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HomeMy WebLinkAbout23-00298-00-BR_IDOT FHWA_AuthorizationIllinois Department of Transportation Office of Highways Project Implementation / Bureau of Local Roads & Streets 2300 South Dirksen Parkway / Room 205 I Springfield, Ilinois 162764 May 11, 2026 Stephanie Mendoza City Clerk 2100 Ridge Ave. Evanston, IL 60201 RE: LPA: City of Evanston Section: 23-00298-00-B R Project: C67L(627) Job: D-91-131-24 Joint Agreement Dear Stephanie Mendoza, Funding for the subject project was authorized by the Federal Highway Administration (FHWA) on April 2, 2026 and the joint agreement was executed by the Department on April 18, 2026. A copy is enclosed. Please contact Teresa Cline (Teresa.Cline@ilIinois.gov) if you have any questions. Sincerely, Holly Bieneman Director of Planning and Programming Enclosure cc: Daniel Biss, Mayor Jose Rios - Region 1 c/o Chad Riddle - District 1 Programming c/o DOT.CO.Proorammina(&illinois.aov Project Control c/o Sara. Revnolds(&illinois,yypv Fiscal Control c/o DOT.BLRSFiscalControlrrDillinois.00v Docusign Envelope ID: A551E2A5-9B0&46F0-80FF-510E21AE1F00 �I •a. sae-. � Local Public Aaencv ICity of Evanston Fund Type ILBFP-Off System Engineering State Job Number Proiect Number ID-91-131-24 IIC67L(627) ® Local Administered Engineering f Joint Funding Agreement for Federally Funded PEIROW -- LOCAL PUBLIC AGENCY - ------�----- County - -- IlCook ITEP. SRTS, HSIP Number(s) MPO Name 11N/A 11CMAP Right -of -Way State Job Number Proiect Number 11 11 ❑ Right -of -Way El Other LOCATION Section Number 1123-00298-00-BR 1 MPO TIP Number 1102-24-0001 1 Stationing Local StreeVRoad Name Key Route Lenoth To From (Lincoln Street IITR 3120 110.01 mile 110.56 110.57 Location Termini lat North Shore Channel from 0.1 MI E of Sherman Ave. Current Jurisdiction Existino Structure Number(s) ICity of Evanston 1I016-6952 (�F ;Remove, PROJECT DESCRIPTION Phase II -Lincoln Street Bridge Replacement Page 1 of 9 BLR 0531OPE (Rev. 05r09r14) Docusign Envelope ID: A551E2A5-9BO8-46FO-80FF-51OE21AEIF00 Local PublicAaencv Section Number State Job Number _ Project Number (City of Evanston II23-00298-00-BR II 11 This Agreement is made and entered into between the above local public agency hereinafter referred to as the "LPA" and the State of Illinois, acting by and through its Department of Transportation, hereinafter referred to as the "STATE". The STATE and LPA jointly proposes to improve the designated location as described in the Location and Project Description sections of this agreement. The improvement shall be developed by, or on behalf of the LPA and approved by the STATE using the STATE's policies and procedures approved and/or required by the Federal Highway Administration, hereby referred to as "FHWA". L GENERAL _ 1.1 Availability of Appropriation: Sutficiencv of Funtjs. This Agreement is contingent upon and subject to the availability of sufficient funds. The STATE 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 LPA by the STATE or the federal funding source, (it) the Governor or STATE reserves funds, or (iii) the Governor or STATE determines that funds will not or may not be available for payment. The STATE shall provide notice, in writing, to LPA 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. 1.2 I)omeatte Steel Reauirement, The project plans and specifications will specify domestic steel as required by Section 106,01 of the current edition of the Standard Specifications for Road and Bridge Construction and comply with federal Build America -Buy America provisions. 1.3 Federal Authorization. That this Agreement and the covenants contained herein shall become null and void in the event that the FHWA does not approve the proposed improvement for Federal -aid participation within one (1) year of the date of execution of this agreement. 1.4 Severatality. If any provision of this Agreement is declared invalid, its other provisions shall not be affected thereby. 1.5 Termination This Agreement maybe 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 Parry. If terminated by the STATE, the STATE must include the reasons for such termination, the effective date, and, in the case of a partial termination, the portion to be terminated. If the STATE determines in the case of a partial termination that the reduced or modified portion of the funding award will not accomplish the purposes for which the funding award was made, the STATE may terminate the Agreement in its entirety. This Agreement may be terminated, in whole or in part, by the STATE without advance notice: a. Pursuant to a funding failure as provided under Article 1.1. b. If LPA fails to comply with the terms and conditions of this funding 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 award. 11. REQUIRED CERTIFICATIONS This Agreement and the LPA'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, and any and all license requirements or professional certification provisions. 2.1 Comgitence yvi h_Uniform Grant RuIW(2 CFR Part 2001. The LPA 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. 2.2 CgMfiance with Registration Requirements. LPA certifies that it: (i) is registered with the federal SAM system; (ii) is in good standing with the Illinois Secretary of State, if applicable: (irl have a valid DUNS Number, (iv) have a valid UEI, if applicable. it is LPA's responsibility to remain current with these registrations and requirements. 2.3 Briberv. The LPA certifies to the best of it's knowledge that its officials have not been convicted of bribery or attempting to bribe an officer or employee of the state of Illinois, nor made an admission of guift of such conduct which is a matter of record (30 ILCS 500/50-5). 2.4 Bid Rigging. LPA 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 5133E-3 or 720 ILCS 5133E-4, respectively). 2.5 Debt to State. LPA certifies that neither it. nor its affiliate(s), is/are barred from receiving an Award because the LPA, or its affiliate(s), is/are delinquent in the payment of any debt to the STATE, unless the LPA, or its affiliate(s), hasrnave entered into a deferred payment plan to pay off the debt, and STATE acknowledges the LPA may declare the Agreement void if the certification is false (30 ILCS 500150-11). 2.6 Debarment. The LPA certifies to the best of its knowledge and belief that it's officials: a. are not presently debarred, suspended, proposed for debarment, declared ineligible or voluntarily excluded from covered transactions by any Federal department or agency; Page 2 of 9 BLR 0531OPE (Rev. 05/M l) Docusign Envelope ID: A551 E2A5-gB08.46F0-80FF-510E21AE1 F00 Local Public Aaencv Section Number State Job Number Project Number (City of Evanston 1123-00298-00-13R 11 11 b. have not within a three-year period preceding this agreement been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State or local) transaction or contract under a public transaction; violation of Federal or State anti-trust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements receiving stolen property; c. are not presently indicated for or otherwise criminally or civilly charged by a governmental entity (Federal, State, Local) with commission of any of the offenses enumerated in item (b) of this certification; and d. have not within a three-year period preceding the agreement had one or more public transactions (Federal, State, Local) terminated for cause or default. 2.7 Criminal Convictions. The LPA certifies that neither it nor any managerial agent of LPA has been convicted of a felony under the Sarbanes-Oxley Ad 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. The LPA further certifies that it is not barred from receiving an funding award under 30 ILCS 500/50-10.5 and acknowledges that STATE shall declare the Agreement void if this certification is false (30 ILCS 500150-10.5). 2.8 Imorocer Influence. The LPA certifies that no funds have been paid or will be paid by or on behalf of the LPA 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, the LPA certifies that it has filed the required certification under the Byrd Anti -Lobbying Amendment (31 USC 1352). if applicable. 2.9 I@(gmm Prmhibitiorl. The LPA certifies that it will comply with Section 889 of the FY 2019 National Defense Authorization Act (NDAA) that prohibits the use of telecommunications or video surveillance equipment or services produced provided by the following companies: Dahua Technology Company, Hangzhou Hikvision Digital Technology Company, Huawei Technologies Company, Hytera Communications Corporation, and ZTE Corporation. Covered equipment and services cannot be used as substantial or essential component or any system, or as critical technology as part of any system. 2.10 Personal Conflict of Interest - The LPA certifies that it shall maintain a written code or standard of conduct which shall govern the performance of its employees, officers, board members, or agents engaged in the award and administration of contracts supported by state or federal funds. Such code shall provide that no employee. officer, board member or agent of the LPA may participate in the selection, award, or administration of a contract supported by state or federal funds if a conflict of interest, real or apparent would be involved. Such a conflict would arise when any of the parties set forth below has a financial or other interest in the firth selected for award a. the employee, officer, board member, or agent; b. any member of his or her immediate family; c. his or her partner,, or d. an organization which employs, or is about to employ, any of the above. The conflict of interest restriction for former employees, officers, board members and agents shall apply for one year. The code shall also provide that LPXs employees, officers, board members, or agents shall neither solicit nor accept gratuities, favors or anything of monetary value from contractors, potential contractors, or parties to subcontracts. The STATE 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 LPA relating to such contract, subcontract, or arrangement. The code shall also prohibit the officers, employees, board members, or agents of the LPA from using their positions for a purpose that constitutes or presents the appearance of personal or organizational conflict of interest or personal gain. 2.11 Organizational Conflict of Interest - (50 ILCS 10513, 65 ILCS 513.1-55-10. 65 ILCS 514-8-6) The LPA certifies that it will also prevent any real or apparent organizational conflict of interest. An organizational conflict of interest exists when the nature of the work to be performed under a proposed third party contract or subcontract may, without some restriction on future activities, result in an unfair competitive advantage to the third party contractor or LPA or impair the objectivity in performing the contract work. 2.12 Accounting System. The LPA certifies that it has 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, unobligaled balances, assets, outlays, and income. To comply with 2 CFR 200.305(b)(7)(i), the LPA shall use reasonable efforts to ensure that funding streams are _ delineated within LPNs accounting system. See 2 CFR 200.302. IN. _AUDIT AND RECORD RETENTIONY�_--- 3.1 Single Audits. The LPA shall be subject to the audit requirements contained in the Single Audit Act Amendments of 1996 (31 Page 3 of 9 BLR 0531OPE (Rev. 05/)9124) Docusign Envelope ID: A551 E2A5-9B08A6F0-80FF-510E21AE1 F00 Local Public Aqency Section Number Stale Job Number Project Number JCity of Evanston 1123-00298-00-BR 11 �I USC 7501-7507) and Subpart F of 2 CFR Part 200. If, during its fiscal year, LPA expends $750,000 or more in Federal Awards (direct federal and federal pass -through awards combined), LPA 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. A copy of the audit report must be submitted to the STATE (IDOTs Financial Review 8 Investigations Section, Room 126, 2300 South Dirksen Parkway, Springfield, Illinois, 62764) within 30 days after the completion of the audit, but no dater than one year after the end of the LPA's fiscal year Assistance Listing number (forma0y known as the Catalog of Federal Domestic Assistance (CFDA) number) for all highway planning and construction activities is 20.205. 3.2 STATE Audits: The STATE may, at its sale discretion and at its own expense, perform a final audit of the Project (301LCS 5, the Illinois State Auding Act). Such audit may be used for settlement of the Project expenses and for Project closeout purposes. The LPA agrees to implement any audit findings contained in the STATE's authorized inspection or review, final audit, the STATE's independent audit, or as a result of any duly authorized inspection or review. 3.3 Record Retention. The LPA shall maintain for three (3) years from the date of final project closeout by the STATE, adequate books, records, and supporting documents to verify the amounts, recipient, and uses of a0 disbursements of funds passing in conjunction with this contract, adequate to comply with 2 CFR 200.334. If any litigation, claim or audit is started before the expiration of the retention period, the records must be retained unlit all litigation, claims or audit exceptions involving the records have been resolved and final action taken. 3.4 Accessibility of Records. The LPA shall permit, and shall require its contractors and auditors to permit, the STATE, and any authorized agent of the STATE, to inspect all work, materials, payrolls, audit working papers, and other data and records pertaining to the Projed; and to audit the books, records, and accounts of the LPA with regard to the Project. The LPA in compliance with 2 CFR 200.337 shall make books, records, related papers, supporting documentation and personnel relevant to this Agreement available to authorized STATE representatives, the Illinois Auditor General, Illinois Attorney General, any Executive Inspector General, the STATE's Inspector General, federal authorities, any person identified in 2 CFR 200.337. and any other person as may be authorized by the STATE (including auditors), by the stale of Illinois or by federal statute. The LPA shall cooperate fully in any such audit or Inquiry. 3.5 Failure to maintain the hooks and records. Failure to maintain the books, records and supporting documents required by this section shall establish presumption in favor of the STATE for recovery of any funds paid by the STATE under the terms of this contract. N LPA FISCAL RESPONSIBILITIES 4.1 To provide all initial funding and payment for engineering or right of way work. 4.2 LPA Aoorooriation Requirement. By execution of this Agreement the LPA attests that sufficient moneys have been appropriated or reserved by resolution or ordinance to fund the LPA share of project costs. A copy of the authorizing resolution or ordinance is attached as Schedule 3. 4.3 Reimbursement Reaue=: For reimbursement requests the LPA will submit supporting documentation with each invoice. Supporting documentation is defined as verification of payment, certified time sheets or summaries, vendor invoices, vendor receipts, cost plus fix fee invoice, progress report, personnel and direct cost summaries, and other documentation supporting the requested reimbursement amount (Form BLR 05621 should be used for consultant invoicing purposes). LPA invoice requests to the STATE will be submitted with sequential invoice numbers by project. 4.4 Financial Integrity Review and Evaluation (FIRE) orogram: LPA's and the STATE must justify continued federal funding on Inactive projects. 23 CFR 630.106(a)(5) defines an inactive project as a project which no expenditures have been charged against Federal funds for the past twelve (12) months. To keep projects active, invoicing must occur a minimum of one time within any given twelve (12) month period. However, to ensure adequate processing time, the first invoice shall be submitted to the STATE within six (6) months of the federal authorization date. Subsequent invoices will be submitted in intervals not to exceed six (6) months. 4.5 Final invoice: The LPA will submit to the STATE a complete and detailed final invoice with applicable supporting documentation of all incurred costs, less previous payments, no later than twelve (12) months from the date of completion of work or from the dale of the previous invoice, whichever occurs first. If a final invoice is not received within this time frame, the most recent invoice may be considered the final invoice and the obligation of the funds closed. Form BLR 05613 (Engineering Payment Record) is required to be submitted with the final invoice for engineering projects. 4.6 PPr ject Closeout: The LPA shall provide the final report to the appropriate STATE district office within twelve (12) months of the physical completion date of the project so that the report may be audited and approved for payment. If the deadline cannot be met, a written explanation must be provided to the district prior to the end of the twelve (12) months documenting the reason and the new anticipated date of completion. If the extended deadline is not met, this process must be repeated until the project is dosed. Failure to follow this process may result In the immediate dose -out of the project and loss of further funding. 4.7 Project End Date: The period of performance (end date) for state and federal obligation purposes is five (5) years for projects Page 4 of 9 BLR 05310PE (Rev. 05109124) Docusign Envelope ID: A551 E2A5-9B08-46F0-80FF-510E21AE1 F00 Local PublicAcencv Section Number State Job Number Proiect Number (City of Evanston II23-00298-0O-13R 11 II under $1,000,000 or seven (7) years for projects over $1,000,000 from the execution date of the agreement. Requests for time extensions and joint agreement amendments must be received and approved prior to expiration of the project end date. Failure to extend the end date may result in the immediate dose -out of the project and loss of further funding. V. THE LPA AGREES --- - ---- — — __ 5.1 To acquire in its name, or in the name of the STATE if on the STATE highway system, all right-of-way necessary for this project in accordance with the requirements of Titles 11 and III of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, and established Stale policies and procedures. Prior to advertising for bids, the LPA shall certify to the STATE that all requirements of Titles If and III of said Uniform Act have been satisfied. The disposition of encroachments if any. will be cooperatively determined by representatives of the LPA, the STATE, and the FHWA if required. 5.2 To provide for all utility adjustments and to regulate the use of the right-of-way of this improvement by utilities, public and private, in accordance with the current Utility Accommodation Policy for Local Public Agency Highway and Street Systems. 5.3 To retain jurisdiction of the completed improvement. 5.4 To maintain or cause to be maintained the completed improvement or that portion within its jurisdiction, in a manner satisfactory to the STATE and the FHWA. 5.5 To provide if required, for the improvement of any railroad -highway grade crossing and rail crossing protection within the limps of the proposed improvement. 5.6 To regulate parking and traffic in accordance with the approved project report. 5.7 To regulate encroachments on public rights -of -way in accordance with current Illinois Compiled Statutes. 5.8 To regulate the discharge of sanitary sewage into any storm water drainage system constructed with this improvement in accordance with the current Illinois Compiled Statutes. 5.9 For contracts awarded by the LPA, the LPA shag not discriminate on the basis of race. color, national origin or sex in the award and performance of any USDOT- assisted contract or in the administration of its DBE program or the requirements of 49 CFR part 26. The LPA shall take all necessary and reasonable steps under 49 CFR part 26 to ensure nondiscrimination in the award and administration of USDOT - assisted contracts. The LPA's DBE program, as required by 49 CFR part 26 and as approved by USDOT, is incorporated by reference in this agreement. Upon notification to the recipient of its failure to carry out its approved program, the STATE may impose sanctions as provided for under Part 26 and may, in appropriate cases, refer the matter for enforcement under 18 U.S. C 1001 and/or the Program Fraud Civil Remedies Act of 1986 (31 U.S.0 3801 at seq.). In the absence of a USDOT - approved LPA DBE Program or on STATE awarded contracts, this agreement shall be administered under the provisions of the STATE'S USDOT approved Disadvantaged Business Enterprise Program. A THE STATE AGREES { 6.1 To provide such guidance, assistance, and supervision to monitor and perform audits to the extent necessary to assure validity of the LPA's certification of compliance with Title 11 and III Requirements. 6.2 To reimburse the LPA for federal and/or state funds on the basis of periodic billings, provided said billings contain sufficient cost information and show evidence of expenditures by the LPA. SCHEDULES Add'tional information and/or stipulations are hereby attached and identified below as being a part of this agreement. 10 1. Division of Cost 10 2. Location Map 19 3. Risk Assessment ® 4. Attestations ❑ 5. Resolution` 'Appropriation and signature authority resolution must be in effect on, or prior to, the execution date of the agreement. Page 6 of 9 BLR 05310PE (Rev. 06/09/24) Docusign Envelope ID: A551E2A5-9B08-46F0-80FF-510E21AE1F00 Local Public Agency Section Number State Job Number Project Number (City of Evanston 1123-00298-00-BR AGREEMENT SIGNATURES EXECUTION The LPA agrees to accept and comply with the applicable provision set forth In this agreement including attached schedules APPROVED Local Public Agency Name of Official (Print or Tvue Name) Daniel Siss Title of Official Mayor Signature Date The above signature certifies the agency's TIN number is 366005870 conducting business as a Governments[ Entity. DUNS Number 074390907 UEI XKVUMPN8PBN1 APPROVED State of Illinois Department ofTransnnriation Gia Biagi, Secretary of Transportation Date Signed by: LJ� im 1104/18/26 18:29 CDT Y Holly Bieneman, Acting Bureau Chief of Local Roads & Streets Date N/A II Holly Bieneman, Director of Plannin_g &Programming Date Docunedby: sro'(�L�,�,v„w WA ri 4/15/26 1 9:46 �M CDT 110 �8tlU3U/8tl1tlL/<ti... Michael Prater, Chief Counsel Date Signed by: Pry 1104/15/2619:43 M CDT Vicki Wilson. Chief Fiscal Officer Date by: NDo/cuSiggnneed t �(X.l KSdw �14/15/26 1 11:15 IM CDT I --Vvloa .nwwcuee... NOTE: If the LPA Signature is by an APPOINTED o(flclal, a resolution authorizing said appointed official to execute this agreement is required. Page 6 of 9 BLR 05310PE (Rev. 05109r24) Docusign Envelope lD:A551E2A5-9B08.46F0-80FF-510E21AE1F00 Local Public Aqencv City of Evanston Type of Work Preliminary Engineering Countv 1ICook Federal Funds Fund Type Amount % LBFP-off $536,000.00 SCHEDULE NUMBER 1 Section Number II23-00298-00-BR DMSION OF COST State Funds Fund Type Amount % State Job Number Proiect Number I ID-91-131-24 I IC67L(627) Local Public Agency Fund Type Amount % Local $559,793.00 BAL i Totals $1,095,793.001 Total $536,000.00 Total Total $559,793.00 $1,095,793.00 If funding is not a oercentaae of the total place an asterisk M in the soace provided for the oercentaae and explain below. I*Maximum FHWA (LBFP-Off System) Participation 100% NTE $536,000.00. NOTE: The costs shown in the Division of Cost table are approximate and subject to change. The final LPA share is dependent on the final Federal and State participation. The actual costs will be used in the final division of cost for billing and reimbursement. Page 7 of 9 BLR 0531OPE (Rev. 05109/24) Docusign Envelope lD:A551E2A5-gB0846FO-80FF-510E21AE1F00 i ___1 t y CMncrnor sr ltyarr 'Fie ld® t d e,^ e j Chmcew st a of I: {' Ryan Frelar v Lo1102 East +Laut 6tuW Nonhwestem Universil s ronlball Tskel ft 1 Bona l Natlorml Cenlet v1Y . 1 W 131" St - Central st 9 Centralst 1620 Central I _ _ _ 16ie CMllll:pWy Lti The Locker Roam' sl(r:r-a ab swunmu A�em 1.� -' sm*s �,mwleoae nwe __- Lli 41 �_� f�rt .m580 I .' b t'i::J K� J 1 -t •1 r: Pansh © E 7{ Lt "- Lincoln fit LmcoMst Lincoln St rag w e FO'Malley Kathehnej s3 n K s •- 1 d _ `TpJ J�`t-j r) z IL i^x . LA Colfax st ` J u I� ! j r 3 .Renee Feldmar Ib w):m na�e«v uw�h r Leaend OProject Location Grant St l 8 O©Evanslon Hosplter Evanston Hospital Emergency Oepanment jv a anst"e Stagon3f `v ®North Subutban i - x Opthamologisls trot st -' H Cenlrel_St ®- Ca Cenirel© North Suburban Peaatrla R tlee Tei IGre3 Goll Course, j .a ` ! � , c 9, oJ. ;amen[en'Legwn �• Chan0ler Newberger ! "'"" 1'9Reireahon i BatPark j es llerton Park 'Win st Hughr 4 PI ConaxS canxsl care f7 1 .f __ t7 L ' v � u A J Q Grml S[ the Maynard ath 7 1 t 2247 flidge Avenue Q 7 a ii00yIC 9 -� The Actors Gymnasium LOCATION MAP Lincoln St Bridge over the North Shore Channel Cook County SN 016-6952 Local Public Agency y� City of Evanston ' �" SCHEDULE NUMBER 9 Section Number Countv I23-00298-00-BR IlCook LRS Federal Funds RISKASSESSMENT Risk Factor Description Have there been any changes in key organizational staff or leadership, such as Fiscal and Administrative Management, Transportation Related Program/Project Management, and/ or Elected Officials? General History of (What is the LPA's history with federal -aid funded Performance transportation projects? Does LPA have qualified technical staff with experience managing federal -aid funded transportations through ]DOT? Has the LPA been untimely in submitting invoicing, reporting on federal -aid projects as required in 2 CFR 200, and or audits as required? Are the annual financial statements prepared in accordance with Generally Accepted Accounting Principles or on a basis acceptable by the regulatory agency? Financial Controls (What is the LPA's accounting system? Does the organization have written policies and procedures regarding proper segregation of duties for fiscal activities that include but are not limited to: a) authorization of transactions; b) recordkeeping for receipts and payments; and c) cash management? When was the last time a financial statement audit was conducted? What type of financial statement audit has the organization Audits had conducted? Did the most recent audit disclose findings considered to be significant deficiencies or material weaknesses? Have the findings been resolved? Summary of Risk General History of Performance Financial Controls Audits Total State Job Number IID-91-131-24 Proiect Number IIC67L(627) Definition of Scale (time frames are based on LPA fiscal year) 0 points - no significant changes in the last 4 or more years; 1 point - minor changes, but majority of key staff and officials have not changed in the last 4 years; 2 points - significant key staff or elected leadership changes within the last 3 years; 3 points - significant key staff and elected leadership changes within the last 3 years 0 points - One or more federal -aid funded transportation projects initiated per year; 1 ppinj -At least one project initiated within the past three years; 2 Points -AT least one project initiatedwithin the past 5 years; 3 points - None or more than 5 years 0 points - Full-time employee with experience designated as being in "responsible charge"; I point- LPA has qualified technical staff, but will be utilizing an engineering consultant to manage day -today with LPA technical staff oversight: 2 points - LPA has no technical staff and all technical work will be completed by consultant, but LPA staff has prior experience with federal -aid projects; 3 points - LPA staff have no prior experience or technical expertise and relying solely on consultant Dints - No; 1 point - Delays of 6 or more months; 2 points - Delays of up to 1 year, 3 ligipts -1 year or more years of delay 4liglata-yes; 3points -no 0 omits -Automated accounting software; 1point-Spreadsheets; 2points -paper only; 3 points - none 0 points - yes; 3 point - no 0 points - in the past year; 7 point - in the past two years; 2 points - in the past three years; 3 points - 4 years or more, or never 0 points - Single Audit/Program Specific Audit in accordance with 2 CFR 200.501 or Financial audit conducted in accordance with Generally Accepted Auditing Standards or Generally Accepted Govemment Auditing Standards; 1 point- Financial review?; 2 points Other type? or no audit required; 3 points - none 9 points - no; 3 points - yes, or no audits required ants - yes or no findings; ] point- in progress; 3 points - no District Review Siqnature & Date ° Priscilla Soto- Digitally °g"°° by PnscAla Soto Vargas ° argas Date 2025.12.0314:5936 0 I _01YOU 0 I Additional Requirements? ❑ Yes ® No Points Central Office Review Sianature & Date Digital, s,gned by Debbie Jarvis Debbie Jarvis Date 20n.01.07081117 6s!o0 Page 8 of 9 SLR 0531OPE (Rev. 05/09/24) Docusign Envelope lD:A551E2A5-9B08-46F0-80FF-510E21AE1F00 Local Public Aqency _ Section Number Slate Job Number Project Number (City of Evanston II23-00298-00-BR II II --- - — — ---- SCHEDULE NUMBER 4 --- --- - - — - — Attestedon on MrglB AudBt complisnim 1 In the prior fiscal year. did City of Evanston expend more than $750.000 in federal funds to aggregate from all LPA federal sources? 0 Yes ❑ No 2 Does the City of Evanston anticipate expending more than $750,000 in federal funds in aggregate from all LPA federal sources in the current City of Evanston fiscal year? ® Yes ❑ No tPA If answers to question 1 and 2 are no, please proceed to the signature section. If answer to question t is yes, please answer question 3a If answer to question 2 is yes, please answer question 3b 3 A single audit must be conducted in accordance with Subpart F of 2 CFR 200 if $750.000 or more in federal funds are expended In a single fiscal year a. Has the City of Evanston performed a single audit for their previous fiscal year? LPA Yes [:]No L If yes, has the audit be filed with the Illinois Office of the Complro0er in accordance with 50 ILCS 310 (see also 551LCS 5 & 65 ILCS 5 & 60ILCS 1/80)? ❑ Yes F1 No b. For the current fiscal year, does the City Of Evanston intend to comply with Subpart F of 2 CFR 200? ® Yes ❑ No WA By completing this allestation. I certify that I have authority to sign this attestation on behalf of the LPA; and that the foregoing information is correct and complete to the best of my knowledge and belief. Name Title LPA ISat Nagar, P.E. IlSenlor Project Manager IlCity of Evanston Signature & Date t �a orb. o�..,....... a..,. cow w.FL Tw�nx 'i agar, a��.�w-�--- �''�.�riawi.au�m Page 9 of 9 BLR 05310PE (Rev 05109124)