) any time within which the Contractor is required to perform any obligation; or (b) any other notice or demand. ARTICLE IV – SUBMITTAL REVIEW AND APPROVAL A. Submittal Procedures. Contractor shall timely submit documents as required and within the applicable timeframe set forth in the SOW (each a “Submittal” and collectively, “Submittals”). B. Accuracy. In all cases, all documentation required to be provided by the Contractor shall be true, complete and accurate in all respects, and tailored and detailed as necessary to the needs of the Project or the County.

C. Review Periods. Whenever the County is entitled to review and comment or otherwise approve a Submittal, unless otherwise specified, the County shall respond and/or act upon such Submittal within fifteen (15) Business Days from the date it receives an accurate and complete Submittal, and all necessary information and documentation concerning the subject matter of the Submittal. Any period of review by the County in excess of fifteen (15) Business Days, may give rise to an extension of time as set forth immediately below in this Article IV, Section D.

D. Extension of Time Periods. All time periods for the County to act upon Submittals shall be extended by the period of any delay actually caused by (i) a Force Majeure Event as defined in Article XII; (ii) change in law; (iii) issuance of a temporary restraining order or other form of injunction by a court that prohibits prosecution of any material portion of the Services; and (iv) to the extent of any delay by the Contractor or any Contractor Parties. E. County's Comments/Objections. The County reserves the right to comment on, take exception to, object to, reject or disapprove any Submittal, Deliverable or portion or any of the Services. If an item is not approved, then the County will provide comments that define the nature and extent of the deficiency. The County's comment, exception, objection, rejection or disapproval shall be deemed reasonable, valid and binding, with no further action by the County, if based on any of the following grounds:

(1) Non-compliance with Requirements. The Submittal or any part thereof or the Services and/or work thereon fails to comply with any applicable covenant, condition,

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requirement, term or provision of this Contract, SOW, or any Deliverable and component plans thereunder; (2) Good Industry Practice. The Submittal or part thereof or the Services and any work thereon is not to a standard equal to or better than the requirements of Good Industry Practice; (3) Incomplete Submittal, Content or Services. Contractor has not provided all content and information required with respect to a Submittal, or the Services or any part thereof. (4) Lack of Quality Control. The Submittal contains technical errors, spelling or grammatical errors, incorrect references, or is generally unprofessional and indicative of a lack of or insufficient quality control. (5) Violation of Law. Adoption of the Submittal or any part thereof, or of any proposed course of action thereunder, would result in a conflict with or violation of applicable law, regulation or governmental entity approval (“Governmental Approval”). For purposes of this Contract, a “Governmental Entity” shall mean any federal, state, local or foreign government or political subdivision thereof, or any agency or instrumentality of such government or political subdivision, or any self-regulated organization or other non-governmental regulatory authority or quasi-governmental authority (to the extent that the rules, regulations or orders of such organization or authority have the force of law), or any arbitrator, court or tribunal of competent jurisdiction. (6) Not a Typical County Arrangement. In the case of a Submittal that is to be delivered to a Governmental Entity, or in order to obtain, modify, amend, supplement, renew, extend, waive or carry out a Governmental Approval, the Submittal proposes commitments, requirements, actions, terms or conditions that are not arrangements that the County offers or accepts for addressing similar circumstances affecting its projects or other business.

F. Contractor Review and Comments. Contractor shall accommodate or resolve any comments or objections to the Submittals by the County. Contractor shall timely and promptly respond to all of the County comments and objections to a Submittal and, except as provided below, make modifications to the Submittal as necessary to fully reflect and resolve all such comments and objections. If Contractor rejects a comment or objection, Contractor shall deliver to the County within a reasonable time period, not to exceed ten (10) Business Days, after receipt of the County's comments or objections, a written explanation of the rejection of or objection to the comment by Contractor fully detailing why it is rejecting or objecting to the County’s comment. The written explanation shall include the facts, analyses and reasons that support the conclusion, as well as supporting documentation. The Contractor's Project Manager and the County's Project Manager shall resolve any such conflict. The County Project Manager shall be the employee of the County who is designated to manage and have oversight of the efforts to complete the Project. G. Failure to Notify. If Contractor fails to notify the County of its objections or comments within the required time period, then that failure shall constitute Contractor's agreement to make all changes necessary to accommodate and resolve the comment or objection and full acceptance of all responsibility for such changes without right to a Relief Event, Compensation or other Claim.

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H. Inspection of Services. If the SOW, laws, or any Governmental Entity require any component of the Services to be tested or approved, Contractor shall give the County timely written notice of such inspection and its readiness for inspection and testing to allow the County or its designee a reasonable opportunity to participate or monitor such inspection or testing. I. Limitations on Contractor's Right to Rely. Contractor at all times shall have an independent duty and obligation to fulfill the requirements of this Contract. Any approval by the County shall not be deemed to relieve or otherwise waive any of the Contractor’s obligations or requirements under this Contract, unless the same is the subject matter of a written and approved amendment to this Contract. The County assumes no duty, obligation or liability regarding completeness or correctness of any Submittal, including a Submittal that is to be delivered to a Governmental Entity as a proposed Governmental Approval, or in order to obtain, modify, amend, supplement, renew, extend, waive or carry out a Governmental Approval. No review, comment, objection, rejection, approval, disapproval, acceptance, certification (including certificates of acceptance and System Acceptance), concurrence, monitoring, testing, inspection, spot checking, auditing or other oversight or similar action or the lack thereof, by or on behalf of the County shall constitute acceptance of non-conforming or defective materials, equipment or Services or waiver of any legal or equitable right under the Contact, at law, or in equity. The County shall be entitled to remedies for unapproved deviations and nonconforming Services and to identify additional work which must be done to bring the Services and Project into compliance with the requirements of this Contract, including, but not limited to the SOW, whether or not previous review, comment, objection, rejection, approval, disapproval, acceptance, certification, concurrence, monitoring, testing, inspection, spot checking, auditing or other oversight were conducted or given by the County or by the County’s other contractors or designated representatives. With respect to such oversight activity or failure to conduct any such oversight activity by the County or its other contractors, agents or designated representatives, Contractor agrees and acknowledges that such activity:

(1) is solely for the benefit and protection of the County; (2) does not relieve Contractor of its responsibility for the selection and the competent

performance of all Contractor’s subcontractors and suppliers; (3) does not create or impose upon the County or other third-party providing approval on

the County's behalf any duty or obligation with regard to Contractor’s requirements hereunder; (4) shall not be deemed or construed as any kind of warranty, express or implied, by the

County; (5) shall not relieve Contractor from liability for, and responsibility to cure and correct

any unapproved deviations, nonconforming Services or Contractor events of default. (6) shall not relieve or entitle Contractor to any reduction of or modification to its

obligations to perform the Services in strict accordance with this Contract, or any of its other liabilities and obligations, including, but not limited to, its indemnity obligations, or otherwise entitle Contractor to additional costs or funds;

(7) may not be relied upon by Contractor or used as evidence in determining whether Contractor has fulfilled the requirements of this Contract; and

(8) may not be asserted by Contractor against the County as a defense, legal or equitable,

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to or as a waiver of or from, Contractor's obligation or responsibilities under this Contract. J. Inspection and Testing. At all times during the Term of this Contract, the County shall have the right to monitor, review, inspect, test, and audit the Services set forth in this Contract. The County shall have the right to attend and witness any tests and verifications to be conducted. Such attendance or participation does not waive any rights of the County for any defects or failures to perform by Contractor hereunder. Contractor shall provide to the County all applicable test results and reports (which may be provided in electronic format) within ten (10) Days after Contractor receipt thereof. ARTICLE V – CONTRACTOR PERSONNEL A. Sufficient and Qualified Personnel. Contractor shall provide sufficient professional personnel and staffing to perform the Services in a timely and efficient manner in accordance with this Contract. All Persons assigned to perform work or services under this Contract shall be employees or authorized subcontractors of Contractor, shall be licensed in the State of Illinois (if required by law), and shall be fully qualified to perform the work and/or services required to complete the Services. Contractor shall include this provision in any agreement with any subcontractor and/or supplier selected to perform and/or to provide any portion of the Services. Personnel commitments set forth in the SOW shall not be changed unless approved by the County. Contractor's failure to provide adequate staffing to perform the Services may result in the termination of this Contract at the County’s sole discretion. B. Key Personnel. Contractor shall have dedicated to the Services a separate person to fill the following key personnel, (“Key Personnel”) whose qualifications and scope of responsibility is defined in the RFP and SOW:

Project Manager Operations Manager Business Analyst Lead –Finance & Accounting Administrative Hearing Officer(s)

Such Key Personnel identified in Contractor’s proposal are expected to remain dedicated throughout the Contract or through the completion of their assigned tasks, as applicable. No substitutions of Key Personnel will be permitted unless such substitutions are necessitated by an individual's sudden illness, death, and resignation from Contractor or its Subcontractor or as otherwise approved by the County. In any of these events, substitutions will be allowed only upon the County’s written approval. Contractor shall promptly notify the County of the resignation of a Key Person or the unavailability of the Key Personnel for any period longer than ten (10) Business Days. All proposed substitutes for Key Personnel must meet qualifications required for the position as described in the RFP. Contractor shall submit the resume of the proposed substitute Key Personnel’s resume and clearly establish that the proposed substitute person meets these minimum qualifications. The County may request additional information or request the proposed substitute person be made available for interview by the County.

C. Contractor Responsibility. Contractor acknowledges and agrees that it is and shall be

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solely responsible for all of Contractor’s employee wages and salaries, federal and state taxes, withholding, social security, insurance, unemployment insurance and other benefits and taxes. Contractor agrees to provide statutory workers’ compensation insurance for Contractor’s employees and agents and agrees to hold harmless and indemnify the County for any and all claims arising out of any injury, disability, or death of any of Contractor’s employees or agents. The Contractor and any sub-contractor(s) shall comply with all applicable State (820 ILCS 130/0.01 et seq.) and Federal (40 USC 3141 et seq.) Prevailing Wage Laws and shall continue to take all measures necessary to remain in compliance therewith. Contractor agrees to provide workers’ compensation insurance for Contractor’s employees and agents and to cause its subcontractors to provide workers’ compensation insurance for the subcontractor’s employees and agents and agrees to hold harmless and indemnify the County for any and all claims arising out of any injury, disability, or death of any of Contractor’s employees, agents or subcontractors. D. County's Right to Remove. The County shall have the right to request Contractor to remove any Contractor employee or agent from performing the Services under this Contract, if in the County’s reasonable opinion such person is not satisfactorily performing the Services; is failing to cooperate as required in this Contract; is posing a security risk to the operations or systems or to the County's business; is otherwise breaching a term of this Contract; whose presence on the Project is not in the interest of the County; or any other reasonable basis. In the event of such removal, Contractor will replace the employee with appropriately skilled personnel. ARTICLE VI - RIGHTS TO DATA, WORK PRODUCT AND SECURITY.

A. Data Ownership. All data, reports, surveys, studies, customer account information provided by the County to Contractor or generated by the Contractor and used, inputted, compiled, collected and maintained in any form or fashion by the Contractor (collectively the “County Data”), in the performance of the Services shall remain the property of the County and shall be returned to the County at its request or upon the completion or termination of this Agreement. Such data may not be used except as authorized within this Contract or disclosed to third parties without express written permission of the County. It is not the intent of, and nothing herein shall be construed as granting Contractor any rights to the County Data.

B. Ownership of Work Products

Contractor shall retain ownership of its work product except to the extent that such is derived from its work with the County. The County shall be entitled to copies and access to these materials during the progress of the work. Any County specific and related documents remaining in the hands of the Contractor or in the hands of any sub-consultant upon completion or termination of the work shall be immediately delivered to the County, except that the Contractor and County may work together to agree on the reasonable and appropriate disposition of back-up data and data that Contractor may be required to retain under state or federal law or pursuant to litigation holds, if applicable. Notwithstanding the above, “Work Products" are not intended nor shall they be construed to include Contractor’s pre-existing intellectual property secured, developed, written, or produced by Contractor prior to the execution of this Agreement or developed concurrently with this Agreement but not specifically for this Agreement; Contractor shall retain all right, title and interest in any such pre-existing intellectual property. Contractor shall be responsible for the preservation of any and all such Work Products prior to

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transmittal to the County, and Contractor shall replace any such Work Products as are lost, destroyed, or damaged while in its possession without additional cost to the County. Contractor represents and warrants that all materials prepared under this Agreement are original or developed from materials in the public domain (or both) and that all materials prepared under and services provided under this Agreement do not infringe or violate any copyright, trademark, patent, trade secret, or other intellectual-property or proprietary right of any third party. C. Data Security. Contractor shall maintain in effect at all times a comprehensive data security program that includes reasonable and appropriate administrative, technical and physical security measures designed to detect, prevent and mitigate the risk of identity theft and to protect against the destruction, loss, unauthorized access, disclosure, use and/or alteration of data (whether or not encrypted), including but not limited to Confidential Information, County Data, customer data, and other project-related data, in Contractor's possession or under Contractor's control. Such measures shall be no less rigorous than those measures that are required to be maintained by Contractor to comply with applicable laws and regulations and no less rigorous than those the County applies to its own data systems. Contractor will provide the data security program to the County for its review, and the County shall have the right to provide feedback and comment on Contractor's data security program.

If Contractor recommends certain security features that the County does not approve, the matter will be escalated to the County’s Information Technology Department Director for final resolution. D. Security Breaches.

1. Notification. If Contractor discovers or is notified of any suspected or actual destruction, loss and/or unauthorized access, disclosure, use and/or alteration of Confidential Information, including but limited to County Data, customer data, or other project-related data (each such event, a "Security Event"), Contractor shall (i) promptly notify, not later than twenty four (24) hours after discovery, the County of the Security Event; and (ii) investigate the Security Event and provide reasonable cooperation with the County's investigation of the Security Event, including periodic updates with respect to Contractor's investigation of the Security Event.

2. Corrective Action. If the source of the Security Event is not within the control of Contractor, Contractor shall (i) provide a risk assessment, root cause analysis and corrective action plan, including the mitigation and remediation activities; and (ii) comply to the extent applicable to Contractor personnel, and provide reasonable cooperation with the County in complying, with the requirements of all applicable Personal Information Laws (as defined herein below) and other applicable laws and regulations. If the source of the Security Event is within the control of Contractor personnel, Contractor shall (i) provide a written report to the County that sets forth Contractor's risk assessment, root cause analysis and corrective action plan, including the mitigation and remediation activities; (ii) implement the corrective action plan and mitigate the effects of the Security Event as soon as practicable; and (iii) provide the County periodic updates with respect to Contractor's mitigation and corrective action efforts.

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E. Protection of Confidential Information.

Contractor acknowledges that some of the material, information and data, including customer data, that may come into its possession or knowledge in connection with this Contract or its performance may consist of Confidential Information, as defined in the RFP and includes information that is exempt or prohibited from disclosure to the public or other unauthorized persons under the Illinois Freedom of Information Act. Customer data shall be considered confidential and may be released only to the Customer or to a third party only with approval of the Customer or as necessary to collect and enforce the payment of tolls and fees; or as otherwise required by law. Customer data consist of all information collected and maintained that pertains to a customer, including, but not limited to names, physical and email addresses, phone numbers, vehicle information, credit card, banking and payment information, and travel patterns. Contractor’s use of Confidential Information shall only be upon written approval of the County and in compliance with laws and regulations related to such use.

Contractor agrees to hold Confidential Information in strictest confidence, not make use of Confidential Information for any purpose other than the performance of this Contract, release it only to authorized employees, agents, or subcontractors requiring such information for the purposes of carrying out this Contract, and not release, divulge, publish, transfer, sell, disclose, or otherwise make it known to any other party without the County’s express written consent. Contractor represents and warrants that its collection, access, use, storage, disposal and disclosure of Confidential Information does and will comply with all applicable laws and regulations, including but not limited to Personal Information Laws as hereinafter defined. F. Personal Information Laws. Contractor acknowledges that data collected, maintained and used for purposes of executing the Services may include personal identifiable information pertaining to customers (“Personal Information”) including residents of the state of Illinois and of other states that have enacted personal information laws (hereinafter after and before “Personal Information Laws”). Contractor shall strictly comply with the requirements of all applicable Personal Information Laws. If and to the extent any unauthorized access, disclosure or use of Personal Information: (i) is attributable to a breach by Contractor of its obligations under this Contract, including the failure of Contractor to comply with the Security policies and procedures; and (ii) triggers notice or other requirements under a Personal Information Laws, Contractor shall bear the costs incurred by the County in complying with its or their legal obligations relating to such unauthorized access, disclosure or use of Personal Information, including but not limited to the reasonable costs of providing notices, a toll-free call center / help desk, credit monitoring (if applicable) and restoration services and identity theft insurance to affected individuals for up to two (2) years. Nothing contained herein shall be deemed to release Contractor from its indemnification obligations as set forth in Article X hereof.

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G. Additional Notification Obligations Contractor shall immediately notify the County of any request for information relating to customer accounts or County Data and direct any requests to the County’ Kane County Engineer.

1. Requests for Information. If Contractor or any of its employees, agents, or subcontractor(s) are requested or required (by oral questions, written requests, interrogatories, requests for information or documents in legal proceedings, subpoena, civil investigative demand or other similar process) to disclose Confidential Information, Personal Information, or other Project-related data, Contractor shall not disclose Confidential Information, Personal Information, or other Project-related data without providing the County with reasonable prior written notice of any such request or requirement so that the County may seek a protective order or other appropriate remedy and/or waive compliance with the provisions of the Contract. The Contractor shall exercise its best efforts to preserve the confidentiality of the Confidential Information, Personal Information, or other Project-related data, including by cooperating with the County to obtain an appropriate protective order or other reliable assurance that confidential treatment shall be accorded the Confidential Information.

2. Court Order. Should Contractor receive a court order or subpoena, Contractor shall:

(a) Immediately notify the person, or law enforcement officer furnishing the subpoena or court order that the information is owned and protected by the County and direct the person or officer to issue/deliver the order or subpoena to the County; and

(b) Immediately provide the original order or subpoena to the County Project Manager.

H. Contractor is solely responsible and liable for ensuring that the terms and conditions set forth in this Article VI are incorporated into any supplier, subcontracting or agency relationships with other entities that provide Services, or any part thereof related to this Contract.

I. Violation of this section by Contractor or its subcontractors or agents may result in termination of this Contract and demand for return or transfer of all information in question, monetary damages, or penalties.

J. The terms, duties and obligations of this Article VI shall survive any termination of this Contract.

ARTICLE VII - LOSS OF REVENUE. A. Liability for Revenue Loss. If the County incurs a loss of revenue as a result of the negligence or unlawful acts or omissions of Contractor, its officers, employees, agents or Contractor’s subcontractors, then Contractor shall pay to the County the revenue associated with the loss. Any liability for loss of revenue must be calculated on a net basis, must be verifiable and provable, caused by the Contractor’s negligence or unlawful acts or omissions, and subject to applicable defenses and reasonable reductions including mitigation of damages and self-help remedies. For the avoidance of doubt, a delay in recovering revenue is not a loss of revenue, nor is revenue lost if it is unlikely to have been recoverable absent the negligent or unlawful acts of

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the Contractor. B. Contractor Recommendation. Contractor may present to the County remedies that will prevent revenue loss events. If the County agrees that such remedies will prevent future loss events, then approval of the implementation of such remedies will not be unreasonably withheld by the County, taking into consideration the County's business needs and other general business considerations. Agreed upon remedies will be executed at no cost to the County and not impact in any way any of the County's other requirements under this Contract or Contractor’s other obligations under this Contract. Contractor acknowledges that the County’s approval of any such remedy does not limit the County’s remedies at law or in equity or any other recourse in the event such approved remedy does not fulfill its stated purpose. ARTICLE VIII - CHANGE ORDERS

A. Changes to the Services. Either Party may propose changes to the SOW or schedule of the Services. Requests for changes will be submitted to the other Party in writing for consideration of feasibility and the likely effect on the cost to County and customer. To proceed to a change order the Parties shall mutually agree upon any proposed changes, including resulting equitable adjustment to cost and schedule, if applicable, for the performance of the Services. The agreed changes will be documented in one or more change orders, (hereinafter “Change Order”). B. County Changes. The County may require modification, interface, conversion, report writer, or other services from the Contractor that deviate from the SOW. The Contractor agrees to provide a written Change Order describing the work requested to be performed on a lump price or time and materials basis, and in the case of time and materials services estimating the costs for the approval before beginning any such work. The Contractor will not exceed the estimated time and materials fees set forth in a mutually agreed to Change Order without justification, in writing, that is acceptable to and approved in writing by the County. No costs in excess of the estimates will be paid by the County unless approved in advance of fee incurrence. All modifications, interfaces, conversions, report writer, and similar services shall be subject to formal acceptance by the County before payment is released. C. County Delays. If action or inaction by the County, or failure by a County third-party contractor, subcontractor, representative, agent or supplier to perform their responsibilities as described in the Contract in a timely manner prevents the Contractor from or delays the Contractor in performing the Services, the Contractor will be eligible for an equitable adjustment in the Project Schedule. In such event, the Parties will negotiate in good faith to determine the appropriate equitable adjustments to the Project Schedule and may mutually agree upon a Change Order documenting the adjustments. Any extension of time granted pursuant to this Article XII. Section C shall be the sole remedy which may be provided by the County. The Contractor shall not be entitled to additional compensation from the County. Failure to timely submit a request for deviation from the Project Schedule constitutes waiver by the Contractor of any equitable adjustment.

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D. Changes to Applicable Law. If the statutes, regulations, executive or court orders or other rules or authorities affect the Services performed under this Contract in any way (whether through enactment, rescission, modification, failure to adopt enabling legislation or otherwise), such governing authorities shall be complied with, but only to the extent actually necessary under the law. In such event, this Contract shall remain in effect, unless the effect of the statute, regulation, executive or court order is to frustrate the County’s purpose or deprive the County of a material part of its bargain with the Contractor. In the event the statute, regulation, executive or court order results in depriving the County of materials, functionality or increased costs, or frustrates the County’s purposes, the County shall have the right to terminate this Contract upon thirty (30) days prior written notice to the Contractor. Should this Contract be terminated under such circumstances, the County shall be absolved of all penalties and financial assessments related to termination of the Contract. The parties will work together reasonably and in good faith to enter into a change order if the change in law or rule directly and materially negatively impacts the performance and/or cost of the Services.

ARTICLE XIII – WARRANTIES A. Workmanship. Contractor is solely responsible for maintaining and operating its computer systems, software and networks to meet requirements of the RFP. The software and firmware shall not contain viruses, backdoor entry points or pre-programmed devices among other things that would cause software to be erased or become inoperable or incapable of processing accurately and in accordance with the SOW requirements. Contractor shall correct or cause to be corrected all material defects or malfunctions in the firmware and software without additional charge to the County. B. Infringements. Contractor further warrants that its Services will not infringe any third-party intellectual property, copyrights, patents or trade secrets that arise or are enforceable under the laws of the United States of America.

C. Warranty Obligations. Without limiting any rights the County may have, Contractor’s obligation with respect to the hardware, software and firmware warranties includes the following:

1. Expedited repair or replacement at Contractor’s sole cost and expense, including the cost of removal of the unit of equipment (or part or component thereof) which proves defective or insufficient, or proves to have failed to comply with the SOW requirements.

2. In the event any software or equipment does not satisfy the conditions of performance set forth in the SOW requirements, Contractor’s obligation is to promptly repair or replace or upgrade such software and equipment at Contractor’s cost and expense. Alternatively, Contractor may provide different equipment, software and services, as required, to attain the performance requirements set forth in the Scope, subject to prior approval by the County.

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ARTICLE IX – THIRD PARTIES

A. Assignment. The Contractor shall not assign, transfer, convey or otherwise transfer or dispose of its rights, title, interest in, or its duty to perform or supervise the performance of any of its obligations hereunder, to any other person, company, corporation or entity without the prior written approval of the County. Any purported assignment in violation of the preceding sentence will be void. Any approved assignment shall not relieve the Contractor from any of its responsibilities under the Contract or imply a willingness on the part of the County to give any subsequent or other consent, nor stop the County from refusing same; nor shall any such consent confer upon any assignee or transferee any right to assign or transfer any rights conferred upon such transferee. B. Subcontracting. The Contractor shall not sublet or subcontract nor shall any subcontractor commence performance of any part of the work or services included in this Contract without the previous written approval of the County. Subcontracting, if permitted and approved in writing, shall not relieve the Contractor of any of its obligations under this Contract. The Contractor shall be and remain solely responsible to the County for the acts or faults of any subcontractor and of such subcontractor’s officers, agents and employees, each of whom shall for this purpose, be considered an agent or employee of the Contractor to the extent of its subcontract. The Contractor shall file a conformed copy of the applicable subcontract with the County. The Contractor and any subcontractor shall jointly and severally agree that the County is not obligated to pay or to be liable for the payment of any sums due any subcontractor. References to the Contractor in this Contract include authorized subcontractors of the Contractor. C. Removal and Replacement of Subcontractor. The County shall have the right to require Contractor to remove a subcontractor or supplier of Contractor from performing under this Contract, if in the County’s reasonable opinion such subcontractor or supplier:

(1) is not performing its work or portion of the Services satisfactorily; (2) is failing to cooperate as required in this Contract; (3) is posing a security risk to the Project or to the County's business; (4) is otherwise breaching a term of this Contract; (5) presence on the Project is not in the interest of the County; (6) is providing work or services no longer needed for the Project; or any other

reasonable basis. In the event of a removal or change of a subcontractor for any reason, the Services or Work that was provided by the removed subcontractor is still required for the Project. Contractor shall replace the subcontractor with an appropriately skilled subcontractor, subject to the County’s approval. D. Waiver of Defense. The Contractor covenants for the benefit of the County that it will not defend against any claim, suit or action brought against the Contractor or the County on account of any tortious act or contractual liability alleged to have been committed or incurred in the Contractor’s performance of the Contract during the term thereof, on the ground that said performance, or that any duty or obligation of the Contractor hereunder was in fact being discharged, by any person, firm or corporation other than the Contractor, unless the alleged cause of action occurred subsequent to an assignment or transfer of the entire Contract, which assignment

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or transfer was duly consented to by the County in writing. E. Third Party Beneficiaries. There are no intended third-party beneficiaries of any provision of this Contract. F. No Partnership Created. The Contractor is an independent contractor for all purposes under this Contract. This is not an agreement of partnership or employment of the Contractor or any of the Contractor’s employees or agents by the County for the purpose of extending any County employment benefits, including but not limited to the County’s health and welfare, retirement, unemployment or workers' compensation benefits, or for any other purpose. The Contractor shall not pledge or attempt to pledge the property or the credit of County or in any other way attempt to act on the County’s behalf in an effort to bind the County to any additional agreements. The Contractor agrees to indemnify the County for any and all sums that are due and owing to the Internal Revenue Service (IRS) for withholding FICA and unemployment or other state and federal taxes. The Contractor further agrees to make such payments to the IRS and appropriate state authorities for withholding FICA and unemployment taxes. G. Non-infringement. The Contractor warrants that all materials, including their use by the County in unaltered form, will not infringe any third-party copyrights, patents or trade secrets that exist on the Contract effective date and that arise or are enforceable under the laws of the United States of America. ARTICLE X- INDEMNIFICATION A. Generally. The Contractor shall defend, indemnify and hold harmless the County, its County Board members, County Engineer, officers, employees and agents (“Indemnified Parties”), from and against any and all liability, including claims, demands, losses, damages, settlements, judgments, costs and expenses (including reasonable attorney's fees and any costs of defense) of every kind and description resulting from bodily injury, personal injury, loss of revenue, sickness, disease or death of any person, or to the injury to or damage or destruction of property arising out of or in any way connected with, or occurring during the course of, performance of the Contract, whether directly or indirectly, where such liability is founded upon or grows out of, directly or indirectly, the acts, errors, omissions, undertakings, representations or warranties of the Contractor, its officers, employees, agents, independent contractors or subcontractors.

B. Patents, Copyrights, and Trade Secrets. The Contractor shall indemnify and shall hold harmless (including reasonable attorney fees) Indemnified Parties against all liability to third parties (other than liability solely the fault of the Indemnified Party) arising from or in connection with claims of violation of United States patents, trademark, trade secrets, proprietary information, copyrights or other intellectual property rights in existence on this Contract’s effective date resulting from the Contractor’s or the County’s use of any equipment, software, technology, documentation, and/or data developed in connection with the Services and products described in this Contract. If a third-party claim causes the County’s quiet enjoyment or use of any product supplied by the Contractor to be endangered or disrupted, or should a court order be issued against the County restricting its use of any product and should the Contractor determine not to further

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appeal the claim issue, at the County’s sole option, the Contractor shall provide at its sole expense, the following:

1. Purchase for the County the rights to continue using the contested product(s); or 2. Provide substitute products to the County which are, in the County’s sole opinion, of

equal or greater quality, or 3. Refund all monies paid to the County for the product(s) subject to the court action.

The Contractor shall also pay to the County all reasonable related losses related to the product(s) and for all reasonable expenses related to the installation and conversion to new product(s). C. Application. The indemnities provided herein shall survive the expiration or termination of this Contract. Nothing herein contained shall require the Contractor to reimburse the County for acts or omissions caused by the sole negligence of the County. The Contractor shall waive and shall not assert any claim against the County for any injury to persons, whether or not resulting in death, or any loss or damage to property occurring from any cause unless such injury, loss or damage is due solely to the gross negligence of the County, its agents or employees. Should the County elect to have the Contractor defend one or more of the Indemnified Parties, the County shall have the right, but not the obligation, to associate in such defense, whether directly or through outside legal counsel, or both. The indemnity obligations of the Contractor shall not be limited by the types, terms, conditions, or limits of liability of any insurance purchased and maintained. ARTICLE XI – INSURANCE

A. General. Except for the Contractor’s indemnification obligations with respect to infringement specified in Article X.B., the Contractor shall, at its expense and at all times during the performance of the services hereunder, maintain liability insurance insuring themselves against the indemnification obligations undertaken in Article X, Indemnification throughout the term of the Contract. The Contractor shall require its subcontractors to obtain insurance and shall be responsible for enforcement of its subcontractors’ obligation to obtain insurance, at limits appropriate to the exposures of the subcontractor’s work to satisfy the requirements hereunder. The policies the Contractor and its Subcontractors maintain shall be with companies authorized to do business in Illinois and rated “A” or above by A.M. Best Company or equivalent and carry the following coverages and limits:

(1) Comprehensive Commercial General Liability that includes the County as an additional insured for amount not less than $1,000,000, including those resulting in death to any one person or persons and/or property damage arising from any one accident and $2,000,000 in the aggregate, including coverage for: premises operations, liability for independent contractors, products liability, valuable papers, contractual liability and personal injury. The policy or policies shall be primary and non-contributory and shall not contain a provision that eliminates coverage for damages arising out of the negligence of the additional insured.

(2) Comprehensive Automobile Liability Insurance for bodily injury and property damage that includes the County as an additional insured for an amount not less than $1,000,000. The policy or policies shall be primary and non-contributory and shall not contain a provision that eliminates coverage for damages arising out of

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the negligence of the additional insured. (3) Professional Liability Insurance for not less than $3,000,000 for any one incident,

and if not written on an occurrence basis, shall be maintained for a period of not less than two (2) years following the completion of the Phase 2.

(4) Umbrella/Excess Liability Insurance Policy over primary general liability and automobile liability in an amount not less than $5,000,000.

The Contractor and its subcontractors shall also procure and maintain until this Contract has been fully and completely performed, Statutory Worker's Compensation insurance in accordance with the provisions of the laws of the State of Illinois, including Occupational Disease Act provisions, for employees at the site of the project, and in case work is sublet, the Contractor shall require each subcontractor similarly to provide this insurance. In case employees are engaged in work under this contract and are not protected under the Workers Compensation and Occupational Disease Act, the Contractor shall provide, and shall cause subcontractor to provide, adequate and suitable insurance for the protection of employees not otherwise provided. B. Certificate of Insurance. Upon execution of this Contract, the Contractor shall submit to the County certificates of insurance with respect to the required policies. If the additional insured endorsements required above are not available at the execution date, the Contractor shall submit to the County a notation of the endorsement together with either a binder or an advice with respect to such endorsement. The endorsement shall be submitted no later than thirty (30) days after the execution date hereof. C. Copy of Insurance Policy. In the event that the Contractor’s certificates of insurance are not reasonably sufficient evidence of the Contractor having met the insurance requirements of this Article, the Contractor shall forthwith provide a copy of the insurance policy or policies required under this Contract upon the request after redacting proprietary or confidential information. D. Additional Insured Provision. The Contractor shall provide the County and maintain a certificate of insurance for its General Liability Policy which certificate shall include the County as additional named insured. The additional insured endorsement included on the Contractor’s Commercial General Liability policy will provide the following:

(1) That the coverage afforded the additional insured will be primary insurance for the additional insured with respect to claims arising out of operations performed by or on behalf of the Contractor;

(2) That if the additional insured has other insurance which is applicable to the loss, such other insurance will be only on an excess or contingent basis;

(3) That the amount of the Contractor’s liability under the insurance policy will not be reduced by the existence of such other insurance; and

(4) That the certificate of insurance shall contain a provision or endorsement that the coverage afforded will not be canceled, materially changed, nor renewal refused until at least thirty (30) days prior written notice has been given to County. E. Workers Compensation. The Contractor shall also procure and maintain until the Contract has been fully and completely performed, Illinois Worker's Compensation Insurance

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covering all employees who engage in any work in connection with the performance of the Contract except employees hired in a state other than Illinois who will not engage in any work in the State of Illinois. F. Notice. Within twenty-four (24) hours after the occurrence of any event that results in or might result in revenue loss, which arises in any manner from the Contractor or it subcontractors and agents performance under the Contract, the Contractor shall send written notice thereof to the County’s State’s Attorney setting forth a full and precise statement of the facts pertaining thereto, and send a copy of any summons, subpoena, notice or other documents served upon or received by the Contractor, or any subcontractor, agent, employee or representative of the Contractor, arising in any manner from the performance of the Contract or any part thereof. ARTICLE XII – DEFAULT AND TERMINATION

A. Default. Each of the following shall constitute an event of default by the Contractor (“Contractor Default Event”):

(1) If the Contractor becomes insolvent, makes a general assignment for the benefit of creditors, or files a voluntary petition in bankruptcy or consents to the appointment of a receiver, trustee or liquidator of all or substantially all of its property;

(2) If by order or decree of a court, the Contractor is adjudged bankrupt or an order is made approving a petition filed by any creditors or, if the Contractor is a corporation, by any of the stockholders of the Contractor, seeking its reorganization or the readjustment of its indebtedness under the federal bankruptcy laws or any law or statute of the United States or of any state thereof;

(3) If a petition under any part of the federal bankruptcy laws or an action under any present or future insolvency law or statute is filed against the Contractor and is not dismissed within ninety (90) days after the filing thereof;

(4) If any lien is filed against the County’s property or funds resulting from an act or omission of the Contractor, and such lien is not released or discharged at Contractor’s cost within twenty (20) days;

(5) If the Contractor voluntarily abandons, deserts, vacates or discontinues the Work or its operations;

(6) If the Contractor fails to pay duly and punctually any monies required hereunder within twenty (20) days after written notice to cure; and

(7) If the Contractor fails to keep, perform and observe any promise or requirement set forth in the Contract, the RFP, the SOW or their documents on its part to be kept, performed or observed within five (5) business days after receipt of notice of default from the County, except where the cure of the default or the or the fulfillment of the Contractor’s obligation requires activity over a period of time and Contractor has commenced whatever action is required to cure the failure to the satisfaction of the County within five (5) days after notice and continues such performance without interruption.

B. Remedies for Default. Upon occurrence of any default or any time thereafter during the continuance thereof, the County may, at its option, exercise concurrently or successively any one or more of the following rights and remedies:

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(1) Upon five (5) days’ notice, terminate this Agreement. (2) Sue for the collection of fees or other amounts for which Contractor may be in default

or for the performance of any other promise or contract devolving upon Contractor for performance or damage therefor, all without terminating this Contract; C. Waiver. No waiver by the County at any time of any of the terms or conditions of this Contract shall be deemed or taken as a waiver at any time thereafter of the same or any other term or condition herein or of the strict and prompt performance thereof. No delay, failure or omission of the County to exercise any right, power, privilege or option arising from any default, or subsequent payment then or thereafter accrued shall impair or be construed to impair any such right, power, privilege or option to waive any such default or relinquishment thereof, or acquiescence therein and no notice by the County shall be required to restore or revive any option, right, power, remedy or privilege after waiver by the County of default in one or more instances. No waiver shall be valid against the County unless reduced to writing and signed by an officer of the County duly empowered to execute same. D. Other Termination Events. In addition to the termination upon five (5) days’ notice after an occurrence of default as provided above, the County may terminate this Contract for the following reasons:

(1) Mutual Agreement. The County and Contractor may mutually agree to terminate this Contract in writing on a date prior to the expiration of the term herein.

(2) Lack of funding appropriation. If the County Board of Kane County fails to appropriate funds to pay for Project obligations due hereunder. In such case, the Contractor shall be paid all amounts due Work completed up to the termination date.

(3) For Convenience. The County may unilaterally terminate this Contract, in whole or in part, at any time for any reason, by giving thirty (30) calendar days prior written notice to the Contractor. If the County unilaterally terminates this Contract pursuant to this Section, the Contractor shall be paid all amounts due for Work completed up to the termination date. The County shall only pay Contractor for Services performed through the termination date, any restocking fees actually and reasonably incurred by Contractor for any Services ordered but not used on the Project, and reasonable and actual wind-down or transition costs. The County shall not be responsible for any other costs, fees and expenses, including but not limited to administrative fees, legal fees, salaries, or lost profit.

E. Duty Upon Termination. This Contract may terminate as a result of the end of a Contract Term (Scheduled Termination); or may be terminated as a result of a Contractor Default Event, as specified in Article XII (Unscheduled Termination) or as otherwise provided herein. Contractor shall take all action that may be necessary, or that the County may direct, to minimize disruption to the County’s toll operations; to ensure the orderly transfer of accounts and related account information to the County, or, if applicable, any subsequent or successor contractor; and to protect and preserve the accounts, the Services provided and such data, materials, goods, machinery, equipment, parts, supplies and other property belonging to the County.

1. Contractor shall surrender all Project related data as well as documents developed on behalf of or for the County, including but not limited to, manuals, books, records, reports, test reports, studies and other documents of a similar nature.

2. Upon termination of this Contract, the obligations of the Contractor and County under

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this contract shall cease, but they shall not be relieved of the duty to perform their obligations up to the date of termination. Notwithstanding anything in this Contract to the contrary however, the obligations of the Contractor to indemnify and hold harmless the County as provided for in Article X of this Contract shall survive the termination of this contract. F. Force Majeure. Force Majeure means any labor strikes, riots, war, acts of governmental authorities, unusually severe weather conditions or other natural catastrophe, disease, epidemic or pandemic (not including COVID 19 in its current state) or any other cause beyond the reasonable control or contemplation of either Party that directly impacts one or both Parties’ ability to perform or provide the Services. Default in the performance due to a Force Majeure event, and without fault or negligence on the part of the defaulting Party, shall not constitute a breach of contract. The County may elect to terminate the Contract; or extend the time for performance. Contractor shall provide notice of any event that it contends classifies as a Force Majeure event as soon as practical. Such notice shall describe the event, its anticipated impact of the project deliverable, performance or schedule, and anticipated mitigation and recovery plan. ARTICLE XIII - LAW AND DISPUTES A. Governing Law. The Contract shall be subject to all applicable laws of the Federal Government of the United States of America and to the laws of the State of Illinois, including but not limited to the Illinois Collection Agency Act (225 ILCS 425/1 et seq. and the Illinois Consumer Fraud and Deceptive Practices Act 815 ILCS 505 et seq. All duties of either party shall be deemed performable and performed in the State of Illinois. The applicable law for any legal disputes arising out of this contract shall be the law of (and all actions hereunder shall be brought in) the State of Illinois, and the forum and venue for such disputes shall be in the Circuit Court of the 16th Judicial District, Kane County, Illinois. B. Informal Dispute Resolution. At the written request of either Party, the Parties will attempt to resolve any dispute arising under or relating to the Contract initially through informal means. Each Party will appoint a senior management representative who does not devote substantially all of his or her time to performance under the Contract. The representatives will furnish to each other all non-privileged information with respect to the dispute that the Parties believe to be appropriate and germane. The representatives will negotiate in an effort to resolve the dispute without the necessity of any formal proceeding. The exercise by either Party of any right of informal dispute resolution shall not be deemed to waive, exhaust or impair any other right or remedy available to the Parties including but not limited to the right to seek any available remedy in the Circuit Court of the Sixteenth Judicial Circuit, Kane County, Illinois. C. Non-Performance Escalation Procedures. In the event that the County determines that the Contractor is not performing in compliance with any agreed upon terms and conditions specified in this Contract, then the County shall have the right to, in the sequence shown: (i) formally notify the Contractor of non-performance; (ii) reserve the right to withhold any portion of payment pending as related to the non-performance until corrected (any withholding shall be done in good faith and in proportion to the nature and degree of the non-performance); (iii) request a joint meeting to attempt to resolve the non-performance; (iv) require a Contractor employee to be on-site at the County’s location at no additional expense until the non-

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performance is resolved; (v) at the County’s sole option, commence suit, or (vi) invoke the Termination clause provided for in this Contract. D. Formal Dispute Resolution - Litigation. If the Parties are unable to resolve differences after exhausting the Informal Dispute Resolution and Non-Performance Escalation Procedures, all disputes shall be resolved through the Circuit Court of the 16th Judicial Circuit Kane County Illinois. If the County prevails in any such litigation the Contractor shall reimburse the County for all court costs, attorney fees, expenses and costs incurred therein. E. Public Records Act. The Contractor acknowledges that the County is subject by law to respond to all public record requests pursuant to the Illinois Freedom of Information Act ( 5 I L C S 1 4 0 / 1 e t s e q . ) The Contractor shall comply with County requests for information under the Illinois Freedom of Information Act in all respects and shall not restrict or otherwise inhibit the County from complying within County requested time frames. ARTICLE XIV - GENERAL

A. Notices. All notices or communications required or permitted as a part of the Contract shall be in writing (unless another verifiable medium is expressly authorized) and shall be deemed delivered when:

(1) Actually received, or (2) If not actually received, 3 days after transmittal through electronic mail receipt with

a hard copy sent through the United States Postal Service with proper postage affixed and addressed to the respective other Party at the address set out below or such other address as the Party may have designated by notice to the other Party. Every email notice shall on the day of transmission thereof, be verified by telephone call from the sender to the recipient. to the at the telephone number(s) set out below, or

(3) Upon delivery by the County of the notice to a representative of the Contractor while on the property of the County.

(4) The addresses of the Parties to this Contract are as follows:

In the case of the County: with a copy to:

Attn: Carl Schoedel, P.E., County Engineer 41W011 Burlington Road St. Charles, Il 60175 Phone: (630) 584-1170 [email protected]

Kane County State’s Attorney’s Office Attn: Civil Division 100 South Third Street Geneva, IL 60134

In the case of the Contractor:

with a copy to:

Attn: Tim Wendler, CEO 633 W. Wisconsin Avenue, Suite 1600 Milwaukee, WI 53203 Fax: (414) 847-6758 Phone: (414) 847-3758 [email protected]

Attn: Gregg Bott, General Counsel 633 W. Wisconsin Avenue, Suite 1600 Milwaukee, WI 53203 Fax: (414) 847-6758 Phone: (414) 847-3704 [email protected]

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B. Reasonable Behavior. Each Party shall act in good faith in the performance of its respective responsibilities under this Contract and will not unreasonably delay, condition or withhold the giving of any consent, decision or approval that is either requested or reasonably required by the other Party in order for said Party to perform its responsibilities under the Contract. C. Integration and Amendment. The Contract constitutes the entire agreement between the Parties and supersedes all other prior or contemporaneous agreements, understandings and communications between the Parties (whether written or oral), and all other communications relating to the subject matter of the Contract. The Contract may be modified or extended by formal amendment of the Contract signed by the Parties and made a permanent part of the Contract. D. Severability. The provisions of the Contract will be deemed severable, and the unenforceability of any one or more provisions will not affect the enforceability of any other provisions. In addition, if any provision of the Contract, for any reason, is declared to be unenforceable, the Parties will substitute an enforceable provision that, to the maximum extent possible under applicable law, preserves the original purposes, intentions and economic positions of the Parties. E. Publicity. Neither Party may use the name or any data, pictures, or other representation of the other Party in connection with of for any commercial, or advertising materials or activities without the prior written consent of the other Party. However, the Contractor may include the County’s name on its client list and may describe briefly, and only in general terms, the nature of the work performed by the Contractor for the County. F. No Waiver. No failure or delay by a Party in exercising any right, power or remedy will operate as a waiver of that right, power or remedy, and no waiver will be effective unless it is in writing and signed by the waiving Party. If a Party waives any right, power or remedy, the waiver will not waive any successive or other right, power or remedy the Party may have under the Contract. The payment of funds to the Contractor by the County should in no way be interpreted as acceptance of Contractor or the waiver of any performance requirements. G. Non-Collusion. The Contractor covenants that it presently has no interest and shall not acquire any interest, direct or indirect, which would conflict in any manner or degree with the performance of Services required to be performed under this Contract. The Contractor further covenants that no person or entity having any such interest shall be employed in the performance of this Contract. H. Video Taping. The County has the right to video and/or audiotape any and all training sessions, whether held at a County site, Contractor site, or via teleconference.

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SERVICES CONTRACT

I. Incorporation of Preambles. The recitals as set forth in this Agreement are incorporated into this Agreement as substantive parts hereof. ARTICLE XV - CONSTRUCTION OF AGREEMENT

All terms and words used in this Contract, regardless of the number and gender in which they are used, shall be deemed and construed to include any other number, singular or plural, and any other gender, masculine, feminine, or neuter, as the context or sense of this Contractor any paragraph or clause in this Contract may require, the same as if such words have been fully and properly written in the number and gender. Any act to be performed under the Contract by the “County” may be performed by the County Engineer or by any of its employees or such other persons, agents, corporations or firms as the County Engineer may designate. “County Engineer” when used herein, shall refer to the Director of Transportation of the County and his/her designee’s including the Deputy Director of Transportation, the Assistant Director of Transportation and the Chief of Finance. The headings of Articles and Paragraphs, to the extent used herein, are for reference only, and in no way define, limit or describe the scope or intent of any provision hereof. This Contract may be executed in any number of counterparts, each of which, when so executed and delivered, shall be deemed an original, but such counterparts together shall constitute but one and the same instrument. The Contractor’s Proposal is hereby incorporated as though fully rewritten herein, whether or not physically attached to this Contract. The following order of precedence shall govern in any conflict that arises between this Contract and any materials incorporated by reference: (i) this Contract; (ii) the RFP and related addendums; and (iii) the Contractor’s Proposal. The undersigned signatory for the Contractor hereby represents and warrants that he or she has full and complete authority to execute the Agreement on behalf of the Contractor. This representation and warranty are made for the purpose of inducing the County to execute the Agreement.

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SERVICES CONTRACT

IN WITNESS WHEREOF, the parties have hereto set their respective hands on the day and year first above written and have executed the foregoing Contract.

CONTRACTOR

By:

Printed:

Title:

Date:

COUNTY OF KANE, STATE OF ILLINOIS

By:

Printed:

Title:

Date: APPROVED:

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26DEBT COLLECTIONS, ADMINISTRATIVE HEARING, AND PAYMENT PLAN

ADMINISTRATION SERVICES CONTRACT

APPENDIX A – RFP SCOPE OF WORK

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KANE COUNTY DIVISION OF TRANSPORTATION

RFP #08‐021

REQUEST FOR PROPOSALS (RFP) TO PROVIDE COLLECTIONS SERVICES

FOR THE LONGMEADOW PARKWAY TOLL BRIDGE

INQUIRY END DATE:

2:00 PM (Central Time) on Wednesday, March 31, 2021

PROPOSAL DUE DATE:

2:00 PM (Central Time) on Wednesday, April 7, 2021

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Appendix A

Page 1 of 11

County of Kane, State of Illinois Kane County Division of Transportation

RFP #08‐021 Request for Proposals (RFP) to Provide Collections Services

for the Longmeadow Parkway Toll Bridge

The Kane County Division of Transportation (KDOT) is soliciting Proposals from qualified and experienced firms that are interested in providing debt collection services related to unpaid toll violation notices issued by KDOT’s Back Office System Provider to customers traveling on the new Longmeadow Parkway (LMP) Toll Bridge. Further information on KDOT’s Longmeadow Parkway Bridge Corridor Project can be found at: http://www.co.kane.il.us/dot/foxBridges/longmeadowPkwy.aspx. The scope of services consists of furnishing all labor, equipment, tools, transportation, supplies, materials, services, and incidentals to provide full debt collections services. Kane County expects to contract with one (1) collection agency that practices professional standards in accordance with Federal Debt Protection Practices Act (FDCPA), the Illinois Collections Agency Act, as well as any other applicable Federal and/or State laws and regulations pertaining to the collection of debts, in their attempt to successfully collect past due debts on behalf of Kane County. Interested vendors must register to be added to County's vendor list by completing a vendor registration form available at: https://www.countyofkane.org/Documents/Purchasing/Vendor%20Registration%20Form.pdf and return it to the Purchasing Department by e‐mail: [email protected]. Proposals will only be accepted from firms that have completed this pre‐registration process. Proposals shall be submitted no later than 2:00 pm CST on Wednesday, April 7, 2021. A Proposal received after the above noted deadline will not be used as part of the selection process. Any questions regarding these services must be directed to both the Purchasing Department at [email protected] and KDOT at [email protected] no later than 2:00 pm CST on Wednesday, March 31, 2021. Do not contact the County on this matter through any means other than the email addresses provided. The County will compile the questions and distribute responses to all of the registered vendors via email. The milestone dates for the procurement process are currently scheduled as follows:

Event Date

Comments/Questions on RFP Due March 31, 2021 at 2:00PM CST

Proposals Due April 7, 2021 at 2:00PM CST

Firms interested in providing services to KDOT are hereby notified of the Kane County’s Ethics Ordinance No. 10‐206, in particular, Section 10, page 15. Only the firm that is ultimately selected for these services will be required to provide the Ethics Ordinance information directly to the County as part of the collections services agreement. The complete Ethics Ordinance No. 10‐206 document is available online at the following link https://www.countyofkane.org/Pages/ethics.aspx.

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1. Submittal Instructions Submit two (2) USB Flash Drives that each have one (1) identical Portable Document Format (PDF) electronic file of your Proposal within a sealed package or envelope bearing the name and address of the respondent and be labeled "PROPOSAL TO PROVIDE COLLECTIONS SERVICES FOR THE LONGMEADOW PARKWAY TOLL BRIDGE". Your Proposal may be mailed, or hand delivered, and must be received prior to the deadline specified herein to:

County of Kane Purchasing Department, Building A

719 South Batavia Avenue Rooms 211, 212, 214 Geneva, IL 60134

RESPONSES MAY NOT BE SUBMITTED IN HARD COPY

2. Response Organization The required contents of the Proposal are summarized in the following table. The Proposal contents shall be organized in the order listed below. Each component shall be clearly titled, identified and satisfy the applicable page limitations.

Proposal Outline Section Page Limit

Cover Letter 1 Page

Table of Contents None

Section I: Executive Summary 2 Pages

Section II: Corporate and Financial Information None

Section III: Relevant Experience 5 pages

Section IV: Organization and Personnel Qualifications 6 pages

Section V: Technical Approach 5 pages

Section VI: Pricing Proposal 1 page

The Proposal shall contain concise written material and accompanying information to enable a clear understanding and evaluation of both the capabilities of the Respondent and the characteristics and benefits of the Proposal. Legibility, clarity and completeness of the Proposal are essential. The Proposal shall consist of text, drawings, graphs, photographs and tables, as needed, to clearly describe the Respondent’s approach. An 8‐1/2” x 11” single‐spaced, 11‐point font format is required for typed submissions for the Proposal and an 11” x 17” format is permitted only for graphics, drawings, and schematics unless otherwise specified in these documents. Respondents are permitted to use a smaller font, no less than 10‐point, for only headers and footers, exhibits, figures, graphics and tables to ensure readability. Pre‐printed materials are exempt from the 11‐point font format provided they are legible.

A. Cover Letter

A Cover Letter must accompany each response signed by an authorized agent of the Respondent. The Cover Letter shall identify the point of contact for the Respondent and be no longer than 1 page in length.

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B. Section I ‐ Executive Summary

Each Respondent shall submit an executive summary with its Proposal. The executive summary shall be written in a non‐technical style, shall highlight the most relevant components of the Proposal and plainly stated to afford readers with both technical and non‐technical backgrounds the ability to understand the intended meaning. The Executive Summary shall be no more than 2 pages in length.

C. Section II: Corporate and Financial Information

Respondents must demonstrate the means to support the services performed under this procurement. Respondents must provide the following information labeled "Corporate/Financial Data." Respondents must provide this information for any affiliated companies including any parent or subsidiary companies of the Respondent as well as for any joint venture partner companies or any subcontractor performing thirty percent (30%) or more of the work:

General Entity Information. Provide the following:

a. Legal and d.b.a. name and address of the business entity submitting the Proposal.

b. Type of business entity (e.g., corporation, partnership, etc.).

c. Place of incorporation, if applicable.

d. Name and location of major offices and other facilities that relate to the Respondent's performance under the terms of this RFP.

e. Length of time your organization has been engaged in providing collections services.

f. State whether your organization is registered with the Illinois Secretary of State (SOS). If you are not registered to do business in the State of Illinois, the Respondent will need to register prior to final contract execution if selected for this contract.

g. Provide the Respondent's Federal Employer Identification Number.

Organizational Structure. Clearly define the organizational structure of the company or companies submitting the Proposal to identify the various divisions, departments, offices and other business groupings with the approximate number of employees within each unit. Any companies submitting as a joint venture, partnership, or other form of association shall include the organization of each individual company. If applicable, describe the relationship between the various divisions of your parent organization.

Financial Profile. Provide the following financial information to demonstrate the Respondent is financially sound, well managed, and able to adequately support the work performed under the Contract:

a. Financial Statements in customary form for the most recently completed fiscal year, with such Statements being audited by an independent certified public accountant. KDOT will not accept Reviewed Financial Statements In lieu of Audited Financial Statements. Non‐domestic Respondents must provide such equivalent financial statements as are required in their country of domicile. Indicate the amount of gross and net billings attributable to collections services projects engaged in by your organization for the past three (3) years.

b. Annual financial reports for the Respondent's most recently completed fiscal year, if readily available. The information requested in this Section need only be supplied if such annual reports have been prepared in the ordinary course of the Respondent’s business.

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i. If the Respondent is a subsidiary and will rely on the financial resources of the parent to perform the Contract, the parent must certify, in writing, the availability of its resources to the Respondent. If the Respondent is a joint venture, then the Proposal must identify which entity will serve as the collections service provider (contracting entity) and identify the availability of financial resources from any party to support the Contract.

ii. The Respondent must provide evidence of, as well as a detailed explanation of, how it intends to finance the delivery of the debt collections services. Such an explanation must indicate whether and what type of financing will be obtained.

Bank Affiliations. List all bank affiliation(s) of the Respondent as credit references. List shall include contact name(s) and phone number(s).

Contracting History. The Respondent must be a business in good standing with its customers and the business community. The Respondent shall disclose any of the following occurrences:

a. At any time, has the Respondent ever had any contract terminated for default or cause? If so, provide a detailed explanation of the circumstances and the other party’s name, address and telephone number.

b. During the last five (5) years, has the Respondent had any contract suspended, terminated or canceled for any reason? If so, the Respondent must submit full details including the other party’s name, address and telephone number.

c. During the last two (2) years, has the Respondent been assessed total liquidated damages in excess of $100,000 under any of its existing or past contracts with any other governmental entity? If so, indicate the entity’s jurisdiction, contact name, telephone number and the penalty amount.

d. During the last two (2) years, has the Respondent, a subsidiary or intermediate company, parent company or holding company been the subject of any order, judgment or decree of any federal or state authority barring, suspending or otherwise limiting the right of the Respondent to engage in any business, practice or activity or, if trading in the stock of the company, has Respondent ever been suspended from such trade? Provide date(s) and explanation(s).

Ownership Interests. Provide the names and addresses of persons, firms or corporations having a five‐percent (5%) or greater ownership interest in Respondent (Show the percent ownership interest of each).

Bankruptcies. The Respondent must provide information on whether it or any of its principals have ever filed for protection under federal bankruptcy laws within the last 10 years, and if so, what the current status is of such filing. THIS REQUIREMENT SHALL APPLY TO THE PARENT OF ANY SUBSIDIARY COMPANY RESPONDING TO THIS RFP; TO ANY SUBCONTRACTOR THAT WILL PERFORM MORE THAN THIRTY (30%) OF THE WORK UNDER THE CONTRACT; AND TO ALL PARTIES TO ANY RESPONDING JOINT VENTURE.

Litigation. Provide a list of any civil or criminal litigation involving the Respondent over the previous 10 years. Indicate jurisdiction, venue, case name and case number. Any litigation or investigation commencing after submission of a Proposal must be disclosed in a timely manner in a written statement to KDOT. Failure to notify KDOT of any investigation may result in rejection of the Respondent’s Proposal or termination of the Contract.

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Taxes and Liens. Each Respondent shall acknowledge in its Proposal that it is not in arrears for

federal, state and local taxes of any type, and must include in its Proposal a complete disclosure

of any outstanding liens, levies, or pending criminal investigation involving the organization. This

applies to the parent of any subsidiary Respondent, and if the Respondent consists of a joint

venture, this requirement applies to all entities that comprise the joint venture.

Statutory Certifications.

a. Contractor Disclosure Letter. The Respondent must prepare and submit a Contractor Disclosure Letter with their Proposal (Attachment 1 shows a sample Contractor Disclosure Letter). Note that the Respondent is not required to notarize this form for the Proposal submission. However, the selected vendor will be required to submit a fully notarized form as a condition of contract award.

b. Familial Relationship Disclosure Letter. The Respondent must prepare and submit a Familial Relationship Disclosure Letter with their Proposal (Attachment 2 shows a sample Familial Relationship Disclosure Letter). Note that the Respondent is not required to notarize this form for the Proposal submission. However, the selected vendor will be required to submit a fully notarized form as a condition of contract award.

Insurance Coverage. Provide evidence of all the following minimum insurance coverages:

a. Comprehensive Commercial General Liability that includes the County as an additional insured for amount not less than $1,000,000, including those resulting in death to any one person or persons and/or property damage arising from any one (1) accident and $2,000,000 in the aggregate, including coverage for: premises operations, liability for independent contractors, products liability, valuable papers, contractual liability and personal injury. The policy or policies shall be primary and non‐contributory and shall not contain a provision that eliminates coverage for damages arising out of the negligence of the additional insured.

b. Comprehensive Automobile Liability Insurance for bodily injury and property damage that includes the County as an additional insured for an amount. The policy or policies shall be primary and non‐contributory and shall not contain a provision that eliminates coverage for damages arising out of the negligence of the additional insured. Professional Liability Insurance for not less than $3,000,000 for any one incident, and if not written on an occurrence basis, shall be maintained for a period of not less than two (2) years following the completion of the project.

c. Umbrella/Excess Liability Insurance Policy over primary general liability and automobile liability in an amount not less than $5,000,000.

The policies shall be with companies authorized to do business in Illinois and rated “A” or above by A.M. Best Company or equivalent. If insurance requirements are not yet met, show the ability to obtain the insurance limit requirements.

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D. Section III: Relevant Experience

Respondents shall demonstrate their experience and expertise with performing debt collections services including specific experience with performing these services for other tolling agencies related to unpaid toll violation notices. The Relevant Experience summary shall be no more than 5 pages in length. Respondents shall specifically address the following:

(1) Identify any and all U.S. governmental authorities for which the Respondent has performed debt collections services comparable to the specifications of this RFP within the past five (5) years. (2) Identify the agency/owner, name and description of your current and previous collections services contracts. For each experience statement include:

a. the term of the contract including effective dates; b. reason for contract end if the contract is no longer in effect; c. types of services that the Respondent directly provided under the contract and whether the

Respondent was a Prime Contractor or Subcontractor; and d. the names, titles, addresses and telephone numbers of an individual at the agency/owner, preferably

the project manager, who may be contacted to verify qualifying experience. If the experience is/was by a teaming partner or a Subcontractor of the Respondent that would be providing a major part of the products and services contemplated under this RFP, then experience information for that entity must also be included.

(3) Provide at least three (3) customer references that will detail Respondent’s relevant experience with debt collections services for U.S. governmental agencies.

E. Section IV: Organization and Personnel Qualifications

Respondents shall provide a proposed Project Organization chart for the KDOT Project Team, including identification of Key Staff, brief description of roles and responsibilities for each Key Staff position identified and the specific individuals proposed to serve as Key Personnel. Key Personnel may not hold more than one Key Staff position identified in the proposed Project Organization. The Project Organization chart (which will count as one page) shall show the Respondent’s management structure and “chain of command” with Key Staff shown, identifying major functions to be performed and their reporting relationships in managing and delivering the collections services. This chart will be supported by a narrative describing the Respondent’s teaming arrangements and its management structure. The narrative should include at a minimum a discussion of the following:

1. How the Respondent will institutionally operate, particularly in light of the complexity and sequencing of

project development;

2. The experience of Key Personnel working together on other projects and the results of that experience;

and

3. How the management structure will facilitate the management of project risks.

The Respondent shall provide 1‐page resumes for their proposed Project Manager and Key Personnel that provides sufficient information to enable KDOT to understand and evaluate their experience (these will not count towards the total page count). The proposed Project Manager shall have a minimum of five (5) years of experience in managing debt collections services. Key Personnel, including key call center personnel, shall have a minimum of three (3) years of performing debt collections services. The Organization and Personnel Qualifications summary shall be no more than 6 pages in length.

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F. Section V: Technical Approach

Respondents shall describe their means and methods to perform the debt collection services requirements stated below. The Technical Approach summary shall be no more than 5 pages in length. Respondents shall be fully responsive to each requirement in their Proposal. Any deviations, exceptions or inability to satisfy each requirement shall be clearly stated in the Proposal.

1. Perform all debt collection services within the United States in a courteous and professional manner and in accordance with in compliance with Federal, State, and Local laws, as well as applicable regulations including the Federal Fair Debt Collection and Practices Act (FDCPA: 15 USC 1692 et seq.), the Illinois Collection Agency Act (ICAA: 225 ILCS 425/1 et seq.

2. Provide a debt collection system that process debt placements, update transaction records, and report accurate balances for communications with debtors and KDOT.

3. Securely integrate the debt collection system with KDOT’s Back Office System (BOS) to receive debt assignments and provide daily reconciliation of all debt collection activities in a secure electronic manner. The Respondent shall affirm their ability to integrate their system to KDOT’s Back Office System using the BOS Collections Interface Control Document (ICD) provided as Appendix A. Any modifications required to the BOS Collections ICD shall be clearly identified in the Proposal.

4. Pursue debts within and outside the State of Illinois, including outside the United States. 5. Contact debtors through written notices and direct phone calls (no automated calls) and clearly identify

that the phone call or written correspondence is an attempt to collect a debt on behalf of KDOT. 6. Include KDOT account numbers or violation notice numbers associated to the debt placed, as well as the

total amount due through the date of the collections notice. 7. Perform skip tracing, credit bureau reporting and debtor negotiation, as needed to successfully resolve

each unpaid toll account that has been sent to collections. 8. Escalate debt collections efforts if initial efforts are unsuccessful in resolving this matter. 9. Provide debtors a receipt for any payments made on accounts. 10. Cancel debt collections for specific accounts upon KDOT’s request. 11. Establish payment plans upon request by a debtor. 12. Provide KDOT access to the collections system for monitoring and reporting purposes. 13. Apply a KDOT‐approved Collections Fee to the unpaid tolls and fees owed on the collections notice. 14. Provide daily electronic deposits of gross collections made on KDOT’s violation accounts into KDOT’s

designated bank account. 15. Maintain a secured area for processing KDOT remittances, separate from collectors assigned KDOT

accounts to ensure segregation of duties. 16. Report complaints from debtors to KDOT in timely manner. 17. Provide daily reports of debt placements, payments and other financial transactions by email to KDOT. 18. Prepare daily statements/reports containing account names, invoice numbers and payments received

for the gross amount of collections. 19. Supply documentation of collection efforts warranting a write‐off. 20. Provide a listing of all open notices for a debtor upon request. 21. Provide reporting of cancelled accounts and associated reason codes. This shall include additional

information on cases where all efforts have been exhausted and a brief description of the collection efforts.

22. Be compliant with all PCI‐DSS requirements and best practices for systems, software and network security and provide evidence of such compliance.

23. Provide assurance to KDOT that any information exchanged between the KDOT BOS and the collections provider is not transmitted to any other entity by any means of communication.

24. Achieve certification under recognized quality standards and practices including Standards for Attestation Engagements (SSAE) compliance and other recognized quality practice standards.

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3. Contract Term The Contract Term shall consist of an Initial 6 Year Base Term with two 2‐year options to extend operation services for a potential total of 10 years. The continuation of the contract is based on satisfactory services provided by the Collections Provider and the appropriation of funding approved by the County Board.

4. Contract Wind‐Down The selected vendor may be allowed to collect its fees for sixty (60) days after the contract expiration, only for those collection notices placed within sixty (60) days of the contract expiration. After that period, any collections resulting from the accounts pursued by the selected vendor will be considered as a KDOT collection and not credited to the vendor. In the event of early termination by KDOT for convenience or non‐renewal of an optional contract extension, the selected vendor will be allowed a ninety (90) day wind‐down period. In the event of early termination for cause, there will be no additional wind‐down period.

5. Timelines KDOT intends to begin toll revenue collection on the new LMP Toll Bridge on January 1, 2022. Collections services for unpaid toll violations are anticipated to begin in May 2022, after three rounds of invoicing are completed. However, KDOT anticipates the selected vendor to be ready to conduct integration testing with KDOT’s BOS Vendor (ETC) by August 2021. A delayed start in the toll revenue collection on the new LMP Toll Bridge likely will result in an equivalent delayed start of the collection services for unpaid toll violations.

6. Pricing Proposal Respondents shall submit their pricing in the format shown below. The average amount of unpaid toll violations is anticipated to be approximately $1.5 million to $2 million per year over the duration of the contract period. The selected vendor will not be compensated for payments that are reversed or unavailable due to non‐sufficient funds.

Item Collection Fee

Collections Services % 7. Proposal Evaluation Process KDOT will conduct a proposal evaluation process to recommend and select the Respondent proposing the best value to KDOT. The selection process will consist of multiple steps under which KDOT (1) will evaluate and score the Proposals; (2) may eliminate Respondents that fail to score among the top tier or within a competitive range of the top‐ranked Respondents; (3) may interview the top‐ranked Respondent(s); and (4) may request Best and Final Offers. KDOT reserves the right to omit any planned evaluation step if, in KDOT’s view, the step is not needed, and may reasonably interpret and make logical inferences with respect to submitted proposals to facilitate the evaluation process. KDOT will evaluate Proposals based on the criteria set forth in the table below.

PROPOSAL EVALUATION CRITERIA POINTS

Corporate and Financial Information 10

Relevant Experience 25

Technical Approach 25

Pricing Proposal 40

TOTAL POTENTIAL MAXIMUM POINTS 100

KDOT may seek best and final offers or negotiate the financial terms as it deems appropriate with the Respondent(s) identified as most likely offering the best value to KDOT.

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KDOT specifically reserves the following rights:

to reject any and all Proposals in whole or in part, to advertise for new Proposals, to proceed to do the work otherwise, to abandon the work, or to award, in whole or in part, to non‐perform a portion of the work in whole or in part, a Contract deemed to be in the best interest of KDOT;

to reject any and all Proposals where the Respondent takes exception to or fails to meet the requirements of the RFP;

to decide not to award a Contract under this RFP;

to require Respondents to submit additional written or oral clarification of their Proposals and to meet with any, but not necessarily all, of the Respondents to obtain additional information and/or clarification;

to obtain, from sources other than the Respondent, information concerning the Respondent that KDOT deems pertinent to this RFP, and to consider such information in evaluating the Respondent’s Proposal;

to enter into a Contract with the Selected Respondent on the basis of the Proposal submitted, with or without modifications thereto; and

to waive minor irregularities or technicalities noted in a Response submitted when in the best interest of KDOT and such waiver would not result in any unfair advantage to the Respondent whose Proposal contained said irregularities or defects, nor prejudice to any Respondent.

to delay the start in the toll revenue collection on the new LMP Toll Bridge resulting in an equivalent delayed start of the collection services for unpaid toll violations.

In submitting a proposal, the Respondent agrees that KDOT is not responsible for any costs the Respondent incurs in responding to this RFP.

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8. Project Description The LMP Bridge Corridor is envisioned as a County highway in northern Kane County with a new bridge over the Fox River. The project, currently under construction by the Kane County Division of Transportation (KDOT), consists of a new four‐lane 5.6‐mile long arterial highway between Huntley Road and IL Route 62 and a new toll bridge crossing over the Fox River in Kane County to relieve regional traffic congestion and travel delays. This new east‐west Fox River crossing is located in the northeastern corner of Kane County, approximately five miles north of Interstate 90. The LMP Bridge Corridor is located in the Villages of Algonquin, Carpentersville, Barrington Hills and in unincorporated Kane County as shown in the figure below.

The new Toll Bridge will be tolled in an all‐electronic manner where tolls are either collected using electronic transponders or license plate images. No cash payment will be available on the Toll Bridge. Traffic will not be required to stop, allowing for toll payments at any speed. Vehicle classification will be shape‐based using combinations of vehicle height and length. The electronic toll system shall be compatible with I‐PASS and E‐ZPass and shall be capable of reading three standard transponder protocols (E‐ZPass TDM, ISO 18000‐6C and SeGo). The County intends to begin toll revenue collection on the new LMP Toll Bridge on January 1, 2022. It is estimated that there will be approximately 10,000 average daily toll transactions after ramp‐up. Projected traffic estimates can be found at https://kdotftp.egnyte.com/dl/fMiq7pvEgg. Approximately 97 percent of Toll Bridge traffic is expected to be passenger vehicles (Class 1), 2 percent of traffic is expected to be small and medium commercial vehicles (Class 2) and 1 percent of traffic is expected to be heavy commercial vehicles. The County has defined a Class 1 vehicle as a vehicle with height less than or equal to 7 feet and length less than or equal to 23 feet. A Class 2 vehicle is defined as a “non‐Class 1 vehicle” (i.e., a vehicle with a height greater than 7 feet and/or with a length greater than 23 feet) with height less than 10 feet and a Class 3 vehicle is defined as a non‐Class 1 vehicle with height greater than or equal to 10 feet. Surveys conducted in the LMP Bridge Corridor area indicate that approximately 85 percent of customers already have an I‐PASS or E‐ZPass electronic transponder. It is estimated that 85 to 90 percent of transactions will be electronic transponder‐based and 10 to 15 percent of transactions will be license plate image‐based.

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The County has joined the E‐ZPass Group as a full member agency to be interoperable with the Illinois Tollway and other E‐ZPass toll agencies. KDOT will accept I‐PASS and E‐ZPass TDM transponders on the Toll Bridge, but KDOT will not issue interoperable TDM transponders at this time. KDOT does intend to issue non‐transferrable ISO‐6C sticker tags to customers that wish to participate in toll discount programs and non‐revenue programs for the Toll Bridge only. KDOT will offer both quarterly and annual unlimited use toll discount programs for Class 1 passenger vehicles (Class 2 and Class 3 vehicles will be ineligible). While the toll discount programs will be open to any user with an Illinois license plate, residents of Kane County and the Village of Algonquin will pay a lower subscription fee ($55 per quarter or $200 per year per transponder) to participate in the toll discount plan than non‐residents ($80 per quarter or $300 per year per transponder). Discount plan customers will have to pre‐register to participate in the program by providing proof of address, proof of eligible Class 1 passenger vehicle, and upfront payment for the quarterly or annual discount plan program. It is estimated that approximately 4,000 to 5,000 customers will participate in an LMP Toll Bridge discount plan program. The discount programs, rate schedules and other conditions related to the use of the LMP Toll Bridge are subject to change as approved by Kane County.

Longmeadow Parkway Toll Bridge Toll Rates

Toll Rate Vehicle Type Electronic Toll License Plate Toll*

Tier 1 (Vehicles eligible for Discount Toll Pass Subscription)

Class 1 Passenger Vehicles with Discount Toll Pass

Subscription

Flat Rate for Unlimited Travel

$2.45

Class 1 Passenger Vehicles without Discount Toll Pass

Subscription $0.95 $2.45

Tier 2 (Vehicles not eligible for Discount Toll Pass

Subscription)

Class 2 Small and Medium Commercial Vehicles

$0.95 $2.45

Class 3 Heavy Commercial Vehicles

$7.00 $8.50

*Additional $1.50 fee added for a license plate toll

Longmeadow Parkway Toll Bridge Administrative Charges

Charge Type Amount

Toll Invoice Processing Fee $5 per notice Invoice may have more than one unpaid toll

Notice of Nonpayment Late Fee $15 per notice Notice may have more than one unpaid toll

Toll Violation Penalty $25 per unpaid notice of nonpayment

Notice may have more than one unpaid toll

Toll Violation Payment Agreement Administrative Fee

$10.00 Incorporated into the agreement

Packet Pg. 764


KANE COUNTY DIVISION OF TRANSPORTATION

RFP #08‐021

REQUEST FOR PROPOSALS (RFP) TO PROVIDE COLLECTIONS SERVICES


APPENDIX A – BACK OFFICE SYSTEM COLLECTIONS INTERFACE CONTROL

DOCUMENT

Packet Pg. 765

Interface Control Document

Collections Version 1.0

February 9, 2021

Resolution Number: 20-436

Packet Pg. 766

COPYRIGHT 

Copyright © 2021 Electronic Transaction Consultants LLC (ETC). All rights reserved. 

The information disclosed herein is PROPRIETARY and CONFIDENTIAL information of Electronic Transaction Consultants LLC (ETC). 

The software described in this document, if furnished under a license agreement or nondisclosure agreement, may be used or copied only in accordance with the terms of those agreements. 

No part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or any means electronic or mechanical, including photocopying and recording for any purpose without permission, in writing, from ETC. 

Information in this document is subject to change without notice. 

Packet Pg. 767


Copyright © 2021 ETC Proprietary and Confidential – All Rights Reserved February 9, 2021 KDOT_Collections_ICD_v1.0 Page i

Document History

Date Revision Author Summary of Changes

February 9, 2021 1.0 ETCC Initial submittal

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Copyright © 2021 ETC Proprietary and Confidential – All Rights Reserved Page ii KDOT_Collections_ICD_v1.0 February 9, 2021

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Copyright © 2021 ETC Proprietary and Confidential – All Rights Reserved February 9, 2021 KDOT_Collections_ICD_v1.0 Page iii

Table of Contents

General ............................................................................................................... 1

Overview .............................................................................................................................. 1

Assumptions ....................................................................................................................... 1

Reference Documents ...................................................................................................... 1

Issues/Concerns ................................................................................................................ 2

Acronyms and Abbreviations ....................................................................................... 2

Process/Data Flows ....................................................................................... 3

Outbound File ..................................................................................................................... 3

Inbound File ........................................................................................................................ 5

System Interfaces ........................................................................................... 7

Protocol ................................................................................................................................ 7

Web Service Interfaces .................................................................................................... 7

File Transfer Interfaces .................................................................................................. 7

Configuration Settings ............................................................................... 22

SFTP Location .................................................................................................................. 22

System Requirements ................................................................................ 23

Collections Requirements ........................................................................................... 23

Business Rules ................................................................................ 24

Escalation Fees ................................................................................ 25

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Copyright © 2021 ETC Proprietary and Confidential – All Rights Reserved Page iv KDOT_Collections_ICD_v1.0 February 9, 2021

Table of Figures

Figure 1: Outbound File Process Flow ...................................................................................................................... 4

Figure 2: Inbound File Process Flow ......................................................................................................................... 6

Figure 3: Payment and Adjustments Outbound File Format ................................................................................. 17

Figure 4: Payment and Adjustments Outbound File Format – With Invoice Fees ................................................. 18

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Copyright © 2021 ETC Proprietary and Confidential – All Rights Reserved February 9, 2021 KDOT_Collections_ICD_v1.0 Page v

Table of Tables Table 1: Assumptions ............................................................................................................................................... 1

Table 2: Reference Documents ................................................................................................................................ 1

Table 3: Issues/Concerns ......................................................................................................................................... 2

Table 4: Acronyms and Abbreviations ..................................................................................................................... 2

Table 5: Outbound File Process Flow ....................................................................................................................... 3

Table 6: Inbound File Process Flow .......................................................................................................................... 5

Table 7: Data Exchanges .......................................................................................................................................... 7

Table 8: File Delivery Locations for File Interfaces ................................................................................................... 8

Table 9: Toll Violation Outbound File Field Descriptions ......................................................................................... 9

Table 10: Payment and Adjustments Outbound File Field Descriptions ................................................................ 13

Table 11: Demographic Inbound File Field Descriptions ........................................................................................ 18

Table 12: Demographic Outbound File Field Descriptions ..................................................................................... 20

Table 13: Configuration Settings ............................................................................................................................ 22

Table 14: Collection agency SFTP Server Configuration Settings ........................................................................... 22

Table 15: Collections and Hearings ........................................................................................................................ 23

Table 16: Business Rules ........................................................................................................................................ 24

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Copyright © 2021 ETC Proprietary and Confidential – All Rights Reserved Page vi KDOT_Collections_ICD_v1.0 February 9, 2021

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Interface Control Document General

Copyright © 2021 ETC Proprietary and Confidential – All Rights Reserved February 9, 2021 KDOT_Collections_ICD_v1.0 Page 1

General

Overview

The purpose of this document is to record the process, business rules, and system interface requirements for the Collections and Hearings Interface. It includes technical details and operational information necessary to ensure proper usage and support for service operation.

The data exchanges are achieved through file-based transfers. The interfaces are as follows:

• An SFTP interface that sends the outbound file to the collection’s agency.

o Includes Toll Violation, Payment and Adjustments, and Demographic - Outbound files.

• An SFTP interface that receives the inbound file from the collection’s agency.

o Includes Demographic - Inbound.

Assumptions

The functionality within this document is proposed with the assumptions described in the table below.

Table 1: Assumptions

ID Description

1.2.1 The system shall support up to 10k data for both Inbound and Outbound files. It is assumed that KDOT BOS and the Collection Agency creates the files that are not to exceed 10K data.

1.2.2 No other communication methods shall be implemented beyond what is defined in the document.

1.2.3 VPN Tunneling shall be used for the network between the BOS and the Collection Agency.

Reference Documents

Additional information related to the Collections and Hearings functionality may be found within the following documents:

Table 2: Reference Documents

Document Filename

KDOT_BOS_RFP_28-020_FULL PACKAGE

KDOT RFP document

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Interface Control Document General

Copyright © 2021 ETCC Proprietary and Confidential – All Rights Reserved Page 2 KDOT_Collections_ICD_v1.0 February 9, 2021

Issues/Concerns

There are no issues or concerns that impact the proposed solution.

Table 3: Issues/Concerns

ID Description Resolution Resolution Date

N/A There are no issues/concerns raised in this document.

N/A N/A

Acronyms and Abbreviations

The table below defines acronyms and abbreviations used in Collections and Hearings.

Table 4: Acronyms and Abbreviations

Term Definition

BOS Back Office System

BRD Business Requirements Document

CSC Customer Service Center

DDD Detailed Design Document

DMV Department of Motor Vehicles

KDOT Kane County Division of Transportation. Organizational

division of the County of Kane.

SFTP Secure File Transfer Protocol

TVI Toll Violation Invoice

Packet Pg. 775

Interface Control Document Process/Data Flows


Process/Data Flows

Outbound File

The Outbound File Process Flow includes the tasks and steps listed in the table below.

Table 5: Outbound File Process Flow

Task Description

Build the file The process of the KDOT BOS building the outbound file for sending to the collections agency.

Upload the file The process of the KDOT BOS uploading the outbound file to the SFTP location for retrieval.

Process the file The process of the Collection Agency retrieving and processing the file.

Packet Pg. 776



Outbound File Process Flow

The figure below illustrates the process flow for Outbound File.

Start

1KDOT BOS builds the request file through the fi le builder

2The file builder loads the files

to a defined SFTP location

3The Collection Agency reads the request files uploaded to

the SFTP server and processes them

End

Collection Agency

Process

BOS Process

Key

4Collection Agency has

issues with the request file?

5Collection Agency

contacts KDOT Support Personnel to resolve the

issue

Yes

No

Figure 1: Outbound File Process Flow

Outbound File Process Flow Explanation

The Outbound File Process Flow is as follows:

Packet Pg. 777



Inbound File

The Inbound File Process Flow includes the tasks and steps listed in the table below.

Table 6: Inbound File Process Flow

Task Description

Upload the file The process of the Collection Agency uploading the inbound file to the SFTP location for retrieval.

Process the file The process of the KDOT BOS retrieving, parsing and processing the file.

Packet Pg. 778



Inbound File Process Flow

The figure below illustrates the process flow for Inbound File.

1The Collection Agency uploads the response files to a defined

SFTP location

2KDOT BOS reads the response

files uploaded by the Collection Agency

3KDOT BOS parses the files and

processes them

Collection Agency

Process

BOS Process

Key

End

Start

4KDOT BOS has issues with

the response file?

5KDOT Support Personnel contacts the Collections

Agency to resolve the issue

Yes

No

Figure 2: Inbound File Process Flow

Inbound File Process Flow Explanation

The Inbound File Process Flow is as follows:

Packet Pg. 779

Interface Control Document System Interfaces


System Interfaces

Protocol

The protocol for the exchange of data utilized in the Collections ICD is Secure File Transfer Protocol (SFTP) for communication with the Collection Agency regarding the Toll Violation, Demographic and Payment and Adjustments files.

The table below lists all data exchanges.

Table 7: Data Exchanges

Web Service Interfaces

Web services are not used for this interface.

File Transfer Interfaces

KDOT BOS sends Toll Violation files on a daily basis to the Collection Agency and receives Demographic, Pre-docket, Post-docket, and Additional Fee files from the Collection Agency.

Any issues identified during the processing of either the Outbound or Inbound files have either the Collections Agency or the KDOT BOS support staff contacting each other to resolve the issue.

All system related issues occurring within the KDOT BOS in regard to this functionality are logged and sent to MOMS for ticket creation and assignment to support personnel.

File Naming Conventions

The examples below are the file naming conventions used for the Outbound File and Inbound File.

Toll Violation – Outbound File

KDOT_TV_OUT_YYYYMMDDHH24MISS_CA.txt

Example:

KDOT_TV_OUT_20160102021030_CA.xml

Data Type Format Push / Pull Method / Protocol Frequency

Toll Violation XML KDOT pushes the file to the vendors SFTP server

SFTP Once per day

Payment and Adjustments

XML KDOT pushes the file to the vendors SFTP server

SFTP Once per day

Demographic – Inbound

Pipe Delimited

KDOT pulls the file from the vendors SFTP server

SFTP Once per day

Demographic – Outbound

Pipe Delimited

KDOT pushes the file to the vendors SFTP server

SFTP Once per day

Packet Pg. 780



Payment and Adjustments – Outbound file

KDOT_PA_OUT_YYYYMMDDHH24MISS_CA.xml

Example:

KDOT_PA_OUT_20160108020030_CA.txt

Demographic – Inbound File

KDOT_DEMO_IN_YYYYMMDDHH24MISS_CA.txt

Example:

KDOT_DEMO_IN_20151207084030_CA.txt

Demographic – Outbound File

KDOT_DEMO_OUT_YYYYMMDDHH24MISS_CA.txt

Example:

KDOT_DEMO_OUT_20151104050500_CA.TXT

File Delivery Location

The table below contains the file delivery locations for each file interface.

Table 8: File Delivery Locations for File Interfaces

Interface Name

Vendor SFTP Directory

BOS Inbound Directory

Demographic

/RITE Files/Demographic/Outbound

<root directory>/collections/Demographic/Inbound/current

Toll Violations

/RITE Files/Inbound/ NA

Payments and Adjustments

/RITE Files/Inbound/ NA

File Delivery Timetable

The File Delivery Timetable is once per day. KDOT and the Collection Agency need to define the hour in which the files are transferred (TBD later).

Packet Pg. 781



Field Definitions

The following sections describe each field in the Outbound and Inbound files.

Toll Violation – Outbound File

The table below contains the field descriptions for the Toll Violation Outbound file.

Note: Below table elements may changes after finalizing the invoice details.

Table 9: Toll Violation Outbound File Field Descriptions

Description XML Element Type Max

Length Require

d Comment

Account Number

account id Character 14 Y

Account Original Balance

account_original_balance

Number 5,2 Y

Account Current Balance

account_current_balance

Number 5,2 Y

invoice invoice Complex NA Y

Invoice Number

number Character 14 Y number is an attribute to Invoice element

Invoice Type type Character 3 Y Toll Violation

Agency agency Character 2 Y KDOT

Invoice Date invoice_date Date NA Y YYYY-MM-DD

Vehicle Information

vehicle_info Complex NA Y

Plate Number plate_number Character 7 Y

Plate State plate_state Character 2 Y

Plate Type plate_type Character 2 Y

Person Information

person_info Complex NA Y

First Name first_name Character 20 N

Middle Initial middle_initial Character 1 N

Last Name last_name Character 20 N

Company Name

company_name Character 20 N

License Number

license_number Character 20 N

Address Information

Address_info Complex NA Y

Address Type addrType Character 15 Y addrType is an attribute of Address_info

Packet Pg. 782




Length Require

d Comment

Street Address 1

street_address1 Character 40 Y

Street Address 2

street_address2 Character 40 N

City city Character 20 Y

State state Character 2 Y

Zip zip Character 6 Y

Country country Character 20 Y

Contact information

contact_info Complex NA N

Email email Character 40 N

Phone phone Character 10 N

Phone type type Character 10 N type is an attribute of phone element

Transaction txn Complex NA Y

Transaction Number

id Number 14 Y id is an attribute of TXN element

Transaction Date & Time

txn_date_time Character 21 Y YYYY-MM-DD HH24:MM:SS

Transaction Location

txn_location Character 40 Y

Transaction Toll Original Amount Due

txn_toll_original_amount_due

Number 5,2 Y

Transaction Toll Current Amount Due

txn_toll_current_amount_due

Number 5,2 Y

Transaction Toll Payment

txn_toll_payment Number 5,2 Y

Transaction Toll Adjustment

txn_toll_adjustment Number 5,2 Y

Transaction Fee

txn_fee Complex NA Y

Transaction Fee Type

type Character 25 Y type is an attribute of txn_fee.

Transaction Fee Original Amount Due

txn_fee_original_amount_due

Number 5,2 Y

Transaction Fee Current Amount Due

txn_fee_current_amount_due

Number 5,2 Y

Transaction Fee Payment

txn_fee_payment Number 5,2 Y

Packet Pg. 783




Length Require

d Comment

Transaction Fee Adjustment

txn_fee_adjustment Number 5,2 Y

Sample Data

<placement_file>

<accounts>

<account id="2901499">

<account_original_balance>-148.00</account_original_balance>

<account_current_balance>-148.00</account_current_balance>

<invoice number="011802830114" type="TV" agency="KDOT">

<invoice_date>2018-07-31</invoice_date>

<vehicle_info>

<plate_number>FTP4004</plate_number>

<plate_state>TX</plate_state>

<plate_type>N/A</plate_type>

</vehicle_info>

<person_info>

<first_name>ISMAELA</first_name>

<middle_initial></middle_initial>

<last_name>GOSALES</last_name>

<company_name> </company_name>

<license_number></license_number>

<address_info addrType="MAILING">

<street_address1>511 CHIMNEY ROCK</street_address1>

<city>HOUSTON</city>

<state>TX</state>

<zip>77081</zip>

<country>USA</country>

</address_info>

<contact_info>

<phone type="HOME PHONE">5552458942</phone>

<phone type="WORK PHONE">5553734022</phone>

<email>[email protected]</email>

</contact_info>

</person_info>

<txn id="12421969502">

<txn_date_time>2018-04-20 08:31:26</txn_date_time>

<txn_location>SH - SOUTH</txn_location>

<txn_toll_original_amount_due>1.75</txn_toll_original_amount_due>

<txn_toll_current_amount_due>1.75</txn_toll_current_amount_due>

<txn_toll_payment>0.00</txn_toll_payment>

<txn_toll_adjustment>0.00</txn_toll_adjustment>

<txn_fee type="COUNTY ATTORNEY FEE">

<txn_fee_original_amount_due>1.00</txn_fee_original_amount_due>

<txn_fee_current_amount_due>1.00</txn_fee_current_amount_due>

<txn_fee_payment>0.00</txn_fee_payment>

<txn_fee_adjustment>0.00</txn_fee_adjustment>

</txn_fee>

<txn_fee type="ADMINISTRATIVE FEE">





</txn_fee>

</txn>

<txn id="12423859579">


<txn_location>WPT - MLP2</txn_location>






Packet Pg. 784







</txn_fee>






</txn_fee>

</txn>

<txn id="12424723010">


<txn_location>SH - SOUTH</txn_location>










</txn_fee>






</txn_fee>

</txn>

<txn id="12424888444">


<txn_location>KTY EB @ ELDRIDGE</txn_location>










</txn_fee>






</txn_fee>

</txn>

</invoice> KDOT

</account>

</accounts>

</placement_file>

Payment and Adjustments Outbound File

The table below contains the field descriptions for the Payment and Adjustments Outbound File.

Packet Pg. 785



Table 10: Payment and Adjustments Outbound File Field Descriptions


Length Require

d Comment

Accounts accounts Complex NA Y

Account Account Complex NA Y

Account Number

id Character 14 Y ID is the attribute of account

invoice invoice Complex NA Y

Agency Agency Character 2 Y Agency is an attribute to Invoice element

Invoice Number

number Character 14 Y number is an attribute to Invoice element

Vehicle Information

vehicle_info Complex NA Y

Plate Number plate_number Character 7 Y

Plate State plate_state Character 2 Y

Plate Type plate_type Character 2 Y

Person Information

person_info Complex NA Y

First Name first_name Character 20 N

Middle Initial middle_initial Character 1 N

Last Name last_name Character 20 N

Company Name

Company_name Character 20 N

Address Information

Address_info Complex NA Y

Address Type addrType Character 15 Y addrType is an attribute of Address_info

Street Address 1

street_address1 Character 40 Y

Street Address 2

street_address2 Character 40 N

City city Character 20 Y

State state Character 2 Y

Zip zip Character 6 Y

Country country Character 20 Y

Contact information

contact_info Complex NA N

Email email Character 40 N

Phone phone Character 10 N

Packet Pg. 786




Length Require

d Comment

Phone type type Character 10 N type is an attribute of phone element

List of values-

Payments payments Complex N/A

Payment payment Complex N/A

Delivery Method

delivery_mode Character 20 Y attribute of payment

List of values-

Payment Date payment_date Date NA Y attribute of payment

Payment ID payment_id Number 14 Y attribute of payment

Payment Status

payment_status Character 20 Y attribute of payment

Payment categories

posting_categories Complex N/A NA

Type of Payment

posting_categoriy Complex N/A NA

Packet Pg. 787




Length Require

d Comment

Type of Payment

name Character 50 Y name is an attribute of posting_category

Type of payment

List of values -

(There might be more added in future)

Items Items complex N/A

Invoice Fee Amount

Inv_fee Number 5,2 N

Invoice Fee Name

Name character 50 N Name is an attribute of complex type inv_fee

Transaction Txn Complex Type

N/A NA

Toll Transaction ID

id Number 14 N Attribute of txn

Toll Transaction

Txn_toll Number 5,2 N

Transaction Fee Amount

Txn_fee Number 5,2 N

Transaction Fee Name

Name Character 50 N Name is an attribute of complex type txn_fee

Adjustments adjustments Complex N/A

Type of Adjustment

posting_category Complex N/A

Name of Adjustment

name Character 50 Y name is an attribute of posting_category

Type of adjustment

List of values -

(There might be more added in future)


Invoice Fee Amount


Invoice Fee Name


Transaction Txn Complex N/A NA

Packet Pg. 788




Length Require

d Comment

Toll Transaction ID


Toll Transaction




Additional additional Complex N/A

Type of additional

posting_category Complex N/A

Name of additional fee

name Character 50 Y name is an attribute of

posting_category


Invoice Fee Amount


Invoice Fee Name


List of values -

Transaction Txn Complex N/A NA

Toll Transaction ID


Toll Transaction




Transaction Fee Name

Name Character 50 N Name is an attribute of complex type txn_fee

Payment and Adjustments Outbound File Format

This section gives the payment and adjustments outbound file format with an example. The example is XML-based.

<adjustment_file>

<accounts>

<account id="2252">

<invoice agency=”HC” number="12064">

<vehicle_info>

<plate_numer>TEST60</plate_numer>



</vehicle_info>

<person_info>

Packet Pg. 789



<first_name>GORDON</first_name>

<middle_initial>KAYE</middle_initial>

<last_name>NELSON</last_name>


<city>RICHARDSON</city>

<state>TX</state>


<street_address1>1705 N PLANO RD</street_address1>

<street_address2> </street_address2>

<zip>75081</zip>

</address_info>

<contact_info>

<phone type="HOME PHONE">555-567-6651</phone>


</contact_info>

</person_info>

<payments>

<payment delivery_mode="MAIL" payment_date="2016-01-07 15:50:31.0"

payment_id="1957" payment_status="APPLIED"/>

<posting_categories>

<posting_category name="PAYMENT APPLICATION">

<items>

<txn id="67745">

<txn_fee name="COUNTY ATTORNEY FEE">1</txn_fee>

<txn_fee name="COLLECTION FEES">2</txn_fee>

</txn>

<txn id="67747">



</txn>

<txn id="67748">



</txn>

</items>

</posting_category>

</posting_categories>

</payments>

</invoice>

</account>

</accounts>

</adjustment_file>

Figure 3: Payment and Adjustments Outbound File Format

<adjustment_file>

<accounts>

<account id="3252">

<invoice agency=”HC” number="22064">

<vehicle_info>

<plate_numer>TEST70</plate_numer>



</vehicle_info>

<person_info>

<first_name>GORDON</first_name>

<middle_initial>KAYE</middle_initial>

<last_name>NELSON</last_name>


<city>RICHARDSON</city>

<state>TX</state>


<street_address1>1705 N PLANO RD</street_address1>

<street_address2> </street_address2>

<zip>75081</zip>

</address_info>

<contact_info>

<phone type="HOME PHONE">555-567-6651</phone>

Packet Pg. 790




</contact_info>

</person_info>

<payments>

<payment delivery_mode="MAIL" payment_date="2016-01-07 15:50:31.0"

payment_id="1957" payment_status="APPLIED"/>

<posting_categories>

<posting_category name="PAYMENT APPLICATION">

<items>

<inv_fee name="COUNTY HEARING FEE">50.00</inv_fee>

<txn id="67745">



</txn>

<txn id="67747">



</txn>

<txn id="67748">



</txn>

</items>

</posting_category>

</posting_categories>

</payments>

</invoice>

</account>

Figure 4: Payment and Adjustments Outbound File Format – With Invoice Fees

Demographic – Inbound/Outbound File

Demographic Inbound File

The table below contains the field descriptions for the Demographic Inbound File.

Table 11: Demographic Inbound File Field Descriptions

Field Description Data Type Length Comments

Account ID Number 14 F1

Invoice Number Char 14 F2

First Name Char 20 F3

Middle Initial Char 1 F4

Last Name Char 20 F5

Plate Number Char 7 F6

Plate State Char 2 F7

Plate Type Char 2 F8

Source Char 6 F9

“Manual”

Address line1 Char 40 F10

Packet Pg. 791





City Char 20 F12

State Char 2 F13

Country Char 20 F14

Zip Code Number 6 F15

Zip Code+4 Number 4 F16

Home Phone Char 12 F17

Formatted NNN-NNN-NNNN

Work Phone Char 12 F18


Mobile Phone Char 12 F19


Email Address Char 75 F20

Reissue Flag Char 1 F21

Demographic Inbound File Format

This section gives the demographic inbound file format with an example.

Each field in the Demographic inbound file is separated by the “|” char, which is the field delimiter.

Name: KDOT_DEMO_IN_20151207084030_CA.txt

F1|F2|F3|F4|F5|F6|F7|F8|F9|F10|F11|F12|F13|F14|F15|F16|F17|F18|F19|F20|F21 Where: F1 = Account ID F2 = Invoice Number F3 = First Name F4 = Middle Initial F5 = Last Name F6 = Plate Number F7 = Plate State F8 = Plate Type F9 = Source F10 = Address line1 F11 = Address line2 F12 = City F13 = State F14 = Country F15 = Zip Code F16 = Zip Code+4 F17 = Home Phone F18 = Work Phone F19 = Mobile Phone F20 = Email Address F21 = Reissue Flag

Packet Pg. 792



Example:

861105221|12345|Doe|K|Jane|BGG123|TX|R|Manual|1705 N Plano Rd||Richardson|TX|USA|75081|9992|555-451-1122|555-451-1122|555-451-1122|[email protected]|Y|

Demographic Outbound File

The table below contains the field descriptions for the Demographic Outbound File.

Table 12: Demographic Outbound File Field Descriptions


Account ID Number 14 F1

Invoice Number Char 14 F2

First Name Char 20 F3

Middle Initial Char 1 F4

Last Name Char 20 F5

Plate Number Char 7 F6

Plate State Char 2 F7

Plate Type Char 2 F8



City Char 20 F11

State Char 2 F12

Country Char 20 F13

Zip Code Number 6 F14

Zip Code+4 Number 4 F15

Home Phone Char 12 F16


Work Phone Char 12 F17


Mobile Phone Char 12 F18


Email Address Char 75 F19

Agency Char 2 F20

Demographic Outbound File Format

This section gives the demographic outbound file format with an example.

Each field in the demographic outbound file is separated by the “|” char, which is the field delimiter.

Packet Pg. 793



Name: KDOT_DEMO_OUT_20151104050500_CA.TXT

F1|F2|F3|F4|F5|F6|F7|F8|F9|F10|F11|F12|F13|F14|F15|F16|F17|F18|F19|F20 Where: F1 = Account ID F2 = Invoice Number F3 = First Name F4 = Middle Initial F5 = Last Name F6 = Plate Number F7 = Plate State F8 = Plate Type F9 = Address line1 F10 = Address line2 F11 = City F12 = State F13 = Country F14 = Zip Code F15 = Zip Code+4 F16 = Home Phone F17 = Work Phone F18 = Mobile Phone F19 = Email Address F20 = Agency

Example:

2481|19003|MAI||NGUYEN|THH8888|LA|PASSENGER|911 E CAMPBELL||RICHARDSON|TX|USA|75081||214-555-0000|||[email protected]|HC

Ack/Nack

The Input and Output files do not have an ACK/NACK response immediately after file toll violation on the shared SFTP server. If necessary KDOT BOS Support Personnel or the Collection Agency Support Personnel contact each other as necessary with any issues or concerns regarding input/output file content or format.

Packet Pg. 794

Interface Control Document Configuration Settings


Configuration Settings

SFTP Location

The table below contains the configuration setting values for the KDOT SFTP server.

Table 13: Configuration Settings

Server Name IP Address Username Password

The table below contains the configuration settings for the Collection agency SFTP Server.

Table 14: Collection agency SFTP Server Configuration Settings

DMV Server Name

IP Address Username Password

Packet Pg. 795

Interface Control Document System Requirements


System Requirements

Collections Requirements

The table below lists all the system requirements for the Collections and Hearings interface.

Table 15: Collections and Hearings

RTM # Description

25 The BOS shall provide the following major functional elements, at a

minimum: Collections – Integrate BOS with KDOT’s Unpaid Toll Collections

vendor. 291 The BOS financial solution shall meet or exceed the following

requirements: (8) Interface with other financial institutions like banks, credit card clearing house, payment networks and collection agencies.

246 KDOT may refer unpaid Toll Violations to a collection agency. The BOS shall integrate to KDOT’s debt collections provider(s).

247 The BOS shall exchange transaction and/or customer account data with debt collections provider(s) in a secure manner to be defined later as part of the BOS design process.

249 The BOSP shall receive and process Toll Violations paid through a collection agency with the date paid, closed Toll Violation amount, and net proceeds to KDOT.

751

Delinquent unpaid toll invoices may be sent to a 3rd party debt collections entity contracted by the County. The Back Office Service Provider must integrate the BOS to the 3rd party debt collections entity.

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Interface Control Document Business Rules


Business Rules

The table below lists all the business rules for this interface.

Table 16: Business Rules

RTM # Description

NA NA

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Interface Control Document Escalation Fees


Escalation Fees

Agency Invoice Type

Escalation State

Fee Name Fee Amoun

t

File Name Active

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COUNTY OF KANE, STATE OF ILLINOIS DIVISION OF TRANSPORTATION

RFP 08-021

REQUESTS FOR PROPOSALS TO PROVIDE COLLECTIONS SERVICES


Request for Clarifications

Please submit electronic responses to each of the questions below to [email protected] and [email protected] by 4:00 p.m. Central Time on Friday, May 14, 2021. Dear RFP 08-021 Respondent: Thank you for submitting a Proposal to provide Collections Services to Kane County. We are soliciting responses to the following clarification questions:

1. Collections Rate – Please provide an estimated collections rate based on your historical collections rate for the specific type of Kane County debts that will be placed into collections. These are unpaid tolls and fees that are unpaid after 90+ days, after 3 levels of invoicing by the County (Toll Invoice, Notice of Non-Payment and Toll Violation).

2. Collections Fee – Please affirm that the collections fee (quoted as a % of the amount of debt

collected) is the best and final offer and are fully inclusive of all payment processing fees (such as bank fees and credit card fees). If these fees were not included in your collections fee, please submit a revised best and final Pricing Proposal.

3. Litigation Services Fee – If you provide litigation services as an option (please note that this is not a mandatory requirement), please provide a Litigation Services Fee (quoted as a % of the amount of debt that is collected after litigation).

Any questions pertaining to this request for clarifications shall be submitted in writing electronically within 24 hours of the transmittal of this clarification request and written responses will be provided by the County in writing electronically within 24 hours of receipt of such questions. Thank you again for your participation in this procurement process. We appreciate the effort and resources you have committed to fulfill the Collections Services RFP requirements, and we highly value the information you have provided to the County to date.

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DIVISION OF TRANSPORTATION RFP 08-021

REQUESTS FOR PROPOSALS

TO PROVIDE COLLECTIONS SERVICES


ADDENDUM #3: Additional Scope of Work Items

Please submit two responses to Addendum #3: One (1) in Portable Document format (pdf); and one

(1) identical redacted pdf copy that includes any information deemed as “Confidential” as redacted

by email to [email protected] and [email protected] by 4:00 p.m. Central Time

on Friday, July 2, 2021. Please respond to this email to confirm receipt of Addendum #3.

ADDITIONAL SCOPE OF WORK ITEMS

A. Administrative Hearing Services – Kane County is seeking professional administrative hearing

services to adjudicate cases where customers contest their toll violation, as described in the Kane County

Ordinance No. 20-52, Section 17-48. The services will require that the vendor provide one or more

administrative hearing officers (AHO) and administrative support staff, and necessary computer systems

and network to perform the work necessary to manage and adjudicate cases.

1. The vendor shall provide one or more qualified individuals who can serve as an AHO. The AHO

shall:

a) Be currently licensed to practice law in the State of Illinois for at least five (5) years and

provide proof of licensure.

b) Show proof of good standing by the Attorney Registration and Disciplinary Commission of

the Supreme Court of Illinois.

c) Have experience in or with presiding over judicial or administrative hearings. Experience with

pro se litigants is highly desired.

d) Have excellent oral and written communication and people skills, be fair, impartial, competent

and able to conduct timely and professional hearings.

e) Not be employed by Kane County or the State of Illinois (e.g., as an independent contractor or

staff).

f) Have no personal, professional or financial interest that would conflict with his or her

objectivity to apply the Kane County ordinance independently and objectively.

g) Be capable of performing the AHO duties outlined in the Kane County ordinance which will

require the ability to:

i. Preside over the administrative hearing;

ii. Efficiently manage the hearing schedule, cases and reviews;

iii. Explain the procedures of the hearing to the parties;

iv. Listen to and analyze testimony and other evidence;

v. Rule on the admissibility of evidence in accordance with applicable laws;

vi. Permit parties to examine and cross examine witnesses;

vii. Determine liability, if any, upon being presented with evidence based on a preponderance

of the evidence and applicable law; and

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viii. Issue a final order indicating the AHO’s findings.

h) Conduct hearings by video conference or by mail. At a future date, the County may elect to

conduct in-person hearings at a Kane County office. Should the County determine that in-

person hearings are necessary in the future, the County will negotiate the cost of conducting

in-person hearings with the selected vendor.

i) Issue final decisions for all virtual and mail-based hearings immediately upon the final

presentment and review of the evidence. In the case of mail-in hearings, final decisions should

be made and logged into the hearing system within one-business day of receipt.

j) Participate in periodic scheduled meetings and trainings.

k) Cooperate with Kane County in the monitoring of activity, which require that the AHO(s):

i. Provide records in a format acceptable to Kane County;

ii. Provide comments and justification for the AHO’s determinations;

iii. Provide Kane County management with reports and time sheets as requested;

iv. Report system or operational problems that impede the AHO’s ability to perform the

services described herein (e.g., issues with the tolling system, evidence package,

scheduling, or invoicing); and recommend solutions, as appropriate; and

v. Contribute to the monthly updates on the hearings’ statuses and final dispositions.

2. The administrative staff shall assist the AHO with the hearing process and shall:

a) Have at least three years of experience with managing and scheduling appointments using a

computer software tool.

b) Have at least two years of experience with payment ledgers, accounting and reporting writing.

c) Have moderate level computer skills and the capability to learn and utilize computer software

systems and interoperable technologies.

d) Have experience in or with supporting judicial or administrative proceedings. Experience with

pro se litigants is highly desired.

e) Have excellent oral and written communication and people skills, be impartial, competent and

work efficiently.

f) Not be employed by Kane County or the State of Illinois (e.g., as an independent contractor or

staff).

g) Have no personal, professional or financial interest that would conflict with his or her

objectivity and ability to perform the work.

h) Shall serve as the primary point of contact and liaison between the vendor and the County’s

Back Office System Provider for the following purposes:

i. Receiving hearing requests and related documents and evidence;

ii. Developing and managing the hearing schedule, cases and reviews; and

iii. Tracking and communicating the disposition of all cases and fees owed.

i) Provide monthly updates on the hearings’ statuses and final dispositions to Kane County’s

Back Office Service Provider in an agreed to format to be determined after contract award.

j) Be present for all virtual hearings.

k) Be bonded and available to receive payment of funds adjudged due upon final determination

of liability by the AHO; and shall process payments received for violations and cause them to

be deposited in an account and manner as required by Kane County.

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3. All assigned vendor personnel shall properly and accurately record their time spent on performing

the services, and provide related reports describing work activity and timesheets to substantiate

their time and to be include with the vendor’s invoice.

4. The vendor shall provide a dedicated mailing address for all hearing related communications; a

dedicated account and web-based portal to receive payment(s); and reconcile payments daily.

5. The vendor shall report system or operational problems that impede its ability to perform the

services described herein (e.g., issues with the tolling system, evidence package, scheduling, or

invoicing); and recommend solutions, as appropriate.

6. The vendor shall provide a secure computer system and network, and video conferencing

technology platform to enable the scheduling of all hearing types (virtual or by mail); the intake

of evidence and transmittal of information about the case and final administrative hearing

determinations between the administrative clerk, AHO and Kane County’s Back Office Service

Provider.

7. All administrative hearing services shall be performed within the United States.

Kane County’s Back Office Service Provider will be responsible for receiving and logging the

administrative hearing requests from customers and transferring the hearing request and supporting

evidence package to the vendor point of contact to then manage, conduct and document the

administrative hearings.

Current estimates are that there will be approximately 100-200 administrative hearing cases per year.

That number will likely be higher during the initial years of the program. Based on those projections, the

AHO must be available to conduct the virtual administrative hearings at least one day per week. Mail-in

hearings may be conducted more frequently, depending on the volume of requests for hearing. Kane

County will establish a schedule of penalty amounts to be assessed in consideration of the nature and

number of the violations.

The vendor shall have no expectation or right to a minimal or maximum number of assigned cases. Kane

County will periodically evaluate the performance of the vendor assigned staff regarding the individual’s

ability to efficiently, timely and professionally process the caseload and issue its determinations.

Please provide an hourly rate fee schedule for the services to be provided by the Administrative

Hearing Officer and the administrative support staff. Note, annual license fees, professional liability

coverage, bonding, travel, meals, other incidentals, including computers, printers, phone or internet

connection fees, and any service-related costs and expenses shall be the sole responsibility of the

Administrative Hearing Officer and shall not be subject to any additional charge to or reimbursement by

Kane County.

Please also provide a history of similar previous engagements including a total of three (3) references

from governmental agencies or private firms.

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B. Payment Plan Administration Services – Kane County is seeking professional services to serve as a

Payment Plan Administrator to administer payment plans for Kane County customers to pay unpaid tolls

and fees for any of the three invoice levels issued by the County (Toll Invoice, Notice of Non-Payment

and Toll Violation) prior to being sent to collections, including requests for payment plans after the

completion of the administrative hearing process. The Payment Plan Administrator shall:

a) Work with Kane County to establish configurable payment plan parameters (e.g., duration, due

dates, payment amounts, default dates, down payments, rebilling/auto drafting, fees, discounts);

b) Adhere to the policy and procedures established by Kane County for establishing and managing

each payment plan and processing payment and other conditions of a payment plan;

c) Adhere to applicable consumer debt collection practices; treat each customer with courtesy and

respect;

d) Provide multiple and convenient payment methods (e.g., online, mail, telephone);

e) Proactively address missed payments (e.g., customer outreach, plan cancellation, escalation);

f) Provide reporting on the status of each payment plan account;

g) Participate in scheduled meetings and training;

h) Provide updates to Kane County’s Back Office Service Provider in an agreed upon format to be

determined after contract award;

i) Establish an electronic ledger or system to track the status of each Payment Plan and account for

each payment received for each plan. The ledger or system shall include the date the request was

made, the terms of the plan (dates payment is due; plan expiration; amounts due; open a pre-paid

account); the number of plans previously given to customer; date of full payment; and includes

notes from conversations between the requestor and administrator; and

j) Transfer all funds received to Kane County within 1 business day of receipt. Such receipt shall

trace back to the Payment Plan case to which it generated.

Kane County’s Back Office Service Provider will electronically transfer all eligible customer requests

and account information for a Payment Plan to the Payment Plan Administrator. Current estimates are

that there will be approximately 500-600 payment plans per year. No payment plan shall allow more

than six (6) months for collections. The Payment Plan Administrator shall have no expectation or right to

a minimal or maximum number of payment plans to administer.

Please provide a Payment Plan Administrative Services Fee quoted as a flat fee per payment plan.

Responses are not to exceed ten (10) pages in length. Any questions pertaining to Addendum #3 for

additional scope items shall be submitted by email to [email protected] and

[email protected] by 12:00 p.m. Central Time on Wednesday, June 23, 2021. Written

responses will be provided by the County electronically by 4:00 p.m. Central Time on Friday, June 25,

2021.

Thank you again for your participation in this procurement process. We appreciate the effort and

resources you have committed to fulfill the Collections Services RFP requirements, and we highly value

the information you have provided to the County to date.

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APPENDIX B – CONTRACTOR’s PROPOSAL

(Incorporated herein by reference)

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Proposal for:

Kane County Division of Transportation Collection Services for the Longmeadow Parkway Toll Bridge RFP No. 08-021

Due Date: April 7,2021 – 2:00 p.m. CT

Original

Submitted by:

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Appendix B

This response includes data that shall not be disclosed outside the Kane County Division of Transportation (KDOT) and shall not be duplicated, used, or disclosed — in whole or in part — for any purpose other than to evaluate this proposal. If, however, a contract is awarded to this offeror as a result of — or in connection with — the submission of this data, KDOT shall have the right to duplicate, use, or disclose the data to the extent provided in the resulting contract. This restriction does not limit KDOT’s right to use information contained in these data if it is obtained from another source without restriction. The data subject to this restriction are contained on all sheets marked as Confidential Trade Secret Information.

This response is presented by Professional Account Management, LLC

a wholly owned and controlled subsidiary of Navient Corporation. For simplicity, we routinely refer to our company as

“PAM” or “Duncan.”

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633 W Wisconsin Ave., Suite 1600 / Milwaukee, WI 53203 / p: 888.993.8622 / f: 414.847.6776 www.duncansolutions.com

April 5, 2021 Timothy Keovongsak, CPPB, Buyer III Kane County Division of Transportation 719 South Batavia Ave., Rooms 211, 212, 214 Geneva, IL 60134 Re: RFP No. 08-021 for Collections Services for the Longmeadow Parkway Toll Bridge Dear Mr. Keovongsak and Members of the Selection Committee, Professional Account Management, LLC, a Duncan Solutions company (Duncan), is pleased to submit this proposal in response to RFP No. 08-021 – Collections Services for the Longmeadow Parkway Toll Bridge to the Kane County Division of Transportation (KDOT). Duncan has received and acknowledged Addendum 1, sent on 3/24/2021 and Addendum 2, sent on 4/1/2021. Duncan has a significant footprint as a service provider in the tolling industry. Each year we collect over $425 million in revenue for more than 600 government agencies. For more than 35 years we have helped government agencies of all sizes deliver significant collection program results. We differentiate ourselves from commercial collection agencies by our strategic focus and expertise in vehicle-related receivables management. Duncan’s approach is to maximize revenues with a strong emphasis on customer service, meaning we treat each person with the respect and dignity they deserve as we assist with account resolution. We have the largest client portfolio in the tolling industry, providing debt collection services and/or DMV registered owner (RO) lookup services to nearly 50 tolling agencies. We have gained incredible acceptance in the tollway market — in the last four years alone, we have signed 23 new contracts with toll agencies to provide either DMV RO lookup services and/or debt collection services similar to those required by KDOT. Our reputation and industry presence continue to grow throughout the country, and we are confident that Duncan can deliver KDOT’s required financial and customer service results. The primary contact person regarding our proposal is Eric Hunn, Vice President – Tolling, Collections, and DMV Services. He can be reached at 215-275-9375 or at [email protected] As Chief Executive Officer, I am authorized to make representations, negotiate, and legally bind the company to any subsequent agreement. We look forward to the opportunity to work with KDOT to implement our industry-leading solution. If you have any questions regarding our services or would like to discuss our proposal, please do not hesitate to contact me directly. Sincerely, Tim Wendler President and Chief Executive Officer Professional Account Management, LLC 414-847-3758 | [email protected]

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Collection Services for the Longmeadow Parkway Toll Bridge

RFP No. 08-021

Professional Account Management, LLC

A Duncan Solutions Company Page i

TABLE OF CONTENTS

Cover Letter

Table of Contents ................................................................................................................................ i

Section I Executive Summary ............................................................................................................. 1

Section II Corporate and Financial Information .................................................................................. 3

II.1 General Entity Information .............................................................................................................. 3

II.1.a Legal Name ............................................................................................................................. 3

II.1.b Type of Business entity .......................................................................................................... 3

II.1.c Place of Incorporation ............................................................................................................ 3

II.1.d Major Office Names and Locations ........................................................................................ 3

II.1.e Length of Time Providing Collection Services ........................................................................ 4

II.1.f Illinois Secretary of State Registration .................................................................................... 4

II.1.g Federal Employee Identification Number .............................................................................. 4

II.2 Organizational Structure ................................................................................................................. 5

II.3 Financial Profile ............................................................................................................................... 7

II.3.a Financial Statements .............................................................................................................. 7

II.3.b Annual Financial Reports ....................................................................................................... 7

II.3.b.i Financial resources ........................................................................................................ 8

II.3.b.ii Debt Collection Services Financial Evidence................................................................. 8

II.4 Bank Affiliation ................................................................................................................................ 8

II.5 Contracting History .......................................................................................................................... 8

II.5.a Contract Terminations ........................................................................................................... 8

II.5.b Contact Suspensions, Terminations, and Cancellations ........................................................ 9

II.5.c Liquidated Damages ............................................................................................................... 9

II.5.d Judgements or Decrees .......................................................................................................... 9

II.6 Ownership Interests ........................................................................................................................ 9

II.7 Bankruptcies .................................................................................................................................. 10

II.8 Litigation ........................................................................................................................................ 10

II.9 Taxes and Liens .............................................................................................................................. 10

II.10 Statutory Certifications................................................................................................................ 11

II.10.a Contractor Disclosure Letter ............................................................................................... 11

II.10.b Familial Relationship Disclosure Letter ............................................................................... 11

II.11 Insurance Coverage ..................................................................................................................... 11

Section III Relevant Experience ........................................................................................................ 12

III.1 U.S. Governmental Authorities ..................................................................................................... 12

III.2 Current and Previous Collections Services Contracts ................................................................... 14

III.3 Customer References ................................................................................................................... 16

Section IV Organization and Personnel Qualifications....................................................................... 17

IV.1 Key Personnel Organization Structure Narrative ......................................................................... 17

IV.2 Organization Chart ....................................................................................................................... 18

IV.3 Key Personnel Resumes ............................................................................................................... 20

Section V Technical Approach .......................................................................................................... 21

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RFP No. 08-021


A Duncan Solutions Company Page ii

Section VI Pricing Proposal .............................................................................................................. 31

Attachments .................................................................................................................................... 32

1 Illinois Secretary of State Registration Certificate ............................................................................ 33

2 Financial Resources Certification Letter ........................................................................................... 34

3 Litigation History............................................................................................................................... 35

4 Contractor Disclosure Letter ............................................................................................................ 41

5 Familial Relationship Disclosure Letter ............................................................................................ 42

6 Certificate of Insurance .................................................................................................................... 43

7 Key Personnel Resumes .................................................................................................................... 44

8 2020 Audited Financial Reports ........................................................................................................ 45

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RFP No. 08-021


A Duncan Solutions Company Page 1

SECTION I EXECUTIVE SUMMARY

Duncan has provided key support services to the tolling industry for more than 35 years and has a demonstrated record working with 50 toll agencies across the country. Our combined portfolio of service offerings includes debt collections, image review, DMV registered owner (RO) lookup, and customer service, allowing us to deliver comprehensive tolling knowledge and expertise. We use the knowledge gained and lessons learned from our current tolling projects to deliver program improvements to tolling agencies and hope to deliver such program improvements to KDOT. We are a Wisconsin-based, nationally licensed collection agency that have significant industry experience in collecting a wide range of delinquent receivables including municipal court debt, parking, traffic and toll citation debt, criminal debt, and a variety of other municipal receivables; however, Duncan specializes in collecting violation and tolling debts. Based on our success increasing revenues for our clients, Duncan has been able to grow our collection account portfolio to more than 600 government agencies. We provide customer friendly, FDCPA compliant services that reflect an extension of our clients’ operations and focus on resolving every inquiry in a professional manner. Duncan is uniquely qualified for this procurement because:

➢ With a specialization in recovering vehicle-related debt, and a corporate focus on innovation and continuous process improvement, Duncan routinely delivers client revenues by as much as 30 percent greater than collection vendors that preceded us.

➢ We possess the required 50-state licensing, professional qualifications, and government references you should expect of a partner that has provided high-quality, cost-effective collection services.

➢ Our solution continuously provides program collections rates that beat the competition. Duncan’s delinquent collections solution is fully compliant with the Fair Debt Collection Practices Act (FDCPA).

➢ With a focus on customer service, we maximize revenue collection through proven, compliant, secure, and respectful practices, including follow-up notices, bankruptcy handling, skip tracing waterfall using multiple databases, outbound calls, email and text message communications, 24/7 electronic payment systems, wide array of payment types, support for registration non-renewal, secondary collections, and reporting and remittance management.

Why Duncan?

❖ We have more than 35 years of experience in government services outsourcing and have contractual relationships supporting 50 different toll authorities through a variety of service offerings including DMV RO lookup, debt collection, image review processing, and customer service.

❖ Familiar with debt collection for toll agencies including local area contracts with the Illinois Tollway and Chicago Skyway

❖ Our clients place 7 million new collection accounts with us annually and each year we collect over $425 million in revenue for over 200 of our government clients

❖ Through our proven, high-quality DMV RO retrieval services, used by more than 600 government agencies, we process more than 20 million registered owner requests each year for enhanced skip tracing

❖ Our collection rates of 40% and higher exceed the 23% average government collection rate.

❖ Annually, we mail more than 12 million notices, answer more than 700,000 calls, and place 20 million outbound calls.

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RFP No. 08-021



➢ With the backing of our parent, Navient Corporation (Nasdaq: NAVI) – a leading provider of business processing solutions with a market capitalization of $2 billion – we have the financial stability, and proven project management methodology to deliver immediate, quantifiable value to KDOT.

➢ We have demonstrated capabilities obtaining R0 data from all 51 state DMVs and Canadian provinces, including third-party relationships, and our strategic partnership with the National Law Enforcement Telecommunications System (Nlets). Our proven, high quality DMV RO retrieval service is a helpful tool for skip tracing as a first step in trying to identify vehicle registered owners.

➢ Our automated skip tracing process identifies contact information quickly and efficiently, prioritizing the least expensive and most effective method and our skip trace waterfall increases revenue on accounts that would otherwise be written off. We invest in multiple database access to maximize contacts and resulting revenues.

➢ We hold ourselves to a high standard of quality and ethics, recording all inbound and outbound calls that are then reviewed by our Quality Assurance Department for technique, compliance, and customer service. Such call recordings also are available to our clients on demand.

➢ We provide all requested service components as outlined in our response, subject to the terms and conditions set forth in KDOT’s request for proposal in a timely and efficient manner.

Our tolling industry expertise is unmatched. Between our DMV and debt collection service offerings, we have worked with 50 different toll agencies across the country, as depicted below. This allows us to bring best practices and nuanced expertise to enhance revenue performance and customer service business rules in support of KDOT.

Tolling Experience. Duncan has experience providing image review, debt collection and/or DMV registered owner lookup services to nearly 50 tolling agencies in the United States.

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RFP No. 08-021



SECTION II CORPORATE AND FINANCIAL INFORMATION

II.1 GENERAL ENTITY INFORMATION

General Entity Information . Provide the following

II.1.A LEGAL NAME a. Legal and d.b.a. name and address of the business entity submitting the Proposal.

Response: Our legal name is Professional Account Management, LLC. Our headquarters is located at 633 W. Wisconsin Ave., Suite 1600, Milwaukee, WI 53203.

II.1.B TYPE OF BUSINESS ENTITY b. Type of business entity (e.g., corporation, partnership, etc.).

Response: Limited Liability Company

II.1.C PLACE OF INCORPORATION c. Place of incorporation, if applicable.

Response: Wisconsin

II.1.D MAJOR OFFICE NAMES AND LOCATIONS d. Name and location of major offices and other facilities that relate to the Respondent's performance under the

terms of this RFP.

Response: Our main office is located at 633 W. Wisconsin Ave., Suite 1600, Milwaukee, WI 53203. While most services for this contract would be completed out of our Milwaukee headquarters, we also have a secondary data center, located at 11100 USA Parkway, Fishers, Indiana that ensures complete security and data redundancy. A facility in Muncie, IN is available as a secondary site that can provide back up and call center capabilities as well as to serve as our disaster recovery/business interruption planning location.

Work from Home Capabilities

A central enabler of Duncan and our parent company, Navient’s, capability to quickly recover from major business disruptions (such as COVID-19) is our widespread use of virtual desktops. Virtual desktops ensure at-home and in-office representatives are equally productive. Prior to the COVID-19 pandemic, we had a population of representatives working at home full time, so we had existing processes, technologies, and support systems to keep devices patched.

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RFP No. 08-021



Recently, due to the pandemic, we have greatly expanded our WFH workforce and reduced both tenure and representative performance requirements. Representatives use similar equipment whether working in the office or at home: a thin client PC, a keyboard, a mouse, and two monitors. The PCs have no option for inserting a device to access and/or download data. From their email boxes, they may only send emails to a restricted list of Navient employees. The thin client PC is connected to the network using Citrix, a secure tunnel that ensures a direct, uninterrupted connection to our network.

II.1.E LENGTH OF TIME PROVIDING COLLECTION SERVICES e. Length of time your organization has been engaged in providing collections services.

Response: Duncan has more than 80 years of experience delivering transportation solutions and more than 35 years of experience delivering tolling and collection solutions. As a nationally licensed collection agency, we have been a premier provider of delinquent collection services and have significant industry experience in collecting a wide range of delinquent receivables including municipal court debt, parking, traffic and toll violation debt, criminal debt, and a variety of other municipal receivables. Duncan focuses solely on the public sector, and expertly understands our clients’ budgetary and policy goals. We understand that the revenue from delinquent accounts can be an important alternative to raising taxes or issuing public bonds, and that the violators require an enhanced level of customer service. Dating back to 1982, we have specialized in recovering debts for government entities, and our record reflects our commitment to innovation, service, and collection performance. Duncan is a preferred provider of delinquent collections services to court debt, government parking, tollway, and traffic agencies across the U.S. Our proven expertise and capabilities in collecting tolling and other government debt make us sensitive to the unique nuances required when collecting from this type of debtor. With experience handling government debts for over 600 government agencies, and specifically for 17 toll agencies, we bring specific knowledge for the uniqueness of toll debt, understanding how motorist may often be confused or unaware of the rules and requirements for driving a toll road under all electronic tolling.

II.1.F ILLINOIS SECRETARY OF STATE REGISTRATION f. State whether your organization is registered with the Illinois Secretary of State (SOS). If you are not registered

to do business in the State of Illinois, the Respondent will need to register prior to final contract execution if

selected for this contract.

Response: Duncan is registered with the Illinois Secretary of State (SOS). We have provided our SOS Good Standing Certificate as an attachment at the end of this proposal.

II.1.G FEDERAL EMPLOYEE IDENTIFICATION NUMBER g. Provide the Respondent' s Federal Employer Identification Number.

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RFP No. 08-021



II.2 ORGANIZATIONAL STRUCTURE

Organizational Structure. Clearly define the organizational structure of the company or companies submitting the

Proposal to identify the various divisions, departments, offices and other business groupings with the approximate

number of employees within each unit. Any companies submitting as a joint venture, partnership, or other form

of association shall include the organization of each individual company. If applicable, describe the relationship

between the various divisions of your parent organization.

Response: In 2005, Duncan Solutions acquired Professional Account Management, LLC (PAM) – a leading collection agency focused on delivering solutions for vehicle-based debts. In 2008, Duncan further broadened its capabilities when it acquired Law Enforcement Systems, LLC (LES), which possessed unique capabilities for facilitating DMV data acquisition and image review for transportation and tolling agency clients across North America. Today, the combined capabilities of both Duncan subsidiaries – PAM and LES – provide municipal and transportation agency clients a customized service offering that includes debt collection services, DMV lookup, image review, and specialized skip-tracing services. PAM, a licensed collection agency, can collect in all 50 states, the District of Columbia, and some Canadian provinces. We have delivered tolling back office services for more than 35 years, and tolling image review services for more than 12 years. Duncan’s high performance and quality reputation caught the notice of Navient in 2017 when they acquired the company, solidifying our position as a leader in the industry. Headquartered in Wilmington, DE, Navient is a leading provider of business processing solutions with a market capitalization of $2 billion and has a strong financial position, with ample liquidity in the form of cash and unencumbered assets. We are a top 10 issuers of non-mortgage asset backed securities and continue to have access to capital markets to both secured and unsecured markets.

About Navient, Our Parent Company. Since 2017, Duncan has been at the center of Navient’s transportation processing division, adding to an already extensive government services segment.

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RFP No. 08-021



With the financial, technological, personnel, and governance backing of Navient, Duncan has enhanced its core capabilities with resources, tools, and expertise for our collection strategies, compliance, and complaint management processes. Many of these functions are key components of Navient’s loan servicing business and are easily applied to enhance our solution in support of our new and existing clients.

Divisions, Departments, Offices and Other Business Groupings Duncan currently employs 327 individuals, and the combined resources of our parent company and business partners includes an excess of 7,000 employees. Our talented staff across multiple functions allows us to bring substantial resources to serve KDOT. Following, we have provided the divisions, offices, and other business groups that will serve KDOT from our Milwaukee headquarters, secondary data center, and remote locations.

Functional Group Number of Employees

Call center service representatives 192

Collection operations and support 43

Information technology and support 40

New business development and relationship management

12

Legal and administrative support 3

Human resources 2

Finance 6

Training 2

Quality testing and project management 10

Lockbox 13

Correspondence 14

Divisions, Departments, Offices, and Other Business Group Employees.

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RFP No. 08-021



II.3 FINANCIAL PROFILE

Financial Profile. Provide the following financial information to demonstrate the Respondent is financially sound,

well managed, and able to adequately support the work performed under the Contract:

II.3.A FINANCIAL STATEMENTS a. Financial Statements in customary form for the most recently completed fiscal year, with such Statements being

audited by an independent certified public accountant. KDOT will not accept Reviewed Financial Statements In

lieu of Audited Financial Statements. Non‐domestic Respondents must provide such equivalent financial

statements as are required in their country of domicile. Indicate the amount of gross and net billings attributable

to collections services projects engaged in by your organization for the past three (3) years

Response: Duncan has included Financial Statements in customary form for the most recently completed fiscal year as an attachment at the end of this proposal response.

Gross and Net Billings Attributed The table below provides the requested information pertaining to the amount of gross and net billings attributable to collections services projects engaged in by Duncan. This information is applicable for the past three years.

Year Gross Collection Net Collection

Gross and net billings totals.

II.3.B ANNUAL FINANCIAL REPORTS b. Annual financial reports for the Respondent's most recently completed fiscal year, if readily available. The

information requested in this Section need only be supplied if such annual reports have been prepared in the

ordinary course of the Respondent’s business.

Response: Duncan has included our most recent annual financial reports as an attachment at the end of this proposal response.

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II.3.B.I FINANCIAL RESOURCES

i. If the Respondent is a subsidiary and will rely on the financial resources of the parent to perform the Contract,

the parent must certify, in writing, the availability of its resources to the Respondent. If the Respondent is a joint

venture, then the Proposal must identify which entity will serve as the collections service provider (contracting

entity) and identify the availability of financial resources from any party to support the Contract.

Response: Because Professional Account Management, LLC, is a wholly owned subsidiary of Duncan Solutions, Inc., we have also provided a letter certifying the availability of its resources as an attachment at the end of this proposal response.

II.3.B.II DEBT COLLECTION SERVICES FINANCIAL EVIDENCE

ii. The Respondent must provide evidence of, as well as a detailed explanation of, how it intends to finance the

delivery of the debt collections services. Such an explanation must indicate whether and what type of financing

will be obtained.

Response: The Company does not anticipate the need of any external financing. Our core business operations are self-funded through operating cash flow. Should the rare need arise, the Company has vehicles in place to obtain additional cash from the parent company, Navient. Navient has over $1.1 billion in cash on it’s balance sheet.

II.4 BANK AFFILIATION

Bank Affiliations. List all bank affiliation(s) of the Respondent as credit references. List shall include contact

name(s) and phone number(s).

Response: Carlos A. Huerta Director – Treasury Sales, Insurance and Specialty Finance Bank of America – Global Banking and Markets 701 Brickell Avenue, Miami, FL 33131 305-347-2645 | [email protected]

II.5 CONTRACTING HISTORY

Contracting History. The Respondent must be a business in good standing with its customers and the business

community. The Respondent shall disclose any of the following occurrences:

II.5.A CONTRACT TERMINATIONS a. At any time, has the Respondent ever had any contract terminated for default or cause? If so, provide a detailed

explanation of the circumstances and the other party’s name, address and telephone number.

Response: No, Duncan has not had any contract terminated for default or cause.

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II.5.B CONTACT SUSPENSIONS, TERMINATIONS, AND CANCELLATIONS b During the last five (5) years, has the Respondent had any contract suspended, terminated or canceled for any

reason? If so, the Respondent must submit full details including the other party’s name, address and telephone

number.

Response: Duncan has not had any contract suspended, terminated, or canceled for any reason during the last five years.

II.5.C LIQUIDATED DAMAGES c. During the last two (2) years, has the Respondent been assessed total liquidated damages in excess of $100,000

under any of its existing or past contracts with any other governmental entity? If so, indicate the entity’s

jurisdiction, contact name, telephone number and the penalty amount.

Response: During the last two years, Duncan has not been assessed total liquidated damages in excess of $100,000 under any of its existing or past contracts with any other governmental entity.

II.5.D JUDGEMENTS OR DECREES d. During the last two (2) years, has the Respondent, a subsidiary or intermediate company, parent company or

holding company been the subject of any order, judgment or decree of any federal or state authority barring,

suspending or otherwise limiting the right of the Respondent to engage in any business, practice or activity or, if

trading in the stock of the company, has Respondent ever been suspended from such trade? Provide date(s) and

explanation(s)

Response: During the last two years, Duncan, a subsidiary or intermediate company, parent company or holding company, have not been the subject of any order, judgment, or decree of any federal or state authority barring, suspending or otherwise limiting the right of Duncan to engage in any business, practice or activity. In addition, Duncan has never been suspended from trading on the stock of the company.

II.6 OWNERSHIP INTERESTS

Ownership Interests. Provide the names and addresses of persons, firms or corporations having a five‐percent (5%)

or greater ownership interest in Respondent (Show the percent ownership interest of each).

Response: Professional Account Management, LLC is a wholly owned subsidiary of Duncan Solutions, Inc. Duncan Solution’s parent company is Navient Corporation; they acquired Duncan in 2017. Headquartered in Wilmington, DE, Navient is a leading provider of business processing solutions in numerous markets including transportation, education, and healthcare.

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II.7 BANKRUPTCIES

Bankruptcies. The Respondent must provide information on whether it or any of its principals have ever filed for

protection under federal bankruptcy laws within the last 10 years, and if so, what the current status is of such

filing. THIS REQUIREMENT SHALL APPLY TO THE PARENT OF ANY SUBSIDIARY COMPANY RESPONDING TO THIS

RFP; TO ANY SUBCONTRACTOR THAT WILL PERFORM MORE THAN THIRTY (30%) OF THE WORK UNDER THE

CONTRACT; AND TO ALL PARTIES TO ANY RESPONDING JOINT VENTURE.

Response: Duncan, nor any of its principals, have ever filed protection under federal bankruptcy laws within the last 10 years.

II.8 LITIGATION

Litigation. Provide a list of any civil or criminal litigation involving the Respondent over the previous 10 years.

Indicate jurisdiction, venue, case name and case number. Any litigation or investigation commencing after

submission of a Proposal must be disclosed in a timely manner in a written statement to KDOT. Failure to notify

KDOT of any investigation may result in rejection of the Respondent’s Proposal or termination of the Contract.

Response: The services that Professional Account Management, LLC provides to the public and private sectors touch millions of individuals on any given day. Fortunately, litigation is a very rare occurrence, but, like any company operating in a public environment, we occasionally become involved in legal actions. Most of these cases are dismissed, withdrawn, or settled. We have included a list of all civil or criminal litigation over the previous ten years as an attachment at the end of this proposal response.

II.9 TAXES AND LIENS

Taxes and Liens. Each Respondent shall acknowledge in its Proposal that it is not in arrears for federal, state and

local taxes of any type, and must include in its Proposal a complete disclosure of any outstanding liens, levies, or

pending criminal investigation involving the organization. This applies to the parent of any subsidiary Respondent,

and if the Respondent consists of a joint venture, this requirement applies to all entities that comprise the joint

venture.

Response: Duncan acknowledges there no arrears for federal, state or local taxes of any type. There is nothing to disclose for any outstanding liens, levies, or pending criminal investigation involving our organization.

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II.10 STATUTORY CERTIFICATIONS

Statutory Certifications.

II.10.A CONTRACTOR DISCLOSURE LETTER a. Contractor Disclosure Letter. The Respondent must prepare and submit a Contractor Disclosure Letter with their

Proposal (Attachment 1 shows a sample Contractor Disclosure Letter). Note that the Respondent is not required

to notarize this form for the Proposal submission. However, the selected vendor will be required to submit a fully

notarized form as a condition of contract award

Response: Duncan has included a Contractor Disclosure Letter as an attachment at the end of this proposal.

II.10.B FAMILIAL RELATIONSHIP DISCLOSURE LETTER b. Familial Relationship Disclosure Letter. The Respondent must prepare and submit a Familial Relationship

Disclosure Letter with their Proposal (Attachment 2 shows a sample Familial Relationship Disclosure Letter). Note

that the Respondent is not required to notarize this form for the Proposal submission. However, the selected

vendor will be required to submit a fully notarized form as a condition of contract award.

Response: Duncan has included a Familial Relationship Disclosure letter as an attachment at the end of this proposal.

II.11 INSURANCE COVERAGE

a. Comprehensive Commercial General Liability that includes the County as an additional insured for amount not

less than $1,000,000, including those resulting in death to any one person or persons and/or property damage

arising from any one (1) accident and $2,000,000 in the aggregate, including coverage for: premises operations,

liability for independent contractors, products liability, valuable papers, contractual liability and personal injury.

The policy or policies shall be primary and non‐contributory and shall not contain a provision that eliminates

coverage for damages arising out of the negligence of the additional insured.

b. Comprehensive Automobile Liability Insurance for bodily injury and property damage that includes the County

as an additional insured for an amount. The policy or policies shall be primary and non‐contributory and shall not

contain a provision that eliminates coverage for damages arising out of the negligence of the additional insured.

Professional Liability Insurance for not less than $3,000,000 for any one incident, and if not written on an

occurrence basis, shall be maintained for a period of not less than two (2) years following the completion of the

project.

c. Umbrella/Excess Liability Insurance Policy over primary general liability and automobile liability in an amount

not less than $5,000,000.

The policies shall be with companies authorized to do business in Illinois and rated “A” or above by A.M. Best

Company or equivalent. If insurance requirements are not yet met, show the ability to obtain the insurance limit

requirements.

Response: A Certificate of Insurance has been included as an attachment at the end of this proposal response.

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SECTION III RELEVANT EXPERIENCE

III.1 U.S. GOVERNMENTAL AUTHORITIES

(1) Identify any and all U.S. governmental authorities for which the Respondent has performed debt collections

services comparable to the specifications of this RFP within the past five (5) years.

Response: Duncan has decades of experience providing successful debt collection, image review, and DMV lookup services with a host of toll agencies including Illinois Tollway Authority, Chicago Skyway, Oklahoma Turnpike Authority, Massachusetts Department of Transportation, Pennsylvania Turnpike Commission, Delaware Department of Transportation, North Texas Tollway Authority, Cameron County Regional Mobility Authority, Kansas Turnpike, Bay Area Transportation Authority, Virginia Department of Transportation, and Georgia State Road and Tollway Authority.

Toll Industry Collection Contracts In the table below, Duncan has identified all U.S. governmental authorities for which we have performed debt collections services comparable to the specifications of this RFP within the past 5 years. We have provided additional details for these clients in proposal section III.2 Current and Previous Collections Services Contracts below.

• Chicago Skyway • Illinois Tollway

• Kansas Turnpike Authority • New York State Thruway Authority

• Pocahontas Parkway (I-895), VA • Dulles Greenway

• Pennsylvania Turnpike Commission • South Norfolk Jordan Bridge

• Georgia State Road & Tollway Authority • North Texas Tollway Authority

• Los Angeles County Metropolitan Authority • Cameron County Regional Mobility Authority

• Bay Area Toll Authority • North Carolina Turnpike Authority

• New Jersey Turnpike Authority • Virginia Department of Transportation

• Massachusetts Department of Transportation

Similar Experience Supporting Greenfield Toll Program with Cline Avenue Bridge

Cline Avenue Bridge is a newly constructed bridge in Indiana, using an All-Electronic Tolling in a public private partnership. The main private contractor is United Bridge Partners, an infrastructure investor and operator with several projects across the country. Duncan has been a subcontractor to United Bridge Partners for seven years in support of their South Norfolk Jordan Bridge project in Hampton, VA. Duncan provides DMV Registered Owner lookup and debt collection services. For Cline Avenue Bridge, United Bridge Partners performed an industry evaluation of several vendors. Based on our long-standing history and solid operations performance, United Bridge Partners selected Duncan to provide Image Review and DMV Registered Owner Lookup Services. The project started with live traffic and toll enforcement on February 1, 2021. Throughout the first two months of processing we

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have met all KPIs for processing time and quality. Cline Avenue Bridge will be evaluating debt collection options as the program matures. Thus far, we have provided operational expertise and best practices in the area of business rules and system logic to help ensure an effective toll collection program for their AET customer volume. Our support of this program can translate closely to the requirements of the new program in support of KDOT.

Parking Industry Collections Experience As a leading, full-service parking management provider, Duncan helps city parking authorities achieve their missions through comprehensive motorist solutions. Duncan began providing parking management solutions in 1998 for the City of Milwaukee, WI, a relationship that is still active today. Today, we manage more than 200 parking portfolios including Philadelphia, PA; Milwaukee, WI; San Diego, CA; New Orleans, LA; Detroit, MI; Pittsburgh, PA; Sacramento, CA; Atlanta, GA; Alhambra, CA; and Glendale, CA, to name a few. Our experience, customer service, compliance standards, and proprietary, user-friendly parking management software have proven effective, and annually, we process more than 6 million citations, 20 million DMV lookups, and 350,000 permits, and have recovered more than $425 million in revenue. The chart below demonstrates our strong collection rates for many of these programs, as compared to the industry average for government collections.

Proven Collections Performance.

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III.2 CURRENT AND PREVIOUS COLLECTIONS SERVICES CONTRACTS

(2) Identify the agency/owner, name and description of your current and previous collections services contracts.

For each experience statement include:

a. the term of the contract including effective dates;

b. reason for contract end if the contract is no longer in effect;

c. types of services that the Respondent directly provided under the contract and whether the Respondent was a

Prime Contractor or Subcontractor; and

d. the names, titles, addresses and telephone numbers of an individual at the agency/owner, preferably the project

manager, who may be contacted to verify qualifying experience. If the experience is/was by a teaming partner or

a Subcontractor of the Respondent that would be providing a major part of the products and services

contemplated under this RFP, then experience information for that entity must also be included.

Response: We provided the required information for our current and previous collections services contracts below.

Agency Name Type of Services Contract Term Contact Information

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III.3 CUSTOMER REFERENCES

(3) Provide at least three (3) customer references that will detail Respondent’s relevant experience with debt

collections services for U.S. governmental agencies.

Response: Duncan has a distinguished portfolio of tollway clients and has developed a reputation for exceptional performance and service delivery. We have provided the following references as third-party validation of our position that Duncan is the provider of choice to make a great partner in supporting tollways in delivering revenue and customer service. We believe KDOT will find that each client is uniformly pleased with Duncan’s service, expertise, and technology. Each has observed a material improvement in program operations since the beginning of our collaboration.

References

Address

Service provided

Point of contact

KDOT can also contact any of our clients listed in proposal section III.2, Current and Previous Collections Services Contracts.

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SECTION IV ORGANIZATION AND PERSONNEL QUALIFICATIONS

IV.1 KEY PERSONNEL ORGANIZATION STRUCTURE NARRATIVE

Duncan is offering a team of personnel with over 160 combined years of experience in operations similar to the requirements needed by KDOT. Each of the team members proposed below handle their functions daily. Weekly project status meetings are held, and updates provided to the Project Manager and Project Executive. Issues and updates are tracking in our Microsoft Project tracking software. Any technical tasks and projects are reviewed and tracked by the Director of Product Engineering.

We are proposing Terri Cook as the Project Manager. Terri has more than 26 years of experience in leading and enhancing call centers and collections operations She has worked with over three dozen tolling and government agency debt collection customers Certified with the ACA International (Association of Credit and Collections Professionals)

Key Personnel Information

Eric Hunn, Vice President – Tolling, Collections, and DMV Services, Project Executive, Philadelphia, PA

Eric provides executive oversight, to assure all program and performance deliverables are met, and to oversee the operations team. His availability is full time. Eric has more than 32 years of experience in the government debt collection industry and has provided senior level solution development, implementation support, strategic analysis, program optimization, and project management to more than 110 government agencies across the country. He manages Duncan’s 48-client toll agency portfolio for project implementation and operations activities. Eric is a graduate of the IBTTA Leadership Academy, a member of the Executive Development Program, has been a Speaker at IBTTA annual conference and is also a planning committee member.

Terri Cook, Vice President – Project Manager, Milwaukee, WI

Terri oversees project deliverables, operations collection, and customer service performance. She has full time availability. Terri has more than 26 years of experience in leading and enhancing call centers and collections operations. She has worked with over three dozen tolling and government agency debt collection customers. Terri is certified with the ACA International (Association of Credit and Collections Professionals). She has helped to onboard our North Texas Tollway, Ohio River Bridge, Virginia Department of Transportation, Pennsylvania Turnpike client, plus many other tolling and parking clients. Some of these transitions have required full-time dedication to ensure success of the project startup within the projected timeframes.

Whitney Coffey, Operations Director, Muncie, IN

Whitney oversees call center customer service and contact strategies. She has more than 12 years of experience in customer service and collection operations. Whitney directs all aspects of operations for our tolling customer service and collection call center operations, client support, lockbox, and correspondence. She reviews contract KPIs and adjusts performance accordingly. She manages multiple image review contracts.

Sonya Scruggs, Collections and Call Center Director, Milwaukee, WI

Sonya has an extensive collection industry background, working with municipalities. Since 2004, she has used this knowledge to design and implement new programs, such as fleet and rental collections, that offer clients increased revenues. Most recently, Sonya developed Duncan’s collection compliance

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program, ensuring that we meet or exceed the requirements set by state and federal consumer protection laws and rules. Sonya directs operations to ensure compliance with all applicable state and federal laws, rules, and regulations. She creates, oversees, and implements a comprehensive collection strategy to ensure client and company targets are met. Sonya leads a team of supervisors in the management of the collections call center operations for Duncan Solutions. Sonya currently works as the Director of Collections and Call Center and has previously supported Duncan as the Compliance Manager, Collections Manager, and Collection Supervisor.

Michael Carneiro, Director of DMV Relationships and Data Management, Milwaukee, WI Mike brings more than 35 years of DMV relationship, interface, and information technology experience, ranging from programming information systems to managing high-volume information system processes. As a liaison to state motor vehicle divisions, toll and highway authorities, and municipal government agencies for decades, he has established and maintained strategic partnerships with a government-sponsored national law enforcement group, annually processing registered owner information requests for violation processing for more than 20 million inquiries for 600 government agencies. Mike employs specialized skip-tracing techniques to identify DMV RO information on behalf of state, county, and municipal governments. Mike creates and leverages strategic partnerships with government agencies to increase hit rates, automation, and efficiency and revenue for Duncan’s portfolio of DMV RO clients. He maintains awareness of changes and trends in the industry as well as the regulatory environment to ensure compliance.

Heather Tucker, Director of Duncan Product Engineering, Milwaukee, WI Heather currently leads Duncan’s Product Engineering team that supports the various solutions Duncan offers to its clients in the parking and tolling industry. She has more than 20 years of systems development and support experience. She has implemented and managed numerous systems spanning a wide variety of industries from product production, warehousing, consumer lending, and most recently parking and tolling. She is well versed in leading teams of diverse backgrounds/skillsets and building a strong team culture. Through Heather’s career at Navient, she has managed multiple initiatives and projects from ideation to implementation along with the teams that supported them. She earned her Bachelor of Science- Industrial Management, Industrial Engineering from Purdue University and is a certified Scrum Product Owner, Scrum Master, and is certified in Agile Leadership.

Project Risks During the course of the project, issues may arise, risks may be identified, or potential changes may be identified. In each case, these should be clearly documented, analyzed for impact, formally agreed upon, and addressed when appropriate. The key to this ongoing process will be making appropriate adjustments to the current Project Schedule.

IV.2 ORGANIZATION CHART

Following, Duncan has provided a project organization chart for the KDOT Project Team.

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Proposed Organization Chart.

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IV.3 KEY PERSONNEL RESUMES

The Respondent shall provide 1‐page resumes for their proposed Project Manager and Key Personnel that provides

sufficient information to enable KDOT to understand and evaluate their experience (these will not count towards

the total page count). The proposed Project Manager shall have a minimum of five (5) years of experience in

managing debt collections services. Key Personnel, including key call center personnel, shall have a minimum of

three (3) years of performing debt collections services. The Organization and Personnel Qualifications summary

shall be no more than 6 pages in length.

Response: Duncan has provided key personnel resumes as an attachment at the end of this proposal response.

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SECTION V TECHNICAL APPROACH

Drawing on the extensive knowledge and experience of our company and our key subject matter experts, Duncan has designed a collection services program for KDOT that we believe will maximize not only short-term revenues, but long-term revenues as well. Our proposal goes beyond simple debt collections by aligning policies that impact customer service and collections, establishing and documenting business rules, and delivering high-quality services. Our strategies and techniques have been provided throughout the remainder of this section to showcase how we increase revenues and reduce outstanding receivables for government collection programs similar in size and scope to KDOT. Duncan brings a fully realized, nuanced, and opportunistic collection solution that routinely outperforms our competition. How are we able to deliver these results, time and time again? We call it AutoCOLLECT™ and it is our distinguished government vehicle-based debt collection solution that integrates leading tools, innovative strategies, and the most experienced professionals in our industry.

AutoCOLLECT – Duncan’s toll violation collection solution.

AutoCOLLECT is a nationally recognized system that manages multiple vendors and subcontractors. Services and benefits of our solution include:

• Analysis and Segmentation: Duncan assesses the collectability of accounts based on a variety of debt characteristics, both upon assignment and on an ongoing basis. This approach gives us the flexibility to employ targeted initiatives to enhance revenues and is successful in collecting aged receivables.

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• Locating the Debtor: Duncan recognizes the importance of current, accurate contact information. We mobilize best practice debtor identification tools and processes to ensure our collectors have the best available contact information.

o Multi-Tier, Proprietary Skip Trace Waterfall: We employ a five-tier, national skip trace waterfall process, multiple times, to refresh and validate debtor contact information. This approach returns new name and address information for up to 80% of hard to reach debtor accounts.

o DMV Registered Owner (RO) Acquisition: We have unmatched expertise and capabilities in DMV RO acquisition through our proprietary DMV Reg Info services, direct partnerships with DMV agencies, our Nlets partnership and other third-party sources, and unparalleled subject matter expertise in DMV interfaces and policies. We achieve a national average 90% “hit rate” on RO requests, with hit rates over 97% in some states.

o Contacting the Debtor: Duncan takes an informative, consultative approach as we engage your constituents and guide them toward a resolution of the debt.

o Notice Dunning: We employ a variety of notice styles and message content to suit different scenarios, and all notice layouts and text are approved by the client.

o Inbound/Outbound Call Management: In addition to providing 24/7 call center support coordinated through our user-friendly IVR system, we employ outbound calling early and often, using our predictive dialer to automate the process.

o Email and Text: Pay-by-text and Pay-by-email are innovative and convenient ways for customers to repay their debts through familiar communication channels.

• Escalation: When notices and outbound calls fail to effect payment, Duncan escalates, as an option, and based upon client-defined rules, to motivate motorists to resolve their debt, including:

o Civil Judgment Filing/Legal Collections: Through our local legal partners and according to your business rules, Duncan can work with KDOT to implement this collection tool, if desired.

Collection Process and Methodology Through our hundreds of engagements with leading government agencies, we employ a proven collection methodology designed to deliver maximum collections while ensuring a positive public perception of the program. Using a straightforward model, we maximize efficiency by obtaining and using data to generate smarter collection campaigns, all in strict conformance with regulations such as the Fair Debt Collection Practices Act (FDCPA) and the Telephone Consumer Protection Act (TCPA).

Duncan’s collection methodology. A unique Collection Strategy and honed processes provide optimized revenue results while balancing customer service and compliance obligations.

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Account Placement Stage We accept placements manually or electronically and in nearly any format and from nearly any accounting system, whether by web service, Secure File Transfer Protocol (SFTP), VPN, email, electronic media, or hard copy. We accommodate virtually all input types to ensure placement processes put as little burden as possible on our clients and their IT departments. Our system automatically sends a Placement Acknowledgement Report to assist the courts in their record keeping. We typically provide these reports on a monthly basis but have the capability to send them out at any preferred interval.

Account Updates and Interface Management Account updates are provided through a defined automated interface, and on a routine basis. These transactions generally represent changes to existing accounts, skip traced addresses, telephone numbers, and registered owner information. As such, balances and statuses are changed for accounts already in the FACS system based on the updates to KDOT’s system. In the case of multiple accounts for one debtor, there is no major deviation in collection methods. All account records are managed in our system and are pursued according to our agreed upon approach. In some cases, there may be multiple individuals linked to one vehicle, including registered owners, lessees, agents, operators, and family members. These cases are handled according to state rules.

Data Analysis Stage Before a first communication can be generated to initiate the collection process, there are key data analysis activities that must be completed to ensure compliance with relevant laws as well as to maximize the performance of the collection process. These activities include automated data scrubbing, identification of bankrupt/deceased accounts, and initial skip tracing.

Initial Skip Tracing For each eligible account, we complete first-tier skip tracing to generate profile data, which can be used for analysis in defining an optimal collection strategy for each account. Duncan uses the most advanced skip trace tools available and has direct interfaces with over 30 data vendors and information providers including government and law enforcement databases. While a more elaborate skip tracing process is conducted later in our collection process, the purpose of this initial skip tracing effort is more universally focused. This analysis takes into consideration a variety of factors, including the type and size of the debt, the age of the debt, known facts about the debtor, as well as geographic and demographic factors.

Strategy Stage To ensure the best collection methods and tactics for each account, Duncan creates a customized account analysis profile. Accounts that have been scrubbed and skip traced are then analyzed by a variety of metrics, such as debtor demographic, income information, age of account, prior collection efforts, balance, and several other factors. We use this in-depth analysis to generate a specific collection strategy for each account. Duncan’s customized collections’ strategies are in addition to our standard collection methodology, which ensures that all debts are worked diligently and in a manner that is most likely to lead to a successful collection.

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Contact Stage

Collection Letters Procedures and Capabilities

Duncan issues notices and letters to drive collection of accounts using high speed, fully automated capabilities. Each account KDOT refers to Duncan is scheduled into a letter series once it is uploaded into our system. Letters are customized to meet specific circumstances, and Duncan can use bilingual language in the KDOT’s letters to ensure all debtors are able to make contact and initiate payment. The initial notice is mailed when the account is transferred to Duncan’s collection department. If there is a failure to respond to the first notice, the account is reviewed to determine the next best noticing action. Our letters are time tested and have proven their effectiveness in communicating with debtors to resolve accounts while complying with all federal and state collection laws. KDOT has final approval of the wording and design of the notices. Each letter contains contact information in both English and Spanish, a toll-free telephone number and the web address where online payments can be made. Duncan’s letter notification tool can alter the language of letters to adjust to any future KDOT needs. Duncan’s automated and sophisticated noticing services ensure timely and effective communication with debtors to improve revenue recovery. Our noticing process covers all required noticing activity including the following:

• Providing all forms, envelopes, notices, and pre-addressed return envelopes

• Processing all files through the USPS NCOA database, including mail forwarding and undeliverable mail updates

• Printing KDOT-specified account information on notices

• Stuffing and mailing notices first class

• Handling all postage concerns

• Including an optical character recognition (OCR) scan line on the remittance stub that can be read and recognized automatically by remittance processing equipment

Duncan’s noticing strategy includes specialized noticing campaigns to various subsets of the collection’s population. Each collection notice generated and mailed will vary in the use of text, notice title, and design to always provide a fresh and different look. Each debt type will receive a customized notice designed to communicate key information about the nature of the debt, its origin and affiliation with the referring agency, and the potential consequences of the debt remaining delinquent.

Telephone Contact

Achieving contact with the debtor is equally important to the telephone techniques used to collect the account. In our experience, a significant number of debtors respond to telephone contact versus written notices. For this reason, dialing campaigns begin in conjunction with the mailing of the first notice. Our telephone calls are designed to help the debtor voluntarily resolve their obligation. Bilingual assistance is provided to all debtors. Our call center group applies a friendly approach to communicating with debtors because, although they are collectors, they are even more so customer service representatives. Most debtors just need assistance with the account resolution process, and we work with them courteously and in good faith to meet their obligation to the PTC as quickly as is possible given each debtor’s unique personal situation.

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Call Center Support

Duncan employs a ‘hand-holding’ philosophy to aid debtors through the collection process. It is the sincere desire of Duncan’s collectors to guide each debtor through the collection process. Our collectors appeal to the debtor’s feeling of obligation and sense of responsibility to get their account out of collections. Court collections are a unique collectible in that they are imposed fines and not consumer debt where the debtor overextended themselves. Duncan collectors understand this and work together with the debtor to come to an appropriate resolution of the debt, whether it be through a balance-in-full payment, or suitable payment arrangements. We provide a toll-free service number and use the Customer Interaction Center (CIC) platform of our Interactive Intelligence telephone system, which include an Integrated Voice Response (IVR) and Automatic Call Distributor (ACD). This system has proven versatile and flexible. The IVR system handles between 700,000 and 800,000 calls annually with an infrastructure capacity of nearly double current volumes. More than 50 percent of those calls are resolved automatically before requiring CSR intervention, and 95 percent are answered within 20 seconds. In addition, our IVR system currently processes over 400,000 payments annually. This IVR functionality, combined with the call center staffing methodology, allows Duncan to successfully handle calls with a 98 percent completion rate and with 80 percent of calls answered within 60 seconds.

Bilingual Capabilities

To accommodate speakers of other languages, Duncan employs Spanish-speaking agents and contracts with Language Line, a worldwide leader in interpretive services, to service consumers who do not speak English. With Language Line, Duncan can communicate clearly with customers in more than 170 languages within a matter of seconds. These services are available 24 hours-a-day, seven days-a-week.

Escalation

Should noticing and outbound calling fail to effect payment, Duncan will use escalation techniques to compel debtors to resolve their obligations in a timely manner.

Litigation-based Collections

As an option, Duncan can provide for more aggressive legal action to aid in referred debt recovery. Legal action is typically applicable where debts are for significant amounts and where it is suspected that the debtor is willfully defying the debtholder in refusing to pay. The rules, parameters, and pricing for this service would be defined by the PTC and Duncan. Legal actions and considerations could include:

• KDOT deciding whether any forwarded debt shall be placed in litigation

• A selected/agreed upon attorney at law conducting correspondence and payment coordination directly with the debtor

• A selected/agreed upon attorney at law, filing appropriate court documents to pursue collections by all legal means (subject to procedures defined in collaboration with KDOT)

• Duncan controlling the conduct of a selected/agreed upon attorney at law at all times

Skip Tracing

Duncan leverages the most advanced skip trace tools available and has direct interfaces with multiple data vendors and information providers, including government and law enforcement databases. All of this information is coalesced into a multi-tier skip tracing waterfall process that provides information such as

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the customer’s social security number, birth date, address history, landline, and cell phones, giving us the best chance to contact and collect on delinquent accounts. The multi-tiered skip-tracing process is structured so that the most cost effective and successful tools are initially employed. Having the most current customer address and phone number data is imperative to having a successful collection program. Duncan’s thorough approach for updating addresses and phone numbers include the following:

• Skip-tracing for phone numbers will begin immediately upon assignment to collection

• When a collection letter is returned as undeliverable, skip tracing for an up to date address will begin without delay.

• We use a five-tier database waterfall to find the most up-to-date address and phone number data

• Any no-hit accounts will be submitted through the waterfall on a regularly scheduled basis, to allow for capture of any new personal information presented by an individual

Skip tracing waterfall. The multi-tiered skip-tracing process is structured so that the most cost effective and successful tools are initially employed.

Once an account has been referred for collections, Duncan uses a multi-tiered national skip tracing process. We use numerous national skip tracing vendors to obtain updated address information and append phone number data, including cell phones and land lines. Our process and multiple data sources result in Duncan obtaining the most current available information as quickly and effectively as possible. The multi-tiered skip-tracing process is structured so that the most cost-effective and successful tools are initially employed.

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Payments Stage

Once contact is made, we are often able to negotiate payment or payment arrangements. Our goal is to ensure that there are always convenient ways for motivated debtors to satisfy their debts to the KDOT. Accordingly, Duncan offers secure IVR/phone payment options, options to pay by internet and on mobile devices, as well as payments sent via mail using check or money order. Duncan can also leverage settlement or installment plans or even partial payments to assist debtors in the payment process.

Partial Collections

If an account receives a partial collection, Duncan will send follow-up collection letters to pursue the remaining balance owed.

Settlement or Installment Plans

We use monthly installment payment plans to assist debtors in paying outstanding accounts if they do not have monies for the balance in full at a given time. In today’s challenging economy, the use of installment plans is an ideal tool to generate revenues and ensure compliance with tolling agency obligations. All installments and settlements are managed within financial and credit guidelines approved by KDOT.

Closing Stage

Duncan immediately ceases collection activity at any point in the process if a debtor disputes the debt, we cease activity to verify the validity of the debt; if an account meets a predetermined status set by KDOT; if KDOT elects to cancel or recall an account for any reason; or if the account is paid in full. Duncan declares an account uncollectible if an account meets certain highly specific criteria, or when all efforts to secure payment have been exhausted. We will follow any standards for closure specified by KDOT, and all status codes can be fully customized to align KDOT’s own accounting and auditing processes. Duncan will close and return any such account back to KDOT, along with a full report detailing all collection efforts, any contact made, as well as any updated contact information we may have obtained.

Sample Collection Process Flow In the following graphic Duncan has provided a general collection workflow. We use several tools, tactics, and strategies to drive various contact attempt by way of phone, U.S. mail, email, and text. All our proposed strategies would be discussed and reviewed by KDOT to ensure approval.

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Duncan’s collection flow chart.

Compliance Matrix Due to page limitations, we have provided a compliance matrix below, detailing our capabilities to provide the services requested in KDOT’s RFP.

KDOT Requirement Duncan Capabilities

1.Perform all debt collection services within the United States in a courteous and professional manner and in accordance with in compliance with Federal, State, and Local laws, as well as applicable regulations including the Federal Fair Debt Collection and Practices Act (FDCPA: 15 USC 1692 et seq.), the Illinois Collection Agency Act (ICAA: 225 ILCS 425/1 et seq.

Duncan complies.

2. Provide a debt collection system that process debt placements, update transaction records, and report accurate balances for communications with debtors and KDOT.

Duncan complies. We have provided details regarding our solution above in proposal Section V Technical Approach.

3. Securely integrate the debt collection system with KDOT’s Back Office System (BOS) to receive debt assignments and provide daily reconciliation of all debt collection activities in a secure electronic manner. The Respondent shall affirm their ability to integrate their

Duncan complies with this requirement. Duncan has experience in interfacing with KDOT’s planned current back office

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system to KDOT’s Back Office System using the BOS Collections Interface Control Document (ICD) provided as Appendix A. Any modifications required to the BOS Collections ICD shall be clearly identified in the Proposal.

provider, ETCC, including for Miami Dade Expressway and Delaware River Joint Toll Bridge Commission.

4. Pursue debts within and outside the State of Illinois, including outside the United States.

Duncan complies with this requirement. Duncan is licensed to collect in all 50 U.S. states and territories.

5. Contact debtors through written notices and direct phone calls (no automated calls) and clearly identify that the phone call or written correspondence is an attempt to collect a debt on behalf of KDOT.

Duncan complies.

6. Include KDOT account numbers or violation notice numbers associated to the debt placed, as well as the total amount due through the date of the collections notice.

Duncan complies.

7. Perform skip tracing, credit bureau reporting and debtor negotiation, as needed to successfully resolve each unpaid toll account that has been sent to collections.

Duncan complies.

8. Escalate debt collections efforts if initial efforts are unsuccessful in resolving this matter.

Duncan complies.

9. Provide debtors a receipt for any payments made on accounts. Duncan complies.

10. Cancel debt collections for specific accounts upon KDOT’s request. Duncan complies.

11. Establish payment plans upon request by a debtor. Duncan complies.

12. Provide KDOT access to the collections system for monitoring and reporting purposes.

Duncan complies.

13. Apply a KDOT‐approved Collections Fee to the unpaid tolls and fees owed on the collections notice.

Duncan complies.

14. Provide daily electronic deposits of gross collections made on KDOT’s violation accounts into KDOT’s designated bank account.

Duncan complies.

15. Maintain a secured area for processing KDOT remittances, separate from collectors assigned KDOT accounts to ensure segregation of duties.

Duncan complies.

16. Report complaints from debtors to KDOT in timely manner. Duncan complies.

17. Provide daily reports of debt placements, payments and other financial transactions by email to KDOT.

Duncan complies.

18. Prepare daily statements/reports containing account names, invoice numbers and payments received for the gross amount of collections.

Duncan complies.

19. Supply documentation of collection efforts warranting a write‐off. Duncan complies.

20. Provide a listing of all open notices for a debtor upon request. Duncan complies.

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21. Provide reporting of cancelled accounts and associated reason codes. This shall include additional information on cases where all efforts have been exhausted and a brief description of the collection efforts.

Duncan complies.

22. Be compliant with all PCI‐DSS requirements and best practices for systems, software and network security and provide evidence of such compliance.

Duncan is PCI-DSS compliant. We can provide our attestation upon request.

23. Provide assurance to KDOT that any information exchanged between the KDOT BOS and the collections provider is not transmitted to any other entity by any means of communication.

KDOT has our assurance that any information exchanged between the KDOT BOS and Duncan is not transmitted to any other entity by aby means of communication.

24. Achieve certification under recognized quality standards and practices including Standards for Attestation Engagements (SSAE) compliance and other recognized quality practice standards.

Duncan has been through an in-depth audit of our control objectives and control activities. We participate in a service auditor's examination performed in accordance with the Statement on Auditing Standards (SSAE) No. 18, Service Organizations.

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SECTION VI PRICING PROPOSAL

Duncan’s fees for our collection agency services will be computed based on a contingency fee for debts collected on behalf of KDOT. No other fees will apply, and no fees will be charged for debts that remain uncollected. Please note collection agency services are not comparable to commodity type services, such as phone service, computer support, etc. Collection agencies use the fees they are paid to invest in the contact efforts they make – investments such as staff, telephone expenses, skip-tracing costs, postage, and printing. Investments Duncan makes will translate into higher collection rates and higher revenue to KDOT. We caution “low price” offers that will often translate into reduced revenue.

Item Collection Fee

Debt collection of unpaid toll violations

Contingency fees: Lower is not always better

It is tempting to engage a collection agency that offers a significantly lower contingency fee than their competition. However, our experience is that bidders that offer conspicuously low fees cannot perform as well due to low motivation to pursue debtors beyond initial efforts. A very low fee means that that vendor’s operating costs must be kept low to maintain even a slim profit margin. Agencies with extremely low contingency fees will only target “low hanging fruit” accounts and will not expend additional resources to collect debt. These resources include costs for staff, postage, printing, and skip tracing. Therefore, their collection rates are lower, and so are overall net revenues. Duncan submits only responsible contingency fees in our bids because we seek to enter into mutually beneficial contracts. Our collection fee represents a fair market rate and accommodates our ability to invest expenses in revenue generating tools including staff, skip tracing, printing, and postage.

Contingency Fee and Net Revenue Comparison , Sample $1.5 Million Debt Pool

Factor (Sample Debt Pool) Conspicuously Low Bid Responsible Collection Agency Bid

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ATTACHMENTS

➢ Illinois Secretary of State Registration Certificate

➢ Financial Resources Certification Letter

➢ Litigation History

➢ Contractor Disclosure Letter

➢ Familial Relationship Disclosure Letter

➢ Certificate of Insurance

➢ Key Personnel Resumes

➢ 2020 Audited Financial Reports

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1 ILLINOIS SECRETARY OF STATE REGISTRATION CERTIFICATE

We have provided our SOS Good Standing Certificate on the following page.

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To all to whom these Presents Shall Come, Greeting:

I, Jesse White, Secretary of State of the State of Illinois, do hereby

certify that I am the keeper of the records of the Department of

Business Services. I certify that

In Testimony Whereof, I hereto set

my hand and cause to be affixed the Great Seal of

the State of Illinois, this

day of A.D. .

SECRETARY OF STATE

File Number

Authenticate at:Authentication #:

MARCH 2021

2107602206 verifiable until 03/17/2022

http://www.cyberdriveillinois.com

0039566-8

PROFESSIONAL ACCOUNT MANAGEMENT, LLC, A WISCONSIN LIMITED LIABILITYCOMPANY HAVING OBTAINED ADMISSION TO TRANSACT BUSINESS IN ILLINOIS ONMARCH 27, 2000, APPEARS TO HAVE COMPLIED WITH ALL PROVISIONS OF THELIMITED LIABILITY COMPANY ACT OF THIS STATE, AND AS OF THIS DATE IS IN GOODSTANDING AS A FOREIGN LIMITED LIABILITY COMPANY ADMITTED TO TRANSACTBUSINESS IN THE STATE OF ILLINOIS.

17TH

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2 FINANCIAL RESOURCES CERTIFICATION LETTER

Because Professional Account Management, LLC, is a wholly owned subsidiary of Duncan Solutions, Inc., we have provided a letter certifying the availability of its resources on the following page.

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TIM WENDLER

Chief Executive Officer 633 W. Wisconsin Avenue, Ste 1600 | Milwaukee, WI 53203 Phone: (414) 847-3758 | [email protected]

March 5, 2021

Re: Parent Company Certification for Professional Account Management, LLC

Dear Sir or Madam:

Please accept this letter as certification that Professional Account Management, LLC (FEIN: 39-1956409) is a wholly owned subsidiary of Duncan Solutions, Inc.

Duncan Solutions, Inc. provides operational and financial support for Professional Account Management, LLC, including support for Information Technology (IT), Finance & Accounting, and Human Resources (HR) functions. With this support, we believe that Professional Account Management, LLC is well positioned to perform strongly on the Kane County Devision of Transportation Collection Services engagement.

Should you have any questions, please do not hesitate to contact us for further clarification.

Sincerely,

Tim Wendler Chief Executive Officer Duncan Solutions, Inc.

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3 LITIGATION HISTORY

The services that Professional Account Management, LLC provides to the public and private sectors touch millions of individuals on any given day. Fortunately, litigation is a very rare occurrence but, like any company operating in a public environment, we occasionally become involved in legal actions. Most of these cases are dismissed, withdrawn, or settled. Following is a summary of legal actions related to Professional Account Management, LLC for the past 10 years:

This Section Contains Confidential Trade Secret Information

Case Name Date Filed Case No. Description Status

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-

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,

This Section Contains Confidential Trade Secret Information

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4 CONTRACTOR DISCLOSURE LETTER

Following, Duncan has included a Contractor Disclosure Letter.

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5 FAMILIAL RELATIONSHIP DISCLOSURE LETTER

Following, Duncan has included a Familial Relationship Letter.

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6 CERTIFICATE OF INSURANCE

Following, Duncan has included a copy of our Certificate of Insurance.

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A

1,000,000

3597-08-27

CLE-006697772-01

1,000,000

06/01/2021

5,000,000

X

X

20397

5,000,000

SIR: $25,000,0001-10000-2020

Attn: CSS, TELEPHONE 202-263-7600

N

X04/30/2020

5

04/30/2021

04/30/2020

04/30/2021

7358-87-40

PROPERTY

B

2,000,000

1,000,000

26247

Vigilant Insurance Company

1,000,000

X

C

03/17/2021

50,000,000

04/30/2020

320,000,000

RE: RFP#08-021COUTY OF KANE, STATE OF ILLINOIS IS/ARE INCLUDED AS ADDITIONAL INSURED WHERE REQUIRED BY WRITTEN CONTRACT WITH RESPECTS TO GENERAL LIABILITY AND AUTO LIABILITY.

X

GENEVA, FL 60134


Riverfront Insurance, LLC

D 06/01/2020

A

American Guarantee and Liability Insurance Company

CN115014019-NAVI-P+E&O-20-21

ALL RISK/REP COST; DED:100,000

10,000

04/30/2021

1,000,000

93647773

PROFESSIONAL/E&O

2,000,000

20281

1,000,000

1,000,000

04/30/2021

7174-06-33

1050 CONNECTICUT AVENUE, SUITE 700 MARSH USA INC.

X

WASHINGTON, DC 20036-5386

633 W WISCONSIN AVE, SUITE 1600 PROFESSIONAL ACCOUNT MANAGEMENT LLC

MILWAUKEE, WI 53203

X

ERP0248012-02

04/30/2020

719 SOUTH BATAVIA AVENUE

04/30/2020

A

04/30/2021

Federal Insurance Company

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WITH REGARDS TO PROFESSIONAL LIABILITY:

WHICH IS INDICATED HERE FOR YOUR CONVENIENCE.

$100,000 FLOOD PER OCCURRENCE

PROPERTY:

$100,000 EARTH MOVEMENT PER OCCURRENCE

$100,000 PER OCCURENCE ALL OTHER LOSSES

WITH REGARD TO PROPERTY COVERAGE, OTHER DEDUCTIBLES MAY APPLY AS PER POLICY TERMS AND CONDITIONS.

SUBLIMITS:

$150,000,000 FLOOD (ANNUAL AGGREGATE, FOR ALL COVERAGES PROVIDED)

THE E&O PLACEMENT WAS MADE BY NAVIENT CORPORATION. MARSH USA INC. HAS ONLY ACTED IN THE ROLE OF A CONSULTANT TO THE CLIENT WITH RESPECT TO THIS PLACEMENT,

MARSH USA INC. 633 W WISCONSIN AVE, SUITE 1600 PROFESSIONAL ACCOUNT MANAGEMENT LLC

MILWAUKEE, WI 53203

$200,000,000 EARTH MOVEMENT (ANNUAL AGGREGATE, FOR ALL COVERAGES PROVIDED)

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7 KEY PERSONNEL RESUMES

Following, Duncan has included Key Personnel Resumes.

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Name: Eric Hunn

Email: [email protected]

Phone: 215-275-9375

Education: Master of Business Administration – Operations Management, Drexel University

Bachelor of Science – Finance, Pennsylvania State University

Certifications: Graduate of the IBTTA Leadership Academy - Executive Development Program, Speaker at IBTTA annual conference and planning committee member, and guest speaker at numerous conferences including: Collection Technology Conference, Fair Isaac’s InterACT, Distressed Debt Investors Forum, and Student Loan Finance Council

Summary of Qualifications:

Eric is a seasoned toll collection professional with decades of experience in the industry. He was instrumental in the integrated system implementation for the State of New Jersey E-ZPass and has managed the delinquent toll collections operations for numerous toll agencies, including Bay Area Toll Authority, Georgia State Road and Toll Authority, Rhode Island Turnpike and Bridge Authority, Transurban I-495 Express Lanes, Delaware DOT, Illinois Tollway, and North Texas Tollway Authority. He also has been an invited speaker at the IBTTA annual conference and is a graduate of the IBTTA Leadership Academy. He has supported collection solutions and customer service operations for more than 100 government agencies throughout his career.

Experience:

Vice President - Tolling, Collections, and DMV Services 2010 to Present Duncan Solutions, Inc.

Eric oversees solution development, implementation support, collection program analysis and optimization, general project management, and operations management for Duncan’s portfolio of government collections and DMV clients. He provides consulting and strategic assistance to customers in the areas of revenue improvement, DMV configuration edits, and reduction in agency leakage.

Chief Operating Officer 2008 to 2010 Business Processes Redefined (BPR)

Eric handled identification, due diligence, integration, and management of collection agency partners in the BPR National Agency Recovery Network. He oversaw analysis of client portfolios, including liquidation curve modeling, recovery forecasting, segmentation, and allocation of accounts among multiple collection agencies within BPR’s network. He created the BPR model to provide a single source to manage diverse account categories (government violations, taxes, credit cards, auto loans, student loans, etc.) and integrate a variety of diverse collection systems.

Chief Operating Officer 2005 to 2008 MRS Associates, Inc.

Eric managed more than 700 staff in four locations in the United States and a fifth in Mumbai, India. During his tenure, MRS served 50 national, financial, commercial, investor, and government collection customers and generated more than $180 million in annual gross revenues on their behalf.

Vice President of Operations-Government Solutions Division 1990 to 2005 Conduent State and Local Solutions (formerly ACS and Xerox)

Eric ran a business unit that provided BPO/IT integration and debt collection services, with responsibility for operational oversight and marketing. He grew annual sales from $95 million to $150 million during a three-year period, yielding more than $700 million in annual delinquent revenue collection.

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Name: Terri Cook


Phone: 414-847-3798

Education: Master of Science – Administration, Planning & Control | St. Michael’s College

Bachelor of Arts – Computer Studies/Business Management | University of Maryland

Certifications: ACA International (Association of Credit and Collections Professionals)

Experience:

Vice President, Call Center Operations 2014 to Present

Duncan Solutions, Inc.

Terri directs all aspects of operations for the operations teams of Customer Service and Collection call center, client support, lockbox, and correspondence. She oversees the creation, delivery, and success of training, continuing education, certifications, auditing, and evaluations for the end goal of exceptional client satisfaction and customer service. She holds ultimate responsibility for the delivery of consistent, compliant services to our clients and their customers through the development and implementation of business process improvements to enhance revenue recovery and customer service.

Contact Center Director 2011 to 2014 Charter Communications

Terri directed all operations for Fond du Lac, WI location of national telecommunications for Fortune 500 Company. She managed operations, training, and workforce functions for a 400-seat call center. Implemented a follow-up process and instituted an accountability structure that ensured basic expectations were executed on every call. Improved internal quality scores from 38.9% to 60.2% in one month and maintained new level.

Site Director 2010 to 2011 The Connection

Terri directed all operations for Rockford, IL location of this privately held outsourced call center. Recruited, trained and developed employees, and managed all HR and facility functions. Established and opened fully functional, top-performing location in under four months. She also managed a staff of 200 personnel.

Director Customer Operations 1998 to 2009 Telephone and Data Systems (TDS)

Terri developed strategies to increase quality, customer service and productivity in the repair division of this $5B telecom company. She led teams of 400, servicing 870,000 phone and 325,000 data customers across 30 states. She also controlled a $12M budget.

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Name: Whitney Coffey Email: [email protected] Phone: 765-283-3385 Education: Bachelor of Science, Ball State University

Summary of Qualifications: Whitney has more than 12 years of experience in customer service and collection operations. Her skills include great communication, organization, team building, project management and mitigating losses.

Experience:

Operations Director 2020 to Present Navient Corporation

Whitney Ensures all policies and procedures are maintained within the call centers and back office support. She maintains communication flow between the call centers, back office support, account managers, strategies teams and IT teams while managing all incoming citizen disputes and ensure they are handled in an accurate and efficient manner. She manages multiple image review contracts and helps manage the Duncan call center strategies. Help maintain accurate training material for all call center agents and back office support. Manage the BPS flex group and ensure their quality is upheld with the LOBs they support.

Taskforce Project Manager 2018 to 2019 Navient Corporation

Whitney wrote and implemented several new policies & procedures for the Duncan call center and BPS flex group. She assisted and coordinated projects to completion for Training, Strategies, Dialer Development and Channel Strategies departments. She created and update client mapping spreadsheet for all of Duncan collections and Customer Service clients to assist with TFN conversion for all clients and ensure continuity between training material, letters, and the dialer department. She oversaw the team of flex agents to ensure quality for each line of business was upheld. Whitney managed an image review contract, monitoring queue totals and ensuring quality from our agents. She assisted the BPS Chief of Staff in preparation for various meetings and initiatives.

Unit Collections Manager 2018 to 2019 Navient Corporation

Whitney managed approximately $90 million inventory over a team of 6-15 collectors with an average of 108.67% to resolve goal over the final 6 months. She ensured compliance with all applicable policies, procedures, laws and regulations to make sure that established corporate and divisional goals are met or exceeded. Whitney reviewed daily, monthly, quarterly and yearly production goals for staff and conducted 2nd interviews, monthly and ad hoc meetings for staff.

Interim Senior Collections Manager 2018 Navient Corporation

Whitney managed a $1.4 billion inventory, a team of 5 Unit Managers and approximately 80 Collectors. Ensure staff follows all applicable policies, procedures, laws and regulations

Task Force Chief of Staff Senior Collections Specialist Collector I & II

2015

Navient Corporation

Whitney assisted the VP of Private Credit Collections in resolving different obstacles within operations. Assisted management with day to day supervision and training staff within the unit. Monitor employee performance and organize reports for the benefit of the team and department Direct collection efforts to recover losses from assigned accounts and preventing default. Acquire knowledge of skip-tracing tools and ability to locate a debtor in the most efficient manner.

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Name: Michael Carneiro


Phone: 414-379-7918

Education: Associate of Science - Criminal Justice, Colorado Technical University

Summary of Qualifications:

Mike is an industry subject matter expert and company liaison to state motor vehicle divisions, toll and highway

authorities, and Federal government entities. He has established strategic partnerships with government agencies

to acquire registered owner information for violation processing and collections for more than 20 million inquiries

and 600 government agencies.

Experience:

Director of DMV Relationships and Data Management 2009 to Present

Duncan Solutions, Inc.

Mike serves as the liaison between Duncan and National Law Enforcement Telecommunications System (Nlets). He

interfaces with state DMV systems to acquire registered owner (RO) information for vehicular violations including

parking, moving, tolling, and photo enforcement (photo red light and photo radar) violations. He employs specialized

skip-tracing techniques to identify DMV RO information on behalf of state, county, and municipal governments. Mike

creates and leverages strategic partnerships with government agencies to increase hit rates, automation, and

efficiency and revenue for Duncan’s portfolio of DMV RO clients. He maintains awareness of changes and trends in

the industry as well as the regulatory environment to ensure compliance.

Name Acquisition Services Manager 1984 to 2009

Conduent State and Local Solutions (formerly ACS and Xerox)

Mike managed registered owner retrieval from state DMV’s for violation processing and collections. He was the

company liaison to all 51 U.S. DMV as well as Canadian Ministries, also establishing key partnership with the Nlets

group. Mr. Carneiro drastically improved file transfer processes among motor vehicle agencies using file transfer

protocol (FTP). He built and maintained high-volume information system processes to acquire ownership

information via a dedicated FTP link with Nlets. Mike generated all program and project specifications for

development and applications for Motor Vehicle Registry Systems (MOVERS). He designed and implemented a skip

tracing waterfall, using third-party vendor software and services for multiple information solutions companies.

Sales Analyst 1979 to 1984

Harlequin Enterprises, Inc.

Mike managed and trained sales analytical staff in fourth-generation programming languages, used for ad hoc

reporting and sales analysis. He designed and implemented the entire production reporting system in support of the

national sales team.

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Name: Sonya Scruggs


Phone: 414-847-3705

Certifications: Credit & Collection Compliance Officer (CCCO) with Association of Credit and Collections

Professionals Experience:

Director, Collections and Call Center 2016 to

Present Duncan Solutions, Inc.

Ms. Scruggs directs operations to ensure compliance with all applicable state and federal laws, rules, and regulations. She creates, oversees, and implements a comprehensive collection strategy to ensure client and company targets are met. Ms. Scruggs leads a team of supervisors in the management of the collections call center operations for Duncan Solutions.

Compliance Manager 2015 to 2016 Duncan Solutions, Inc.

Ms. Scruggs oversaw the compliance function of Duncan’s collections operations which included the assessment of requirements that must be completed to legally collect in each state. She managed the collection license application and renewal process, ensured consumer notices and correspondence followed state and federal consumer protection laws and rulemakings, investigated and responded to all complex citizen escalations, ensuring satisfactory resolution. Ms. Scruggs managed the training curriculum for compliance with state and federal laws and rulemakings.

Collections Manager 2006 to 2015 Duncan Solutions, Inc.

Ms. Scruggs led the development and training of all collection customer representatives to ensure accurate and timely information was provided to citizens to encourage timely payment. Her responsibilities also included scheduled and ad hoc reporting to clients. Ms. Scruggs specific key accomplishments included the creation and management of a fleet and rental focused collections program that established key relationships with rental car companies, which directly increased collection revenue. She assessed and re-designed the collections training program with an emphasis on courtesy and providing the citizen with accurate information in order to minimize citizen complaints and increase payment. She collaborated with internal agencies and the Wisconsin Department of Revenue in order to increase the revenue from the Wisconsin Tax Intercept Refund program.

Collections Supervisor 2004 to 2006 Duncan Solutions, Inc.

Ms. Scruggs managed up to twelve collectors who worked with over 90 different municipalities and banking corporations to collect on unpaid debts and citations. Her work included special projects assigned by department managers that resulted in increased client revenue.

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Name: Heather Tucker


Phone: 317-598-4007

Education: Bachelor of Science- Industrial Management, Industrial Engineering, Purdue University

Certifications: Certified Scrum Product Owner

Certified Scrum Master

Certified Agile Leadership

Summary of Qualifications: Heather has more than 20 years of systems development and support experience. Throughout her career she has implemented and managed numerous systems spanning a wide variety of industries from product production, warehousing, consumer lending, and most recently parking and tolling. She is well versed in leading teams of diverse backgrounds/skillsets and building a strong team culture. Experience:

Director, Product Engineering 2002 to Present Navient Corporation

Heather currently leads Duncan’s Product Engineering team supporting the various solutions Duncan offers its clients in the parking and tolling industry. Throughout her career at Navient, she has managed multiple initiatives and projects from ideation to implementation along with the teams that supported them.

Business Systems Analyst/Industrial Engineer 1998 to 2002 US Freightways

Heather was primarily responsibile for her client’s IT related concerns and requirements as the single point of contact. She was responsible for coordinating all system modifications including planning, programming, testing, and project implementation. Heather was on the task force to implement a company-wide standardization process for future system implementations. Early on in her career she focused on analyzing and accessed warehouse processes and worked to implement several process improvement initiatives across the organization.

Industrial Engineer 1997 to 1998 Westvaco, Envelope Division

Heather managed all plant specific projects such as cost minimization, warehouse reorganization, and waste reduction. She prepared and managed project to obtain ISO 9002 certification at the Kenosha, Wisconsin plant.

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8 2020 AUDITED FINANCIAL REPORTS

Following, Duncan has included Financial Statements in customary form for the most recently completed fiscal year. These include our most recent Annual Financial Reports.

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This response includes data that shall not be disclosed outside the County of Kane, State of Illinois Division of Transportation (KDOT) and shall not be duplicated, used, or disclosed — in whole or in part — for any purpose other than to evaluate this proposal. If, however, a contract is awarded to this offeror as a result of — or in connection with — the submission of this data, the KDOT shall have the right to duplicate, use, or disclose the data to the extent provided in the resulting contract. This restriction does not limit the KDOT’s right to use information contained in these data if it is obtained from another source without restriction. The data subject to this restriction are contained on all sheets marked as Confidential Trade Secret Information.

This response is presented by Professional Account Management, LLC.


is a wholly owned and controlled subsidiary of Duncan Solutions, Inc. For simplicity, we routinely refer to Professional Account Management, LLC as

“Duncan Solutions” or “Duncan.”

Both Professional Account Management, LLC and Duncan Solutions, Inc. are wholly owned subsidiaries of Navient Corporation.

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County of Kane Division of Transportation Collection Services for the Longmeadow Parkway Toll Bridge RFP No. 08021 Addendum 3 – Additional Scope of Work Items

Professional Account Management, LLC A Duncan Solutions Company Page i

TABLE OF CONTENTS Table of Contents .....................................................................................................................................i A Administrative Hearing Services.......................................................................................................... 1

1 Administrative Hearing Officers ..................................................................................................... 1 1.a State of Illinois Licensure....................................................................................................... 1 1.b Proof of Good Standing ......................................................................................................... 1 1.c Experience Presiding over Judicial and Administrative Hearings ............................................ 2 1.d Administrative Hearing Officer Skills and Abilities ................................................................. 2 1.e Administrative Hearing Officer Employment ......................................................................... 2 1.f Administrative Hearing Officer Conflict of Interest ................................................................. 2 1.g Administrative Hearing Officer Required capabilities ............................................................. 3 1.h Video Conference and Mail Hearings .................................................................................... 3 1.i Final Decisions ....................................................................................................................... 5 1.j Scheduled Meetings and Trainings ......................................................................................... 5 1.k Activity Monitoring ............................................................................................................... 5

2 Administrative Staff and the Hearing Process ................................................................................. 5 2.a Managing and Scheduling Appointments Experience ............................................................ 5 2.b Payment Ledgers, Accounting, and Reporting Writing Experience ......................................... 5 2.c Computer Skills ..................................................................................................................... 5 2.d Supporting Judicial or Administrative Proceedings ................................................................ 5 2.e Administrative Staff Skills and Abilities .................................................................................. 5 2.f Administrative Staff Employment .......................................................................................... 5 2.g Administrative Staff Conflict of Interest................................................................................. 6 2.h Primary Point of Contact and Liaison..................................................................................... 6 2.i Monthly Updates ................................................................................................................... 6 2.j Virtual Hearing Presence ........................................................................................................ 6 2.k Bonded and Available to Receive Payments of Funds ............................................................ 6

3 Time Recording .............................................................................................................................. 6 4 Dedicated Mailing Address ............................................................................................................. 6 5 Reporting System or Operational Problems .................................................................................... 6 6 Secure Computer System and Network .......................................................................................... 6 7 Administrative Hearing Services Performed Within United States .................................................. 7 8 Receiving and Logging Administrative Hearing Requests ................................................................ 7 9 Administrative Hearing Cases ......................................................................................................... 7 10 Maximum and Minimum Cases .................................................................................................... 7 11 Hourly Rate Fee Schedule............................................................................................................. 7 12 History of Similar Previous Engagements ...................................................................................... 8

B Payment Plan Administration Services ................................................................................................ 8 1 Electronic Transfers ..................................................................................................................... 10 2 Payment Plan Administrative Services Fee ................................................................................... 10

Appendices ............................................................................................................................................... I

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Professional Account Management, LLC A Duncan Solutions Company Page 1

A ADMINISTRATIVE HEARING SERVICES Professional Account Management, LLC, a Duncan Solutions company (Duncan) is pleased to present our Administrative Hearing and Payment Plan Administrative Services to the County of Kane (KDOT). Duncan has more than 80 years of experience delivering transportation solutions and more than 35 years of experience delivering tolling solutions, including administrative hearing and payment plan administration. Because adjudication rules and processes vary by agency, our administrative reviews, hearings, and scheduling module is extremely flexible, and can be modified to support individual client requirements. Our solution annually manages more than 300,000 hearings nationwide.

To complement our administrative hearing process, we have elected to use Reyes Kurson, Ltd., a certified minority business enterprise (MBE) and disadvantaged business entity (DBE) to provide attorneys and fulfill the hearing officer roles. Founded in 2005, Reyes Kurson focuses on the dynamic intersection between business and government and currently has 10 experienced and diverse attorneys. Reyes Kurson has been a strategic partner to Duncan for more than six years in support of our contract with the Illinois Tollway.

Administrative Hearing Services Overview Duncan’s system includes an integrated administrative review and hearings module that has proven to be a valuable tool for our clients. We have continuously enhanced our system to provide easy-to-use software and related services that take advantage of new trends and technologies and are specifically tailored to each client’s individual review processes. Some of our innovative features include: online web requests and workflow management for administrative reviews and hearings, all support required to handle incoming administrative review and hearing requests, software that supports indexing scanned contestation document images to the appropriate violations, integration of all mail-in hearing requests and correspondence into a workflow management solution, integration of a customer-facing website, enabling customers to view statuses of contested violations, comprehensive daily, weekly, monthly, and on-demand reporting to support the administrative review and hearing process, and many convenient options for contesting and requesting a hearing for issued violations

Recent system enhancements include the ability to add and configure a two-level review process whereby violations entering the appeal system are first reviewed by a primary person/group to address any obvious and easily verifiable circumstances, then move any remaining violations to a secondary queue for advanced hearing personnel to review and disposition.

1 ADMINISTRATIVE HEARING OFFICERS 1.A STATE OF ILLINOIS LICENSUREFor litigation and dispute handling, Duncan partners with Reyes Kurson, Ltd., a certified MBE, DBE, and VBE. Reyes Kurson has secured an MBE certification from the State of Illinois Central Management Services, Chicago Minority Supplier Development Council, Cook County Office of Contract Compliance Business Diversity, and Supplier Clearinghouse for the Utility Supplier Diversity Program of the California Public Utilities Commission. Additionally, Reyes Kurson is certified and meets the requirements for Disadvantage Business Enterprise (DBE) METRA certification that allows the firm’s participation as a DBE in the Illinois Unified Certification Program. Reyes Kurson is also a member of the National Association of Minority and Women Owned Law Firms (NAMWOLF).

1.B PROOF OF GOOD STANDING

We have provided a proof of good standing certificate as an appendix at the end of this response.

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1.C EXPERIENCE PRESIDING OVER JUDICIAL AND ADMINISTRATIVE HEARINGS The Reyes Kurson team has extensive experience providing professional legal services to governmental agencies and private entities on broad variety of litigation matters, administrative disputes, contracts, general corporate work, policy and legislative matters, and real estate and finance transactions. Reyes Kurson’s broad litigation experience, its large roster of governmental and/or private clients subject to extensive and often overlapping regulatory regimes, makes them particularly well-positioned to provide the services to KDOT. Reyes Kurson is committed to working closely with their client representatives to provide prompt and complete initial case management evaluations, status updates, realistic budgets, and anticipated expenses. Thorough and focused legal research and memoranda, high quality pleadings, motions and other court submissions narrowly tailored to serve the client’s interests and move the dispute towards a satisfactory resolution, are also provided. Written and oral discovery plans, including propounding and responding to requests for production, are included. Interrogatories, requests to admit, expert retention and reports, taking and defending depositions, and any attendant motion practice are provided as well as trial and appellate representation and settlement analyses and recommendations. Reyes Kurson also monitors developments in relevant federal, state, and local law and guidance and provides concise, practical client updates. They provide day-to-day counseling concerning compliance with a myriad of regulations applicable to public sector clients and regulated entities and review risk avoidance policies and procedures to prevent future complications. They review, update, and provide training for the client concerning applicable law, the litigation process, and the need to maintain adequate documentation. Reyes Kurson will be partnering with Duncan to provide nearly identical administrative hearing management services in support of the Duncan contract with the Illinois Tollway, a rebid just re-awarded in May 2021. 1.D ADMINISTRATIVE HEARING OFFICER SKILLS AND ABILITIES Reyes Kurson attorneys are knowledgeable and experienced in the areas of state and federal litigation, administrative law, federal and state regulatory compliance, and other civil law matters. They routinely negotiate pre-litigation disputes, settle, and conduct litigation, and help their clients navigate the complexities of government. Their litigation practice includes representing public and private sector clients in a wide variety of matters, including prosecuting and defending adversary proceedings involving allegations of negligence, breach of contract, statutory and regulatory violations arising under Illinois and federal law, business torts and breaches of fiduciary duty. In connection with these disputes, they frequently negotiate with insurers and other third parties to facilitate the best possible resolution for clients. Reyes Kurson’s team is comprised of attorneys with substantial experience pursuing a high volume of civil litigation on behalf of government and commercial clients. Reyes Kurson attorneys have experience analyzing and resolving the civil disputes faced by entities like KDOT. Their litigators devote a substantial portion of their practice to representing governmental clients in litigation and administrative proceedings, including the Illinois Medical District Commission, the Illinois State Toll Highway Authority, the Illinois Finance Authority and the Illinois Department of Insurance, Office of the Special Deputy Receiver. 1.E ADMINISTRATIVE HEARING OFFICER EMPLOYMENT Our proposed Administrative Hearing Officers are not employed by KDOT or the State of Illinois. 1.F ADMINISTRATIVE HEARING OFFICER CONFLICT OF INTEREST Our proposed Administrative Hearing Officers have no personal, professional, or financial interest that would conflict with objectivity to apply the KDOT ordinance independently and objectively.

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1.G ADMINISTRATIVE HEARING OFFICER REQUIRED CAPABILITIES Reyes Kurson has experience prosecuting and defending actions before administrative bodies and state and federal trial and appellate courts. Their litigators appear in federal and state courts throughout the state and before agencies various municipal bodies and federal regulatory agencies on a regular basis. They are well-versed in Illinois and federal civil procedure, and the nuances governing proceedings in various circuit courts throughout the state.

Reyes Kurson has had an active litigation practice since its inception. They succeed in both complex litigation and basic administrative matters. Results include: a secured $2.5 million pre-hearing settlement in $39 million tax litigation brought by City of Chicago against a national communications company, an obtained dismissal of defamation claims against public company in action seeking over $1 million in compensatory damages, as well as punitive damages and attorneys’ fees, an obtained directed verdict for an Alternative Retail Electric Supplier in breach of contract claim where amount in controversy exceeded $100,000, and an obtained dismissal of complaint against utility company alleging fraud, violations of consumer fraud act, and breach of contract. They have successfully prosecuted hundreds of property damage claims on behalf of utility. All aspects of litigation, from initial case evaluation and settlement negotiations through post-judgment matters and appeals are handled. Reyes Kurson focuses on solving problems, as opposed to mechanically initiating litigation. Using this approach, favorable outcomes for clients in hundreds of disputes through pre-litigation or pre-trial settlement negotiations, mediation and/or arbitration, as well because of dispositive motions or trial have been achieved. Reyes Kurson attorneys offer a broad range of skills and are committed to aggressively and effectively pursuing and resolving litigation on an expeditious and cost-effective basis. They recognize that, in today's environment, litigation can become an expensive and time-consuming undertaking. When appropriate, they seek to avoid protracted litigation by achieving prompt, economical and positive legal solutions through alternatives to full scale litigation, such as summary trials, arbitration, mediation, and other forms of alternative dispute resolution. Government Relations and Administrative Proceedings Reyes Kurson advises clients on a wide range of government relations, municipal law, and regulatory matters. On behalf of both governments and businesses, their lawyers analyze application regulations and develop strategies to comply with or change legal constructs. They routinely advise clients on matters relating to government authority, public finance, the Open Meetings Act, the Freedom of Information Act, and election law. Reyes Kurson is an industry leader in the State of Illinois in governmental relations. Partners have longstanding relationships with legislative leaders, committee heads, caucus leaders and key staff. Recently Reyes Kurson assisted Illinois State Toll Highway Authority in obtaining a legislative change allowing the agency to participate in the same types of mixed-use developments that previously were only permitted for the Chicago Housing Authority. The team includes attorneys who devote a significant amount of their practice to handling administrative matters, representing utilities and businesses faced with administrative violations, the Peoples Gas & Light Company and Enterprise Rent-A-Car. 1.H VIDEO CONFERENCE AND MAIL HEARINGS Our video conference and mail hearing options feature the use of a popular online meeting tool allowing customers to schedule virtual hearings, simulating a courtroom style experience without having to leave home. Though this

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offering may appeal to many users, it’s of high value for out-of-state or nonadjacent customers, customers without transportation provisions, customers with inflexible work schedules, or disabled/limited mobility customers.

Zoom System Components During the hearing sessions customers and hearing officers can use screensharing. A web camera is encouraged but is not a requirement since hearings can be conducted by audio only. Customers are emailed a random zoom meeting ID that is unique to their case, they wait in the waiting room until a hearing officer joins. Hearing officers often join five minutes before the scheduled session; however, if they are running ahead or behind schedule, communicate with customers waiting can be made via the Zoom chat feature. Sessions can be recorded and indexed to Zoom’s Cloud and moved to Duncan’s storage location. Following Zoom hearings, the outcome is emailed or mailed to the contester. Session records are retained by Zoom and can be reviewed when necessary.

Duncan has reevaluated many of the high-touch aspects of our service model and considered new ways of working. We will deploy several industry-first programs for KDOT that meet the demands of the current environment and offer long-term value to KDOT and its constituents.

KDOT is provided multiple admin credentials and Duncan maintains admin rights at the account manager level in case intervention is requested or required. As the sample workflow below depicts, customers will be presented with multiple contactless hearing options and can choose either to contest online only or scheduling a hearing dispute session.

Online submission options. Options enable flexibility and contactless hearings without efficiency or fairness impact.

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1.I FINAL DECISIONS Final decisions for hearings whether virtual or mailed in are accommodated for. Duncan understands and will issue decisions for all virtual and mail-based hearings immediately upon the final presentation and review. Mail in hearings will be logged and provided within one business day of receipt. 1.J SCHEDULED MEETINGS AND TRAININGS Periodic meetings will be determined and scheduled between Duncan and KDOT as necessary. The training staff assembled for KDOT ensures a clear understanding of responsibilities, procedures, performance measures, and mutually agreed upon program outcomes. Training and information sharing sessions provided will cover all functional areas of responsibility. We work closely with KDOT to devise a final training program supports operational readiness and subsequent implementation. 1.K ACTIVITY MONITORING Duncan understands and will cooperate with KDOT in the monitoring of activity, which require that the AHOs provide records in a format acceptable to KDOT; provide comments and justification for the AHO’s determinations; provide KDOT management with reports and time sheets as requested; report system or operational problems that impede the AHO’s ability to perform the services described herein and recommend solutions, as appropriate; and contribute to the monthly updates on the hearings’ statuses and final dispositions.

2 ADMINISTRATIVE STAFF AND THE HEARING PROCESS 2.A MANAGING AND SCHEDULING APPOINTMENTS EXPERIENCE Our administrative staff will be trained and have adequate experience in handling all scheduling and results entry functions in support of the hearing process. 2.B PAYMENT LEDGERS, ACCOUNTING, AND REPORTING WRITING EXPERIENCE Our administrative staff will be trained and have adequate experience in handling all scheduling and results entry functions in support of the hearing process. 2.C COMPUTER SKILLS Our administrative staff will be trained and have adequate experience in handling all scheduling and results entry functions in support of the hearing process. 2.D SUPPORTING JUDICIAL OR ADMINISTRATIVE PROCEEDINGS Our administrative staff will be trained and have adequate experience in handling all scheduling and results entry functions in support of the hearing process.

2.E ADMINISTRATIVE STAFF SKILLS AND ABILITIES Our administrative staff will be trained and have adequate experience in handling all scheduling and results entry functions in support of the hearing process. 2.F ADMINISTRATIVE STAFF EMPLOYMENT Duncan’s proposed Administrative Staff are not employed by KDOT or the State of Illinois.

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2.G ADMINISTRATIVE STAFF CONFLICT OF INTEREST Duncan’s proposed Administrative Staff have no personal, professional, or financial interest that conflicts with objectivity to apply the KDOT ordinance independently and objectively. 2.H PRIMARY POINT OF CONTACT AND LIAISON Duncan confirms that our Administrative Staff will serve as the primary point of contact and liaison for purposes detailed in the RFP. 2.I MONTHLY UPDATES Duncan will provide monthly updates on the hearings’ statuses and final dispositions to KDOT in an agreed format, determined after contract award. 2.J VIRTUAL HEARING PRESENCE Duncan’s proposed Administrative Staff will be present for all virtual hearings. 2.K BONDED AND AVAILABLE TO RECEIVE PAYMENTS OF FUNDS Duncan complies with the bonding and payment requirements as required by KDOT.

3 TIME RECORDING Duncan acknowledges all assigned personnel shall accurately record their time. Timesheets will be included with our invoice.

4 DEDICATED MAILING ADDRESS Duncan has a dedicated mailing address for all hearing related communications and a dedicated account and web-based portal to receive and reconcile payments daily. A Milwaukee-based Bonded Courier is contracted to pick up all mail from P.O. Box 346 Milwaukee, WI 53201-0346 each day and delivers mail to our lockbox facility for processing via a secured vehicle. Duncan’s online, mobile friendly payment site accepts all major credit cards and is PCI Level 1 compliant. We provide for credit card, debit card, and check payments to be accepted and processed via our own proven and secure internet payment engine.

5 REPORTING SYSTEM OR OPERATIONAL PROBLEMS Duncan confirms to report any system or operational problems that impede ability to perform the services described in KDOT’s RFP, including issues with the tolling system, evidence package, scheduling, or invoicing. Solutions will be provided as appropriate.

6 SECURE COMPUTER SYSTEM AND NETWORK Duncan offers a secure computer system and network. Included also is use of a video conferencing technology platform to enable scheduling for all hearing types, the intake of evidence and transmittal of information about the case and final administrative hearing determinations between the administrative clerk, AHO, and KDOT’s Back Office Service Provider.

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County of Kane Division of Transportation


RFP No. 08021 Addendum 3 - Additional Scope of Work Items

!DuncanSolutions

Duncan's security plan combines strategies and policies, deployment management, technical solutions and

architecture, and processes and controls to mitigate risk during the life cycle of a client's contract. The security plan

is continuously improved as part of the application and infrastructure design process and change management,

adding continuing value by safeguarding information.

Duncan has engineered security solutions to incorporate secure methods of data access and transport. Our ASP

model uses SSL client connections and IPSEC VPN technology. Data Center perimeter defense systems consist of

dual firewalls equipped with intrusion detection, and intrusion prevention systems. We not only detect, but

prevent, unwanted malicious attacks to corporate systems. Each network segment is controlled by a strict access

control list (ACL) based security model. The ACL limits communication by port and IP address between specific

network segments providing communication for only approved systems. We perform internal vulnerability scans

on all internet-faced applications and servers quarterly and a third-party security auditing firm conducts an annual

audit.

7 ADMINISTRATIVE HEARING SERVICES PERFORMED WITHIN UNITED STATES

Duncan confirms that all administrative hearing services are performed within the United States.

8 RECEIVING AND LOGGING ADMINISTRATIVE HEARING REQUESTS

Duncan understands that KDOT's Back Office Service Provider will be responsible for receiving and logging the

administrative hearing requests from customers and transferring the hearing request and supporting evidence

package to the vendor point of contact to then manage, conduct and document the administrative hearings.

9 ADMINISTRATIVE HEARING CASES

Duncan understands the current estimates are approximately 100-200 administrative hearing cases per year, and

this number will likely be higher during the initial years of the program. Based on those projections, we acknowledge

the AHO must be available to conduct virtual administrative hearings at least one day per week, that mail-in

hearings may be conducted more frequently, depending on the volume of requests for hearing, and that KDOT will

establish a schedule of penalty amounts to be assessed in consideration of the nature and number of the violations.

10 MAXIMUM AND MINIMUM CASES

Duncan acknowledges we have no expectation or right to a minimal or maximum number of assigned cases, and

KDOT will periodically evaluate the performance of our assigned staff.

11 HOURLY RATE FEE SCHEDULE

The hourly rates for staff in support of our Administrative Hearing Services will be as follows:

Staff I Hourly Rates

Administrative Hearing Officer Personnel

Administrative Staffing Personnel



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County of Kane Division of Transportation


RFP No. 08021 Addendum 3 - Additional Scope of Work Items

12 HISTORY OF SIMILAR PREVIOUS ENGAGEMENTS

Client I Services Performed

Illinois Tollway Authority Administrative Hearing Process

2700 Ogden Ave., Downers Grove, IL 60515 Scheduling and Hearing

Administration

City of Detroit, Michigan Administrative Hearing Process

1600 W. Lafayette Blvd. Scheduling

Detroit, Ml. 48216

City of Milwaukee, Wisconsin Administrative Hearing Process

Municipal Building, 841 North Broadway, 6th floor Scheduling

Milwaukee, WI 53202

References and similar engagements.

B PAYMENT PLAN ADMINISTRATION SERVICES

!DuncanSolutions

I Contact Information

Michael Catolico, GM Performance

Measurement

630-241-6800 , ext. 2149

[email protected]

Keith Hutchings, Director, Municipal Parking

Department

313-221-2596 I [email protected]

Tom Woznick, Parking Operations Manager

414-286-3635 I [email protected]

Duncan provides a variety of convenient and secure payment options and uses high volume, accurate processing

technology, including the following:

Secure payment options. We will work with KDOT to customize options to meet specialized needs.

Payment Plan Administrative Services

Duncan uses monthly installment payment plans to assist debtors in paying outstanding accounts if they do not

have the balance in full at a given time. In today's economy, the use of installment payment plans is an ideal tool to

generate revenues and ensure compliance with court obligations. We seek a settlement for larger balances on accounts aged greater than three years. All installments and settlements are managed within financial and credit

guidelines approved by KDOT.

Varied forms of payment/payment plan are acceptable. We update data based on how the various agency

departments can transmit information. From a spreadsheet emailed to our payments/correspondence department


A Duncan Solutions Company Page8

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Professional Account Management, LLC A Duncan Solutions Company Appendices

APPENDICES 1 ADMINISTRATIVE HEARING OFFICER QUALIFICATIONS Following, we have provided letters of good standing, ARDC cards, and resumes for the following attorneys:

• Amy Kurson • Jennifer Novolesky • Claudette Miller • Edward Olivieri • Jonathan Ross • Alyssa Rosch

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2 REYES KURSON CERTIFICATIONS Following, we have provided Reyes Kurson’s Cook County Office of Contract Compliance Business Diversity certificate and the Supplier Clearinghouse for the Utility Supplier Diversity Program of the California Public Utilities Commission certificate. Additionally, Reyes Kurson can provide its METRA certification upon request.

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3 PROFESSIONAL ACCOUNT MANAGEMENT CERTIFICATE OF GOOD STANDING Following, Duncan has provided a copy of our Certificate of Good Standing for the state of Illinois.

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APPENDIX C – COMPENSATION SCHEDULE

Service Compensation Structure Paid by

Unpaid Toll, Fees and/or Penalties Collections

Contingency Fee: 16% applied to the unpaid debt amount owed by violators*

Paid by violators

Payment Plan Administrative Services

Per Unit: $5.75 per executed payment plan

County

Administrative Hearing Services Hourly Rates: $160 per hour for

Administrative Hearing Officer;

$24 per hour for Administrative support staff

County

* The County authorizes and directs Contractor to include an add on collection fee of sixteen percent (16%) on all debt amounts referred by the County to Contractor for collections. The County confirms that this collection fee is authorized by applicable law. The collection fee will cover the Contractor’s contingency fee.

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Resolution No.

Approving Right of Entry from White Gates Skeet Club - Stearns Road Bridge Corridor - Erosion Repair Project


Budget Information:



Summary:

KDOT and its Consultant are working to finalize design plans, which will restore the eroded embankment along a Brewster Creek Tributary adjacent to the Stearns Road AMP (Adaptive Management Plan) mitigation site located east of IL 25/Stearns Road. As a result of the initial creek embankment erosion, a large void developed on the White Gate Skeet Club Inc. property. The design plans include work to restore this void back to its original state. The White Gate Skeet Club Inc. has signed a right-of-access agreement with the County; however, they are also seeking indemnification from the County.

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STATE OF ILLINOIS

COUNTY OF KANE

RESOLUTION NO.

APPROVING RIGHT OF ENTRY FROM WHITE GATES SKEET CLUB - STEARNS ROAD BRIDGE CORRIDOR - EROSION REPAIR PROJECT

WHEREAS, the County of Kane (County) is authorized pursuant to the Illinois Compiled Statutes, 605 ILCS 5/5-801 (2020), to acquire real property for highway purposes by negotiated purchase; and

WHEREAS, the County has developed plans for the restoration of part of the Stearns Road

Bridge Corridor (County Highway No. 37) just east of the intersection of Stearns Road and Illinois State Route 25 and immediately south of where Brewster Creek flows southerly under the tracks of the Canadian National Railroad in Section 1 of St. Charles Township, in Kane County (hereinafter the “Project”); said restoration being required to address severe erosion caused by a beaver dam; and

WHEREAS, White Gates Skeet Club Inc. the property owner of the parcel depicted in the

Right of Entry Agreement (a copy of which Agreement is on file in the office of the Kane County Clerk), has offered to permit the County to use a 130’ by 80’ rectangular area of their property for erosion repair contingent upon the County: 1) releasing White Gates Skeet Club Inc. for any liability accruing from the condition of the White Gates Skeet Club property, 2) defending, indemnifying and holding harmless White Gates Skeet Club for any liability arising from the negligence of the County while on the White Gates Skeet Club property, and 3) restoring the White Gates Skeet Club property utilized by the County for the repair of the beaver dam erosion.

NOW, THEREFORE, BE IT RESOLVED by the Kane County Board that the County of Kane

accept the Right of Entry Agreement offered by White Gates Skeet Club Inc. in exchange for the County complying with the contingencies set forth therein and the Chairman of the Kane County Board is hereby authorized and directed to execute the Right of Entry Agreement and any other documents associated therewith.



Vote:

22-01 StearnsRdSkeetClub

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1

GRANT OF RIGHT OF ENTRY

THIS GRANT, made this __ day of

November 2021 by the White Gates Skeet

Club an Illinois Corporation, located at

7N229 Illinois State Route 25, Wayne,

Illinois 60184 (hereinafter “White Gates”)

and the County of Kane doing business at

41W011 Burlington Road, Campton Hills, Illinois 60175 (hereafter the “County”) White Gates

and the County are hereinafter sometimes individually referred to as a "Party" and collectively

referred to as the "Parties".

WITNESSETH

WHEREAS, the County desires to enter upon that portion of White Gates’ property

located at 7N229 Illinois State Route 25, Wayne, Illinois 60184 as delineated on Exhibit “A”

attached to and made part of this Grant (hereinafter the "Premises") for the purpose of filling,

grading and otherwise repairing and restoring of a washout / gully area between White Gates’

property and the County’s property ("Permitted Activities") that resulted from a washout on the

property of White Gates and the County due to a beaver pond, (the “washout”).

NOW, THEREFORE, for and in consideration of the above stated recital which is by

this reference hereby incorporated into this Grant and the mutual obligations of the Parties set

forth below, White Gates grants to the County a right of entry to the Premises of White Gates as

described in Exhibit “A” contingent upon the obligations of the County as follows:

1. White Gates hereby permits the County and its contractors and subcontractors to

enter upon the Premises for a period of twelve (12) months or sooner if the Permitted Activities

are completed earlier, commencing on the effective date of this Grant, to conduct the Permitted

Activities and for no other purpose whatsoever, subject to the terms and conditions set forth in

this Grant. The term of this Grant may be extended by mutual understanding of the Parties as

evidenced in writing.

A. The County also intends to engage various contractors and subcontractors

(hereinafter the "Contractors") for performance of certain work in connection with the

Permitted Activities. Only the County’s officers, employees, agents and Contactors are

authorized to be on the Premises. The County shall require its Contractors to comply with the

applicable requirements of this Grant.

B. The County may commence work on the Permitted Activities under this

Grant following: (i) issuance of all permits, approvals and authorizations necessary or

appropriate for such work; and (ii) delivery to White Gates by the County of a notice of

commencement of the Permitted Activities.

1st

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2. As a condition of this Grant and its entry upon the Premises, the County shall fill,

grade, repair and restore that portion of the Premises that is associated with the work being

performed by the County on the County’s adjacent property in order to repair the aforementioned

washout.

3. Pursuant to this this Grant the County’s use of the Premises is and will remain

contingent upon the County abiding by the terms of this Grant. Any work performed by the

County on the Premises will be at no cost to White Gates.

4. To the fullest extent permitted by law, the County shall assume and agrees to

release, acquit and waive any rights which County may have against and forever discharge White

Gates, its respective directors, administrators, officers, employees, agents, successors, assigns,

from and against any and all claims, demands or liabilities imposed upon them by law or

otherwise of every kind, nature and character on account of personal injuries, including death

resulting therefrom, and on account of damage to or destruction of property arising out of or in

any way relating to or occurring in connection with the Permitted Activities or rights granted

under the terms and provisions of this Grant or which may occur to or be incurred by the County,

its employees, officers, agents and all other persons acting on the County’s behalf while on the

Premises or any adjoining White Gates” Property (hereinafter “Property”) or arising from the

condition of the Premises or the Property during the term of this Grant, whether or not such

injuries or damages are caused by the simple negligence of White Gates.

5. To the fullest extent permitted by law, the County shall indemnify, defend and

hold harmless White Gates, its respective directors, administrators, officers, agents, employees,

successors, assigns from and against any and all injuries, liabilities, losses, damages, costs,

payments and expenses of every kind and nature (including, without limitation, court costs and

attorneys’ fees) for claims, demands, actions, suits, proceedings, judgments, settlements, (a)

arising out of or in any way relating to or occurring in connection with: (i) the Permitted

Activities or rights granted under the terms and provisions of this Grant; (ii) the condition of the

Premises or the Property; or (iii) the failure to investigate claims, or (b) which may occur to or be

incurred, by the County, its employees, officers, agents, and all other persons acting on its behalf

while on the Premises or the Property, whether or not such injuries, liabilities, losses, damages,

costs, payments or expenses are caused by the simple negligence of White Gates. White Gates

agrees to notify the County in writing within a reasonable time of any claim of which it becomes

aware which may fall within this indemnity provision. The County further agrees to defend

White Gates, its respective directors, administrators, officers, agents and employees against any

claims, suits, actions or proceedings filed against any of them with respect to the subject matter

of this indemnity provision provided, however, that White Gates may elect to participate in the

defense thereof at their own expense or may, at their own expense, employ attorneys of their own

selection to appear and defend the same on behalf of White Gates and its respective directors,

administrators, officers, agents or employees. Notwithstanding anything to the contrary

contained in this Grant to the contrary, the indemnification and hold harmless provisions set

forth in this Grant shall not be construed as an indemnification or hold harmless against and from

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the negligence or willful misconduct of White Gates with respect to any construction work

performed by the County or those performing on behalf of or with the authority of the County in

violation of the Illinois Construction Contract Indemnification for Negligence Act, 740 ILCS

35/0.01 et seq.

6. The County has examined and knows the condition of Premises and has received

the same in good order and repair except as herein otherwise specified, and no representations as

to the condition or repair thereof have been made by White gates or its contractors or agents

prior to, or at the execution of this Grant, that are not herein expressed or endorsed hereon; and

upon the termination of this Grant in any way, the County will immediately yield up Premises to

White Gates in as good or better condition as when the same were entered upon by the County,

ordinary wear and tear only excepted, and shall then return all keys to County.

7. Upon completion of the Permitted Activities and prior to the termination as

provided in this Grant, the County shall, at its sole cost and expense, restore the Premises to the

same or to a better condition than that which existed prior to commencement of the County’s

activities on the Premises.

7. The County further agree to notify White Gates at (630) ___-____ when

performing activities for the purposes set forth in this Grant twenty four (24) hours in advance of

the County’s initial entrance upon the Premises or any other White Gates property.

8. White Gates may terminate this Grant at any time by giving the County thirty

(30) days prior written notice of its intention to terminate.

9 The Permitted Activities shall be performed at the County's sole cost and expense

and shall at all times be conducted in a good workmanlike, safe and sanitary manner and in

accordance with plans and specifications approved by the County and all applicable federal, state

and local laws, ordinances and regulations. The County shall take all reasonable safety

precautions (such as covering of borings, installation of barricades and warning signs) to

adequately secure the site during the County’s repair of the Premises. The County shall not

place, keep, store or otherwise permit to be placed, kept or stored on the Premises any equipment

or materials except during such time as the County's or employees, agents, contractor's or

subcontractors are physically present and conducting activities permitted under this Grant.

10. The County’s activities on the Premises shall be conducted in a manner so as not

to prevent or unreasonably interfere with use and enjoyment of the Premises by White Gates its

employees, agents or permittees, for the purpose(s) to which the Premises is now, committed by

White Gates.

11. Any rights to the Premises not specifically granted to the County herein, are

reserved to White Gates, its successors and assigns.

12. No payments of money, goods or services are required to be made by White Gates

847-476-8000

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to the County under the terms, conditions or provisions of this Grant.

13. No waiver of any obligation or default of the County shall be implied from

omission by White Gates to take any action on account of such obligation or default and no

express waiver shall affect any obligation or default other than the obligation or default specified

in the express waiver and then only for the time and to the extent therein stated. Section captions

used in this Grant are for convenience only and shall not affect the construction of this Grant.

Whenever the context requires or permits, the singular shall include the plural, the plural shall

include the singular and the masculine, feminine and neuter shall be freely interchangeable. This

Grant and the rights and obligations accruing hereunder are binding upon the successors and

assigns of White Gates and the County. This Grant shall be governed by the internal laws of the

State of Illinois; litigation arising hereunder shall be in the Circuit Court of the 16th

Judicial

Circuit, Kane County, Illinois. This Grant, together with the Exhibits attached hereto, constitutes

the entire Grant with respect to the subject matter hereof. If any provision of this Grant, or any

paragraph, sentence, clause, phrase or word or the application thereof is held invalid, the

remainder of this Grant shall be construed as if such invalid part were never included and this

Grant shall be and remain valid and enforceable to the fullest extent permitted by law provided

that such exclusion does not unfairly prejudice the rights of either Party to this Grant. In the

event of any conflict or inconsistency between the terms set forth in the body of this Grant and

the terms set forth in any Exhibit hereto, the terms set forth in such Exhibit shall govern and

control.

14. All notices, demands, elections, and other instruments required or permitted to be

given or made by either Party upon the other under the terms of this Grant or any statute shall be

in writing. such communications shall be deemed to have been sufficiently served if sent by

commercial courier, certified or registered mail, return receipt requested, with proper postage

prepaid or sent by facsimile transmission or verified email by White Gates or the County at the

respective addresses shown below or to such other party or address as either Party may from time

to time furnish to the other in writing. Such notices, demands, elections and other instruments

shall be considered as delivered to recipient on the day of delivery if sent by commercial courier,

on the second business day after deposit in the U.S. Mail if sent by certified or registered mail or

on the first business day after successful transmission if sent by facsimile transmission.

(a) Notices to White Gates shall be sent to:

Jeff Pilato, Secretary, White Gates Skeet Club

Phone: (847) 476-8000

Email: jpilato @aol.com

(b) Notices to the County shall be sent to:

Carl Schoedel, Director, Kane County Div. of Trans., County Engineer

Phone: (630) 584-1170


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IN WITNESS WHEREOF, White Gates Skeet Club has caused this Grant to be duly

executed by their duly authorized officers on the day and year first written above.

White Gates Skeet Club:

By: Attest:

Clem Martin Jeff Pilato

President Secretary

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EXHIBIT “A”

DEPICTION OF “PREMISES”

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Resolution No.

Approving Acquisition of Highway Right of Way, Dauberman Road Extension, Kane County Section No. 15-00277-01-BR, Parcel No. 1N20011



Budget Information:



Summary:

The proposed improvement will extend Dauberman Road south approximately 0.8 miles from its current terminus at U.S. Route 30 to Granart Road. Right of Way is required in the name of the state from DECEM2, LLC for Parcel 1N20011 at 12.621 acres.

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STATE OF ILLINOIS

COUNTY OF KANE

RESOLUTION NO.

APPROVING ACQUISITION OF HIGHWAY RIGHT OF WAY, DAUBERMAN ROAD EXTENSION, KANE COUNTY SECTION NO. 15-00277-01-BR, PARCEL NO. 1N20011

WHEREAS, the County of Kane (County) is authorized pursuant to the Illinois Compiled Statutes, 605 ILCS 5/5-801 (2020), to acquire real property for highway purposes by negotiated purchase; and

WHEREAS, the County has developed right of way plans for the Dauberman Road

Extension, Kane County Sec. No. 15-00277-01-BR, (hereinafter the “Project”) and the Project plans require the acquisition of Project Parcel No. 1N20011; and

WHEREAS, DECEM2 , LLC, the property owner of Parcel No. 1N20011 which is legally

described in Exhibit “A” attached hereto (a copy of which is on file in the office of the Kane County Clerk), has offered to sell said property (Parcel No. 1N20011) for the total amount of $270,000.00.

NOW, THEREFORE, BE IT RESOLVED by the Kane County Board that the County of Kane

accept the offer of DECEM2, LLC, owners of Project Parcel No. 1N20011, to sell said property (Parcel No. 1N20011) for the total amount of Two Hundred Seventy Thousand Dollars ($270,000.00) of which One Hundred Sixty Thousand Dollars ($160,000.00) is to be paid from the Transportation Sales Tax Fund #305, Line Item #74010 (Highway Right-of-Way) and One Hundred Ten Thousand Dollars ($110,000.00) is to be paid from the Southwest Impact Fee Fund #554, Line Item #74010 (Highway Right-of-Way) and the Chairman of the Kane County Board is hereby authorized and directed to execute a contract and any associated documents therefor.



budget revision?



line item?




305.520.527.74010 Highway Right-of-Way Yes Yes

554.520.554.74010 Highway Right-of-Way Yes Yes



Vote:

22-01 DbrmnROW1N20011

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EXHIBIT “A” Parcel : 1N20011 That part of the Southwest Quarter of Section 14, Township 38 North, Range 6 East of the Third Principal Meridian, in Kane County, Illinois, bearings and distances are based on the Illinois Coordinate System, NAD 83(2011) East Zone, with a combination factor of 0.9999498661, described as follows: Commencing at the southwest corner of the Southwest Quarter of said Section 14; thence on an Illinois Coordinate System NAD 83(2011) East Zone bearing of North 0 degrees 02 minutes 36 seconds East along the west line of the Southwest Quarter of said Section 14, a distance of 40.00 feet to a point of intersection with the Westerly extension of the north right of way line of U.S. Route 30 according to Order Vesting Title, Case Number ED KA 84 0014 filed April 5, 1984 in the Circuit Court for the Sixteenth Judicial Circuit, Kane County, Illinois and the point of beginning; thence continuing North 0 degrees 02 minutes 36 seconds East along the west line of the Southwest Quarter of said Section 14, a distance of 1844.00 feet; thence South 89 degrees 57 minutes 24 seconds East, a distance of 70.00 feet to a point 70.00 feet normally distant East of the west line of the Southwest Quarter of said Section 14; thence South 0 degrees 02 minutes 36 seconds West along a line 70.00 feet normally distant East of and parallel with the west line of the Southwest Quarter of said Section 14, a distance of 1072.93 feet; thence South 44 degrees 57 minutes 24 seconds East, a distance of 38.28 feet; thence South 89 degrees 57 minutes 24 seconds East, a distance of 288.20 feet; thence South 45 degrees 24 minutes 12 seconds East, a distance of 292.99 feet; thence South 0 degrees 50 minutes 59 seconds East, a distance of 447.04 feet; thence South 45 degrees 50 minutes 59 seconds East, a distance of 38.28 feet to a point 55.00 feet normally distant North of the said north right of way line of U.S. Route 30; thence North 89 degrees 09 minutes 01 second East along a line 55.00 feet normally distant North of and parallel with the said north right of way line of U.S. Route 30, a distance of 539.93 feet; thence South 0 degrees 50 minutes 59 seconds East, a distance of 15.00 feet to a point 40.00 feet normally distant North of the said north right of way line of U.S. Route 30; thence North 89 degrees 09 minutes 01 second East along a line 40.00 feet normally distant North of and parallel with the said north right of way line of U.S. Route 30, a distance of 78.88 feet to a point of curvature; thence easterly 444.08 feet along a curve to the right having a radius of 5809.36 feet, being 40.00 feet radially distant Northerly of and concentric with northerly right of way line of U.S. Route 30, according to said Order Vesting Title, Case Number ED KA 84 0014, the chord of said curve bears

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South 88 degrees 39 minutes 35 seconds East, 443.97 feet; thence South 3 degrees 31 minutes 48 seconds West along a radial line, a distance of 40.00 feet to the said northerly right of way line of U.S. Route 30; thence westerly 441.02 feet along the said northerly right of way line of U.S. Route 30 on a curve to the left having a radius of 5769.36 feet, the chord of said curve bears North 88 degrees 39 minutes 35 seconds West, 440.91 feet to a point of tangency on said north right of way line; thence South 89 degrees 09 minutes 01 second West along the said north right of way line of U.S. Route 30 and along the westerly extension thereof, a distance of 1248.26 feet to the point of beginning. Said parcel containing 12.621 acres, more or less, of which 1.284 acres, more or less, was previously dedicated or used for highway purposes.

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M:\dotserver2\USERS\Committee\2018\201802 February\Implementation\LMP and Dauberman Rd - FOR EXHIBITS ONLY AFTER IMP REPORT PHOTOS\Map Standard Aerial_Dauberman Rd extension loc map.mxd

/Virgil

ElginPlato

Aurora

Rutland Dundee

Big Rock

Kaneville

Campton

Burlington

Hampshire

Blackberry

Sugar Grove

Saint Charles

Batavia

Geneva

Section Number 15-00277-01-BRDauberman Road Extension

Roadway Extension

Legend

Fox River

County Boundry

Township Boundry

Rail Roads

County Roads46734

Interstates§̈¦88

US Roads£¤30

State Roads!(31

Municipalities

Forest Preserves

Other Roads

0 970 1,940 2,910 3,880485Feet

Dav

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Big Rock

M:\dotserver2\USERS\Committee\2018\201802 February\Implementation\LMP and Dauberman Rd - FOR EXHIBITS ONLY AFTER IMP REPORT PHOTOS\Map Standard_Dauberman Rd extension loc map.mxd

/Virgil

ElginPlato

Aurora

Rutland Dundee

Big Rock

Kaneville

Campton

Burlington

Hampshire

Blackberry

Sugar Grove

Saint Charles

Batavia

Geneva

Section Number 15-00277-01-BRDauberman Road Extension

Roadway Extension

Legend

Fox River

County Boundry

Township Boundry

Rail Roads

County Roads46734

Interstates§̈¦88

US Roads£¤30

State Roads!(31

Municipalities

Forest Preserves

Other Roads

0 970 1,940 2,910 3,880485Feet

Dav

is R

d

Jericho Rd

Garna

rt Rd

Dau

berm

an R

d

30

35

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Resolution No.

Approving Triborough Bridge and Tunnel Authority E-ZPass Interoperability Hub Third-Party Beneficiary Agreement


Budget Information:



Summary:

Last year, the County of Kane become a Full Member of the E-ZPass Interagency Group (IAG). More recently, on behalf of the E-ZPass Group, the Triborough Bridge and Tunnel Authority went through a competitive process to select a vendor to develop a hub system for toll reconciliation between IAG member agencies. Currently, each member agency reconciles toll revenue with each other individual agency (currently over 30 agencies in 19 states); under a hub system, each member agency would reconcile tolls directly with only the hub. Once operational several years from now, the hub system will greatly reduce the technical and operational complexity of toll reconciliation between all E-ZPass agencies. Due to these efficiencies, once the hub system is operational, there also is a potential for a reduction in the operation and maintenance costs associated with Kane County’s toll bridge back office services. Staff will negotiate this potential cost savings with our Back Office Service provider at that time. A hub reconciliation system would also be compatible with a national interoperability tolling system, should one eventually be developed. The cost of the hub development and operation for Kane County is estimated to be $25,000 per year. Staff recommends approval of the Triborough Bridge and Tunnel Authority EZIOP Hub Third-Party Beneficiary Agreement.

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STATE OF ILLINOIS

COUNTY OF KANE

RESOLUTION NO.

APPROVING TRIBOROUGH BRIDGE AND TUNNEL AUTHORITY E-ZPASS INTEROPERABILITY HUB THIRD-PARTY BENEFICIARY AGREEMENT

WHEREAS, certain toll bridge operations and maintenance services for toll transponder compatibility are required to operate the Kane County Highway No. 86, (“Longmeadow Parkway”) Toll Bridge (herein referred to as the “Project”); and

WHEREAS, the County of Kane (hereinafter the “County”) is a member of the E-ZPass

Group which is an association of toll operators that cooperate among themselves to promote and administer an interoperable toll collection system for the shared and cooperative collection of toll revenue among E-ZPass Group members; and

WHEREAS, on behalf of the E-ZPass Group, the Triborough Bridge and Tunnel Authority

selected a vendor to develop a hub system for toll reconciliation between E-ZPass Group member agencies; and

WHEREAS, under the hub system, each member agency (including the County), would

reconcile tolls directly with the hub rather than with each of the 23+ E-ZPass Group member agencies which hub reconciliation will greatly reduce the technical and operational complexity of future toll reconciliation between all E-ZPass Group member agencies.

NOW, THEREFORE, BE IT RESOLVED by the Kane County Board that the agreement with Triborough Bridge and Tunnel Authority is hereby approved and the Chairman thereof is hereby authorized to execute an agreement with the Triborough Bridge and Tunnel Authority for the Project along with any related documents therefor.



Vote:

22-01 EZPassThirdParty

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TRIBOROUGH BRIDGE AND TUNNEL AUTHORITY EZIOP HUB THIRD- PARTY BENEFICIARY

AGREEMENT

Agreement dated as of the ______________ day of _______________, 20__ by and between TRIBOROUGH BRIDGE AND TUNNEL AUTHORITY, with offices at 2 Broadway, New York, New York, 10004, a public benefit corporation organized and existing under the laws of the State of New York, (the "Authority") and Burlington County Bridge Commission, Central Florida Expressway, Delaware Department of Transportation, Delaware River and Bay Authority, Delaware River Joint Toll Bridge Commission, Delaware River Port Authority, Illinois State Toll Highway Authority, Indiana Toll Road Concession Company, LLC, Kentucky Public Transportation Infrastructure Authority, Massachusetts Department of Transportation, Maryland Transportation Authority, Maine Turnpike Authority, North Carolina Turnpike Authority, Niagara Falls Bridge Commission, New Hampshire Department of Transportation, New Jersey Turnpike Authority, New York State Bridge Authority, New York State Thruway Authority, Ohio Turnpike and Infrastructure Commission, The Port Authority of New York and New Jersey, Buffalo and Fort Erie Public Bridge Authority, The Pennsylvania Turnpike Commission, Rhode Island Turnpike and Bridge Authority, South Jersey Transportation Authority, Skyway Concession Company LLC, State Road and Tollway Authority, Virginia Department of Transportation, West Virginia Parkway Authority, Thousand Islands Bridge Authority, Cline Avenue Bridge, County of Kane - State of Illinois, Minnesota Department of Transportation, Florida Department of Transportation (collectively with the Authority, the “Full Members”).

WITNESSETH:

WHEREAS, the Full Members, as also defined in the Amended and Restated Operations

Interagency Agreement, as amended that are participating in the E-ZPass Interoperability Hub (the “EZIOP Hub Members”) determined that it was necessary and in their best interests for the Authority to enter into Contract 19-IAG-2975 (the “Contract”) for the design, build, operation and maintenance of the entire E-ZPass Interoperability Hub (the “EZIOP Hub”); and

WHEREAS, in furtherance of the development of the EZIOP Hub, the Authority at the request of the EZIOP Hub Members has engaged a consultant to provide development, deployment, operation, and maintenance of an EZIOP Hub to revise the present IAG Toll Reciprocity architecture and processes, provide a robust, flexible, and easily scalable platform upon which evolving Interagency Group (IAG) business needs can be addressed, and to facilitate National Toll Interoperability; and

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WHEREAS, Electronic Transaction Consultants (“ETC”) has been identified via competitive procurement issued by the Authority as the consultant to provide the EZIOP Hub under the Contract; and

WHEREAS, all things necessary to constitute this EZIOP Hub Third-Party Beneficiary Agreement (“3PBA”) a valid and binding agreement by and between the parties in accordance with the terms hereof have been duly performed, and the execution and delivery of this 3PBA has in all respects been duly authorized by the respective parties. NOW THEREFORE, in consideration of the mutual covenants herein contained, the parties agree as follows:

1. The Contract was entered into by the Authority for the benefit of the EZIOP Hub Members and pursuant to the Contract, the EZIOP Hub Members have provided approval to the Authority to act on behalf of the EZIOP Hub Members with regards to EZIOP Hub. All the rights and remedies included in the Contract shall apply to all the EZIOP Hub Members. Individual EZIOP Hub Members shall appoint an Authorized User (as defined in the Contract) with authority to access and perform function(s) in the EZIOP Hub Graphical User Interface or other areas of the EZIOP Hub.

2. The Authority will act as lead agency for purposes of contracting with ETC for the Services, in accordance with the Contract. The Authority shall be authorized to manage the Contract in accordance with its customary procedures, including determining the conformance of the performance of the Services to the terms of the Contract. The Authority shall not amend the Scope of Services or the Contract without the prior written approval of the other affected EZIOP Hub Members.

3. This 3PBA will remain in effect for the duration of the Contract, subject to extension at

the option of the EZIOP Hub Members and subject to the provisions set forth in Paragraphs 6 and 7. This 3PBA may be executed in one or more counterparts, each of which shall constitute an original. The invalidity of any provision of this 3PBA shall not affect the remaining portions of this 3PBA. Except as set forth in Section 4 herein, this 3PBA shall be governed by the laws of the State of New York.

4. Each individual EZIOP Hub Member may bring a private cause of action with respect to

disputes arising out of EZIOP Hub services provided to that individual EZIOP Hub Member in addition to any remedies at law or in equity that may be exercised by the Authority. The EZIOP Hub Members agree that with respect to any services provided to such individual EZIOP Hub Member, the Contract shall be deemed to be governed by and construed in accordance with the laws of the state in which the service was performed for each individual EZIOP Hub Member.

5. The approved budget for the Contract shall be not to exceed $21,543,452.00 for the initial term of ten (10) years unless otherwise approved in writing by the EZIOP Hub Members. The costs of Contract shall be borne by the EZIOP Hub Members, in a cost share formula

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as determined by the IAG Executive Management Committee (“EMC”) and paid by EZIOP Hub Members to the IAG to fund a separate IAG budget line item for the EZIOP Hub. The Authority will invoice the IAG upon receipt of invoice/s from the Contractor, with such payment due the Authority within thirty (30) days of receipt thereof. In the event any portion of an invoice is disputed by any of the EZIOP Hub Members, such EZIOP Hub Member shall provide written notice to the Authority, specifically detailing any deficiency with reference to the performance of the Scope of Services. Such EZIOP Hub Member shall cooperate with the Authority and the other parties to resolve the disputed item. The Authority shall be entitled to suspend or stop work under the Contract in the event of a dispute among the EZIOP Hub Members as to the progress of the work or in the event invoices are not paid by the IAG in a timely basis.

6. The EZIOP Hub Members understand that the Authority will enter into a binding

agreement for the expenditure of moneys in reliance on this 3PBA, and the parties agree that this 3PBA shall not be suspended or terminated unreasonably. Notwithstanding the foregoing, any party may withdraw from participation in this 3PBA at any time upon five (5) days written notice to the Authority and the other parties. Thereafter, all references in this 3PBA to the “EZIOP Hub Members” shall mean the parties to this 3PBA other than such withdrawing party. The withdrawing party’s obligation to make payments for Services performed prior to the withdrawal date shall survive withdrawal. Following withdrawal of any EZIOP Hub Member from this 3PBA, the remaining parties shall continue to be entitled to use any information or work product developed pursuant to this 3PBA, subject to the confidentiality and other provisions of the IAG Reciprocity Agreement and any other agreement applicable to IAG Full Members or Sponsored Affiliate Members.

7. Each individual EZIOP Hub Member shall be afforded the same rights to amend or terminate their portion of the EZIOP Hub services under the Contract, provided that amendment/termination comply with the terms and conditions set forth therein and such amendment/termination shall be communicated to the Contractor via the Authority.

8. In the event that an EZIOP Hub Member or Members determine that there is a need to increase and/or decrease EZIOP Hub services, such EZIOP Hub Member shall promptly notify the Authority of such request with enough detail to enable the Authority to: (1) notify the other EZIOP Hub Members of the change for concurrence, (2) enable the Contractor to propose an alternative if suitable, and (3) enable the Authority to negotiate a fair price. If the increase and/or decrease in EZIOP Hub service affects all the EZIOP Hub Members, the cost of such increase and/or decrease in service shall be allocated amongst the EZIOP Hub Members as provided for in Clause 5 above. If the increase or decrease in EZIOP Hub service is for the sole benefit of the requesting EZIOP Hub Member(s), then that EZIOP Hub Member(s) shall bear the entire cost of such increase and/or decrease in service.

9. The Authority will maintain records regarding receipt and payment of invoices in accordance with its policy for similar items and shall allow the other EZIOP Hub Members access thereto for inspection and copying at all reasonable times. All such records are subject to audit by the other EZIOP HUB Members.

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10. This 3PBA shall be solely for the benefit of the parties hereto, and no other person shall be deemed a beneficiary of this 3PBA or have the right to enforce it against any of the EZIOP Hub Members.

11. The obligations set forth in this 3PBA may be delayed if any EZIOP Hub Member cannot comply because of an act of God, war, strike or other condition as to which the EZIOP Hub Member’s conduct was not the proximate cause; provided that in such event the party affected shall notify the other parties within five (5) business days of obtaining knowledge of such condition and shall use its best efforts to provide for alternative arrangements to fulfill its obligations.

12. The EZIOP Hub Members shall provide to the Authority their requirements for the services to be performed under the Contract and the Authority shall within a reasonable amount of time provide such service updates to the Contractor. The EZIOP Hub Members shall notify the Authority of any service requirements that are not being met during the life of this agreement.

13. The EZIOP Hub Members shall consult with one another promptly and regularly regarding the EZIOP Hub services and shall promptly provide one another with all necessary and accurate documentation, reports, and information, which the other parties may reasonably request in order to fulfill obligations under this 3PBA and the Contract. Nothing in this 3PBA shall be deemed to be a consent or an obligation of the EZIOP Hub Members to provide documents or information protected by, or to waive, the attorney-client privilege or the attorney work product privilege. Material issues, which cannot be resolved at the project manager level, will be referred to the Hub Governance Committee for resolution in accordance with the “IAG Hub Governance Structure” as approved by the EMC.

14. The Authority shall promptly notify for approval each respective EZIOP Hub Member, in

the event that the Contractor requires reproduction of confidential materials in the performance of its duties under the Contract. The Authority will not disclose such confidential information until such time as the Authority receives written permission from any affected EZIOP Hub Member or Members. Upon Contract completion or termination, the Authority shall return to each respective EZIOP Hub Member, all EZIOP Hub Member confidential materials that the Authority provided to the Contractor during the performance of its duties under the Contract.

15. Upon execution of the 3PBA, the Authority shall either assign its rights or grant irrevocable

perpetual licenses to the other EZIOP Hub Members to access and use all intellectual property acquired by the Authority under the Contract.

16. Neither the Commissioners or Directors of the EZIOP Hub Members nor any officer, agent, or employee thereof, shall be charged personally with any liability, or held personally liable under any term or provision of this 3PBA, or because of its execution or attempted execution, or because of any breach, or attempted or alleged breach, thereof.

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This EZIOP Hub Third-Party Beneficiary Agreement is approved and executed by the parties hereto as of the date first above written. Burlington County Bridge Commission Central Florida Expressway By: ________________________________ By: ___________________________________ Name: _____________________________ Name: _________________________________ Its: ________________________________ Its: ____________________________________ Delaware Department of Transportation Delaware River and Bay Authority By: ________________________________ By: ___________________________________ Name: _____________________________ Name: _________________________________ Its: ________________________________ Its: ____________________________________ Delaware River Joint Toll Bridge Delaware River Port Authority Commission By: ________________________________ By: ___________________________________ Name: _____________________________ Name: _________________________________ Its: ________________________________ Its: ____________________________________ Illinois State Toll Highway Authority Indiana Toll Road Concession Company, LLC By: ________________________________ By: ___________________________________ Name: _____________________________ Name: _________________________________ Its: ________________________________ Its: ____________________________________ Kentucky Public Transportation Massachusetts Dept. of Transportation Infrastructure Authority By: ________________________________ By: ___________________________________ Name: _____________________________ Name: _________________________________ Its: ________________________________ Its:_____________________________________

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Maryland Transportation Authority Maine Turnpike Authority By: ________________________________ By: ___________________________________ Name: _____________________________ Name: _________________________________ Its: ________________________________ Its: ____________________________________ North Carolina Turnpike Authority Niagara Falls Bridge Commission By: ________________________________ By: ___________________________________ Name: _____________________________ Name: _________________________________ Its: ________________________________ Its: ____________________________________ New Hampshire Department New Jersey Turnpike Authority of Transportation By:__________________________________By:___________________________________ Name: _____________________________ Name: _________________________________ Its: ________________________________ Its: ____________________________________ New York State Bridge Authority New York State Thruway Authority By:__________________________________By:_______________________________ Name: _____________________________ Name: _________________________________ Its: ________________________________ Its: ____________________________________ Ohio Turnpike and Infrastructure The Port Authority of New York and New Jersey Commission By: ________________________________ By: ___________________________________ Name: _____________________________ Name: _________________________________ Its: ________________________________ Its: ____________________________________

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Buffalo and Fort Erie Bridge Authority The Pennsylvania Turnpike Commission By: ________________________________ By: ___________________________________ Name: _____________________________ Name: _________________________________ Its: ________________________________ Its: ____________________________________ Rhode Island Turnpike and Bridge South Jersey Transportation Authority Authority By:___________________________________By:____________________________________ Name: _____________________________ Name: _________________________________ Its: ________________________________ Its: ____________________________________ Skyway Concession Company, LLC Triborough Bridge and Tunnel Authority By:_________________________________By:_____________________________________ Name: _____________________________ Name: _________________________________ Its: ________________________________ Its: ____________________________________ Virginia Department of Transportation West Virginia Parkway Authority By:_________________________________By:_____________________________________ Name: _____________________________ Name: _________________________________ Its: ________________________________ Its: ____________________________________ Thousand Islands Bridge Authority Cline Avenue Bridge By:__________________________________By:________________________________ Name: _____________________________ Name: _________________________________ Its: ________________________________ Its: ____________________________________

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Minnesota Department of Transportation County of Kane – State of Illinois By: ________________________________ By: _____________________________ Name: _____________________________ Name:___________________________ Its: ________________________________ Its: ______________________________ State Road and Tollway Authority Florida Department of Transportation By: _________________________________ By:______________________________ Name: _______________________________ Name:___________________________ Its: ___________________________________ Its:_______________________________

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