Section 290.1200  Statutory Authority

 

a)         Ch. 15, par. 214

Forms of documents.  The Comptroller may prescribe, and require the use by state agencies, of forms for all documents required by law in the performance of his duties or which he may reasonably require therefor. The Comptroller may prescribe by rule the general nature of information to be contained in contracts required to be filed with him under Sections 11 and 15 of this Act.

 

b)         Ch. 15, par. 221

The Comptroller shall promulgate rules and regulations to implement the exercise of his powers and performance of his duties under this Act and to guide and assist State agencies in complying with this Act.  Any rule or regulation specifically requiring the approval of the State Treasurer under this Act for adoption by the Comptroller shall require the approval of the State Treasurer for modification or repeal.

 

Section 290.1201  Application

 

This Article does not presently apply to agreements paid from the "award and grant" (Comptroller's Uniform Statewide Accounting System – CUSAS – Common Object 4400) line items.  It is, however, recommended that agencies follow these guidelines in drafting grant agreements.

 

Section 290.1202  Classifications

 

For the purposes of this part contracts and agreements shall be classified as follows:

 

a)         Contracts for professional or artistic services which are subject to Section 9.01 of the Illinois Purchasing Act (Ill. Rev. Stat. 1979, ch. 127, par. 132,9a) (hereinafter contracts for professional or artistic services, or P/A contracts).

 

b)         Leases for real property.

 

c)         Leases or other rental agreements for personal property.

 

d)         Construction Contracts.

 

e)         Contracts with other governmental agencies.

 

f)         Purchase Orders.

 

g)         Amendments, modifications and renewals.

 

h)         Other Contracts.

 

Section 290.1203  Requirements for all Contracts

 

a)         Agreements required to be filed with the Comptroller under Section 11 or Section 15 of the State Comptroller Act (Ill. Rev. Stat. 1987, ch. 15, pars. 211 and 215) must meet the criteria set forth in this Article.  In general, a two party signed agreement must be filed for all expenditures exceeding $5,000 in a fiscal year, except for:

 

1)         contracts paid from personal services, or

 

2)         contracts between the State and its employees to defer compensation pursuant to Article 24 of the Illinois Pension Code (Ill. Rev. Stat. 1987, ch. 111½, par. 24-101 et seq.).

 

b)         Certain exceptions are listed in CUSAS (Comptroller's Uniform Statewide Accounting System) Procedures 15.20.70 under type code 41 and Section 290.1209 of these rules.  In addition, agreements where the State does not incur a financial liability are not required to be filed with the Comptroller under this Part.

 

c)         Legibility:  All documents filed must be legible.

 

d)         Bribery Clause:  Every contract executed by the State must contain a certification by the contractor that the contractor is not barred from being awarded a contract or subcontract under Section 10.1 of The Illinois Purchasing Act (Ill. Rev. Stat. 1987, ch. 127, par. 132.10-1).  Suggested language for the certification is set forth below:

 

The vendor certifies that it is not barred from being awarded a contract or subcontract under Section 10.1 of The Illinois Purchasing Act.

 

e)         Execution date:  All contracts and leases must contain an execution date.  An acceptable alternative is for the agency and the contractor to date their signature.  The execution date of purchase orders and similar documents is the date on the document.

 

f)         Filing Requirements:

 

1)         Section 15 of the State Comptroller Act requires agencies to file contracts, leases or purchase orders within 15 days of execution.  Cancellation or modifications to contracts, purchase orders, or leases are also subject to this time period.

 

2)         The following rules will be applied in enforcing these filing requirements:

 

A)        When the contract sets forth an execution date only, the 15 day period will be calculated from this date.

 

B)        When the agency signature and the contractor's signature are dated, the 15 day time period will be calculated from the latest dated signature.

 

C)        When the contract is signed by more than one person on behalf of the State, the period will be calculated from the latest dated signature.

 

3)         Where a contract, purchase order or lease required to be filed by Section 15 of the State Comptroller Act has not been filed within 30 days of execution, the Comptroller will not honor vouchers for payment thereunder until the agency files with the Comptroller:

 

A)        The contract, purchase order or lease; and

 

B)        An original affidavit and one copy, signed by the chief executive officer of the agency, or his or her designee, setting forth an explanation of why such contract liability was not filed within 30 days of execution. The Comptroller will file the copy of the affidavit with the Auditor General.

 

C)        A sample of the affidavit referenced in this Section is provided as Appendix C to this Part.  Any affidavit substantially similar to that provided in Appendix C will be accepted by the Comptroller.

 

g)         Maximum or Estimated Amount:

 

1)         Except as is discussed below, all contracts should set forth either an estimated or maximum amount.

 

2)         A maximum amount must be used where the amount of payment can be ascertained with reasonable certainty.  The contract must be amended before more than the maximum amount may be paid pursuant to the agreement.  Where it is not possible to ascertain the amount to be paid under the contract, an estimated amount should be used.  In certain cases contracts are executed in order to provide for payment on an as needed basis, (for example, certain contracts for legal services).  In these instances the contract need not contain a maximum or estimated amount.

 

h)         Agencies must obtain the Federal Taxpayer Identification Number and legal status disclosure certification of the contractor for all contracts, leases and purchase orders required to be filed by this Part.

 

i)          References in this Part to information deemed necessary by the Attorney General do not apply to universities.

 

j)          Advance Payment:

            Where a State agency wishes to make advance payment for goods or services, the contract must include a provision for such advance payment.  If the State agency determines it is not possible to execute a written contract, any payment voucher must so state. (Section 9.05 of "AN ACT in relation to State finance") (Ill. Rev. Stat. 1987, ch. 127, par. 145(f)).

 

k)         Bid-Rigging/Bid Rotating Certification:  Each bid and any contract resulting from that bid for goods, services or construction between the State and a vendor other than a unit of State or local government shall contain a certification by the contractor that the contractor is not barred from contracting with any unit of State or local government as a result of a violation of either Section 33E-3 or 33E-4 of the Criminal Code of 1961 (Ill. Rev. Stat. 1988 Supp., ch. 38, pars. 33E3 or 33E4).  Suggested language for the certification is set forth below:

 

The contractor 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 Criminal Code of 1961 (Ill. Rev. Stat. 1988 Supp., ch. 38, pars. 33E3 or 33E4)

 

l)         Educational Loan Certification:  All contracts, leases and purchase orders required to be filed by this Part shall include a statement certifying that the contractor is not in default on an educational loan as provided in Section 30-15.2 of the School Code (Ill. Rev. Stat. 1988 Supp., ch. 122, par. 30-15.12).  Suggested language for the certification is set forth below:

 

The contractor certifies that it is not in default on an educational loan as provided in Section 30-15.2 of the School Code (Ill. Rev. Stat. 1988 Supp., ch. 122, par. 30-15.12).

 

(Source:  Amended at 14 Ill. Reg. 5757, effective April 5, 1990)

 

Section 290.1204  Contracts for Professional or Artistic Services

 

a)         Definition

 

1)         Professional or artistic services may be defined as services rendered by an individual or firm contractually hired by an agency because of their expertise in a given field.  An essential element is trust in the ability and talent of the person performing the services.  Contracts for manual skills are not included.

 

2)         Examples of professional or artistic services are set forth in CUSAS (Comptroller's Uniform Statewide Accounting System) Procedure 15.20.70 type code 21.

 

b)         Required Contents

 

            In addition to complying with the requirements of Section 290.1203, contracts for professional or artistic services must contain:

 

1)         Contractor's full name and address.

 

2)         Agency name.

 

3)         Reasonably detailed description of services to be rendered.

 

4)         The contract term, where applicable.

 

5)         The maximum or estimated amount to be paid, if applicable.

 

6)         Payment rates, where applicable.

 

7)         Signature of contractor and authorized agency representative.

 

8)         Execution date. (See Section 290.1203(c)).

 

9)         Bribery clause certification. (See Section 290.1203(b)).

 

10)           Where the contract is for consultant services, as that term is defined in Section 9.04 of the Illinois Purchasing Act (Ill. Rev. Stat. 1987, ch. 127, par. 132.9d), the contract must state whether or not the services of a subcontractor will be utilized.  If a subcontractor will be used, the contract must list the names and addresses of all subcontractors and the anticipated amount they will receive pursuant to the contract.

 

11)           Federal Taxpayer Identification Number and legal status disclosure certification (See Section 290.Appendix B (16)).

 

12)           Educational loan certification (See Section 290.1203(1)).

 

13)           Where a contract involving professional or artistic services has been bid, the bid-rigging/bid rotating certification (See Section 290.1203 (k)).

 

14)           Such other provisions as may be specifically required by law.

 

15)           Any other information deemed necessary or advisable by the agency or the Attorney General.

 

c)         Requirement that contract be reduced to writing:

 

1)         Section 11 of the State Comptroller Act requires the Comptroller to reject vouchers for payment of professional or artistic skills if the contract for such services involves expenditures of more than $5,000 for a fiscal year, unless;

 

A)        the contract has been reduced to writing before the services are performed, or

 

B)        an affidavit described in this subsection is filed.

 

2)         "Reduced to writing" is defined as signed by the contractor and an authorized representative of the State.

 

3)         The time at which a contract is reduced to writing is delineated below:

 

A)        When the contract contains an execution date only, the contract will be regarded as being reduced to writing at that date.

 

B)

i)          For contracts with dated signatures, when the contract is signed by the vendor and then by more than one authorized agency representative, it is reduced to writing at the earliest dated signature of an authorized representative of the agency.

 

ii)         An "authorized agency representative" means a person who has the authority to execute contracts on behalf of the agency.

 

C)        An agreement for professional or artistic services let for competitive bids will be considered reduced to writing upon the date of the notice of award.  The agreed terms may be placed in a different format and later signed without violating Section 11 of the State Comptroller Act.  A copy of the proposal and the notice of award shall be filed with the Comptroller.

 

4)         In order to implement this requirement, all professional or artistic services contracts may contain a provision indicating that no payments will be made for services which are performed before the contract is signed by the contractor and an authorized representative of the State.

 

5)         Suggested language is set forth below:

 

This contract takes effect on (date) or when executed by the contractor and an authorized representative of the State, whichever is later.  No services will be paid which are performed prior to execution.

 

6)         This provision may be modified at the discretion of the agency.

 

7)         Where a contract for professional or artistic skills in excess of $5,000 was not reduced to writing before the services were performed, the Comptroller will not honor vouchers for payment for such services until the agency files with the Comptroller:

 

A)        a written contract covering the services; and

 

B)        An original affidavit and one copy, signed by the chief executive officer of the agency or his or her designee stating that the services for which payment is being made were agreed to prior to commencement of the services and setting forth an explanation of why the contract was not reduced to writing before the services commenced.  The Comptroller will file the copy of the affidavit with the Auditor General.

 

8)         A sample of the affidavit referenced in this subsection is provided as Appendix D to this Part.  Any affidavit substantially similar to that provided in Appendix D will be accepted by the Comptroller.

 

d)         Contracts subject to "AN ACT to provide for representation and indemnification in certain civil lawsuits," (Ill. Rev. Stat. 1987 and 1988 Supp., ch. 127, par. 1301 et seq.) must be approved by the Attorney General before being filed with the Comptroller.  This requirement does not apply to universities.  The 15 day filing requirement established by Section 15 of the State Comptroller Act shall run from the date of approval.

 

(Source:  Amended at 14 Ill. Reg. 5757, effective April 5, 1990)

 

Section 290.1205  Leases for Real Property

 

a)         Definition. This category includes all agreements for the rental of real property.

 

b)         In addition to complying with Section 290.1203, leases for real property must contain:

 

1)         Lessor's name and address.

 

2)         Leasing agency's name.

 

3)         Description and location of property (address).

 

4)         Beginning and ending dates of lease.

 

5)         Monthly and annual rental amount, where applicable.

 

6)         Disclosure of identity of owners, trust beneficiaries, and shareholders entitled to receive more than 7½% of the total distributable income of any corporation having an interest in such property, where required by Section 3.1 of "AN ACT to prevent fraudulent and corrupt practices in the making or accepting of official appointments and contracts by public officers" (Ill. Rev. Stat. 1987, ch. 102, par. 3.1).  Suggested language is set forth below:

 

AFFIDAVIT

 

The undersigned, being first duly sworn on oath states that he is (State Title) and that the names of all the beneficiaries of a certain title holding trust, established by a Trust Agreement dated _______, identified as Trust No. _____, known as ______________________ are:

 

(List beneficiaries)

 

The undersigned further states that the names of all shareholders entitled to receive more than 7½% of the total distributable income of any corporation having an interest in the real property are:

 

(List shareholders)

 

 

(Notarization)

(Signature of Trustee

 

However, if stock in a corporation is publicly traded and there is no individual having greater than a 7½% interest, then a statement to that effect, subscribed to under oath by an officer of the corporation or its managing agent, will satisfy the disclosure statement requirement.

 

7)         Subject to appropriation clause when the lease is for more than one fiscal year.  Suggested language is set forth below:

 

Obligations of the State shall cease immediately without penalty or further payment being required if, in any fiscal year, the Illinois General Assembly or federal funding source fails to appropriate or otherwise make available funds for this lease.

 

8)         The county in which the property is located.

 

9)         Bribery clause certification. (See Section 290.1203(b)).

 

10)         Execution date. (See Section 290.1203(c)).

 

11)         The maximum or estimated amount to be paid, where applicable. (See Section 290.1203(e)).

 

12)         Signature of lessor and authorized agency representative.

 

13)         Federal Taxpayer Identification Number and legal status disclosure certification (See Section 290.Appendix B (16)).

 

14)         Education loan certification (See Section 290.1203 (l)).

 

15)         Such other provisions as may be specifically required by law.

 

16)         Any other provisions deemed necessary or advisable by the agency, the Attorney General or, where applicable, the Department of Central Management Services.

 

(Source:  Amended at 14 Ill. Reg. 5757, effective April 5, 1990)

 

Section 290.1206  Leases for Personal Property (See Note at end of this Section)

 

a)         Definition.  Included are agreements for the rental of personal property.

 

b)         In addition to complying with the requirements of Section 290.1203, leases for personal property must contain:

 

1)         Lessor's name and address.

 

2)         Leasing Agency's name.

 

3)         Beginning and ending dates of agreement.

 

4)         Description of personal property (where applicable, serial numbers should be included).

 

5)         Monthly and annual payment amounts, where applicable.

 

6)         Where the agreement is for more than one fiscal year, a subject to appropriation clause.

 

7)         Signature of lessor and authorized agency representative.

 

8)         Maximum or estimated amount to be paid, where applicable. (See Section 290.1203(e)).

 

9)         Execution date. (See Section 290.1203(c)).

 

10)       Bribery clause certification. (See Section 290.1203(b)).

 

11)       For multi-year agreements, the Governor's approval, where required by Section 35.7b, of the Civil Administrative Code of Illinois (Ill. Rev. Stat. 1987, ch. 127, par. 35.7b).

 

12)       The maximum or estimated annual amount, where subject to calculation.

 

13)       Federal Taxpayer Identification Number and legal status disclosure certification (See Section 290 Appendix B (16)).

 

14)       Bid-rigging/bid rotating certification, where applicable (See Section 290.1203 (k)).

 

15)       Educational loan certification (See Section 290.1203 (l)).

 

16)       Such other provisions as may be specifically required by law.

 

17)       Any other information deemed necessary or advisable by the agency or the Attorney General.

AGENCY NOTE:  These requirements also apply to multi-year lease, lease-purchase and installment purchase agreements for electronic data processing, telecommunications and duplicating equipment which are authorized by Section 5.1 of the Illinois Purchasing Act.

 

(Source:  Amended at 14 Ill. Reg. 5757, effective April 5, 1990)

 

Section 290.1207  Construction Contracts

 

a)         This category includes contracts for permanent improvements, highway and waterway construction, and similar construction.

 

b)         In addition to complying with Section 290.1203, construction contracts must contain:

 

1)         Vendor name and address.

 

2)         Agency name.

 

3)         Description of services.

 

4)         Location(s) where services are to be performed, where applicable.

 

5)         Contract time.

 

6)         Contract sum.

 

7)         Payment schedule.

 

8)         Bribery clause certification. (See Section 290.1203(b)).

 

9)         Execution date. (See Section 290.1203(c)).

 

10)         Signatures of contractors and authorized agency representative.

 

11)         Federal Taxpayer Identification Number and legal status disclosure certification (See Section 290.Appendix B (16)).

 

12)         Bid-rigging/bid rotating certification, where applicable (See Section 290.1203 (k)).

 

13)         Educational loan certification (See Section 290.1203 (l)).

 

14)         Such other provisions as may be specifically required by law.

 

15)         Any other information deemed necessary or advisable by the agency or the Attorney General.

 

(Source:  Amended at 14 Ill. Reg. 5757, effective April 5, 1990)

 

Section 290.1208  Contracts with Governmental Agencies

 

a)         Definition. This category includes contracts with other state agencies, units of local government and the federal government.

 

b)         Contracts with governmental agencies must contain:

 

1)         Name of governmental agency.

 

2)         Name of contracting agency.

 

3)         Description of services.

 

4)         Maximum or estimated amount to be paid, where applicable.  (See Section 290.1203(e)).

 

5)         The contract term where applicable.

 

6)         Payment rates, where applicable.

 

7)         Execution date. (See Section 290.1203(c)).

 

8)         Signatures of authorized agency representatives.

 

9)         Such other provisions as may be specifically required by law.

 

10)         Any other information deemed necessary or advisable by the agency or the Attorney General.

 

Section 290.1209  Purchase Orders and Similar Documents

 

a)         Definition

 

1)         This category is limited to documents involving the purchase of tangible personal property.  Purchase orders as that term is here defined may be only used for payments from the electronic data processing, commodities, telecommunications, printing, equipment, operation of automotive equipment, or lump sum line items.

 

2)         The fact that an agency labels a document a purchase order does not exempt it from meeting the criteria set forth in the applicable Sections 290.1204 through 290.1208, if the document pertains to a transaction that is generally evidenced by a contract or lease.

 

b)         Purchase orders must contain:

 

1)         Vendor's name and address.

 

2)         Description of property (where applicable serial numbers should be included).

 

3)         Amount to be paid (in some cases a specification of unit prices is acceptable).

 

4)         Agency name.

 

5)         Execution date.

 

6)         Signature of authorized agency representative, where applicable.

 

7)         Bribery clause certification.

 

8)         Federal Taxpayer Identification Number and legal status disclosure certification (See Section 290.Appendix B (16)).

 

9)         Bid-rigging/bid rotating certification, where applicable (See Section 290.1203 (k)).

 

10)         Educational loan certification (See Section 290.1203 (l)).

 

11)         Such other provisions as may be specifically required by law.

 

12)         Any other information deemed necessary or advisable by the agency or the Attorney General.

 

c)         Comptroller Approval. The format of purchase orders must be approved by the Comptroller.

 

(Source:  Amended at 14 Ill. Reg. 5757, effective April 5, 1990)

 

Section 290.1210  Renewals, Amendments or Cancellations

 

a)         Renewals, amendments or cancellations must be signed two-party agreements, unless otherwise provided in the original contract.  For example, if an existing contract is to be renewed for the next fiscal year, the renewal must be in writing and signed by both parties, unless the contract gives the State the right to renew unilaterally.  All renewals, amendments or cancellations must be filed with the Comptroller.

 

b)         All individuals employed by the State who are authorized by the State to approve changes to public contracts must, before granting such approval, obtain a determination in writing by the chief executive officer or his designee, of the State agency on whose behalf the contract was signed, that the circumstances said to necessitate the change in performance were not reasonably foreseeable at the time the contract was signed, were not within the contemplation of the contract as signed or are in the best interests of the unit of State or local government and authorized by law.  Such written determination shall be preserved in such contract's permanent file maintained by the State agency which shall be open to the public for inspection.  This provision shall only apply to change orders which authorize or necessitate an increase or decrease in either the cost of a public contract by $10,000 or more or the time of completion by 30 days or more.  For the purposes of this Section "public contract" means a contract for goods, services or construction with a vendor other than a unit of State or local government.

 

(Source:  Amended at 14 Ill. Reg. 5757, effective April 5, 1990)

 

Section 290.1211  Other Contracts

 

a)         Definition.  This category includes contracts not listed above.

 

b)         In addition to complying with Section 290.1203, contracts must contain:

 

1)         Vendor name and address.

 

2)         Agency name.

 

3)         Description of services.

 

4)         The contract term, where applicable.

 

5)         Location at which services are to be performed, where applicable.

 

6)         Maximum or estimated amount to be paid, where applicable.  (See Section 290.1203(e)).

 

7)         Payment rates, where applicable (if terms are "current rates" then the rate schedule must be attached where feasible).

 

8)         Signature of vendor and authorized agency representative.

 

9)         Execution date. (See Section 290.1203(c)).

 

10)         Bribery clause certification. (See Section 290.1203(b)).

 

11)         Federal Taxpayer Identification Number and legal status disclosure certification (See Section 290.Appendix B (16)).

 

12)         Bid-rigging/bid rotating certification, where applicable (See Section 290.1203 (k)).

 

13)         Educational loan certification (See Section 290.1203(l)).

 

14)         Such other provisions as may be specifically required by law.

 

15)         Any other information deemed necessary or advisable by the agency or the Attorney General.

 

(Source:  Amended at 14 Ill. Reg. 5757, effective April 5, 1990)

 

Section 290.1212  Enforcement

 

Whenever Section 9.01 of the Illinois Purchasing Act (Ill. Rev. Stat. 1979, ch. 127, par. 132.9a), Section 15 of the State Comptroller Act, or Section 9 of the State Finance Act (Ill. Rev. Stat. 1979, ch. 127, par. 145) requires a contract or lease to be filed with the Comptroller, and such contract or lease is not in substantial compliance with Sections 290.1203 through 290.1211 of this part, the Comptroller shall refuse to issue any warrant for payment thereunder.

 

Section 290.APPENDIX A  Suggested Provisions

 

The provisions set forth below are suggested only.  It is recommended that agencies review their contractual agreements to ascertain whether inclusion of any of the below listed provisions would be beneficial.

 

a)         Termination

 

1)         In many cases it is advisable to provide for termination after written notice.  Suggested language is set forth below:

 

This contract may be terminated by either party upon ______days written notice.  Upon termination the Vendor shall be paid for work satisfactorily completed prior to the date of termination.

 

2)         The following alternative termination provision should be used where the final product to be produced is the principal object of the contract and the preliminary drafts or reports would be substantially useless:

 

This contract may be terminated by either party upon ______days written notice.  Upon termination the Vendor shall be paid for useable work completed to the satisfaction of the State prior to the date of termination.

 

b)         Work Product

In cases where the contractor will produce a written document it is advisable to specify that the work product is the property of the State.  Suggested language is set forth below:

All documents including reports and all other work products produced by the Vendor under this Contract, shall become and remain the property of the State.

 

c)         Travel Expenses

Where applicable the following provision may be used for travel expenses:

 

The vendor shall be reimbursed for necessary travel expenses incurred in fulfilling his obligations under this contract.  Such expenses shall be reimbursed at the rates and for the purposes applicable to employees of the Department.

 

d)        Unlawful Discrimination

 

1)         Suggested language for unlawful discrimination provisions is set forth below:

 

A)        Vendor agrees not to commit unlawful discrimination in employment in Illinois as that term is used in Article 2 of the Illinois Human Rights Act (Ill. Rev. Stat. 1987, ch. 68, par. 1-101 et seq.) and further agrees to take affirmative action to ensure that no unlawful discrimination is committed.

 

B)        Vendor agrees to comply with "An Act to prohibit discrimination and intimidation on account of race, creed, color, sex, religion, physical or mental handicap unrelated to ability, or national origin in employment under contracts for public buildings or public works", (Ill. Rev. Stat. 1987 ch. 29, par. 17 et seq.). The provisions of this Act are made a part of this contract by reference as though set forth in full herein.

 

2)         Where the contract is wholly or partially funded with federal financial assistance, the following provision may also be included:

 

Vendor agrees that, if it receives funds which are wholly or partially allotted to the State of Illinois, Department (or division, office, bureau, district) of _______, from Federal financial assistance, it shall comply with Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794).  The provisions of that Section are made a part of this contract by reference as though set forth in full herein.

 

e)         Federal Taxpayer Identification Number (TIN):  Agencies are required by the Internal Revenue Service to provide the following instructions to vendors for use in completing the certification provided in Section 290.Appendix B (16)):

 

Enter your taxpayer identification number in the appropriate space. For individuals and sole proprietors, this is your social security number. For other entities, it is your employer identification number.  Federal Employer Identification Numbers (FEINs) must not be used for sole proprietorships.

 

If you do not have a TIN, apply for one immediately.  To apply, get Form SS-5, Application for a Social Security Number Card (for individuals) from your local office of the Social Security Administration, or Form SS-4, Application for Employer Identification Number (for businesses and all other entities), from your local Internal Revenue Service office.

 

To complete the certification if you do not have a TIN, fill out the certification indicating that a TIN has been applied for, sign and date the form, and return it to this agency.  As soon as you receive your TIN, fill out another such form including your TIN, sign and date the form, and give it to this agency.

 

If you fail to furnish your correct TIN to this agency, you are subject to an IRS penalty of $50 for each such failure unless your failure is due to reasonable cause and not to willfull neglect.

 

WILLFULLY FALSIFYING CERTIFICATIONS OR AFFIRMATIONS MAY SUBJECT YOU TO CRIMINAL PENALTIES INCLUDING FINES AND/OR IMPRISONMENT.

 

(Source:  Amended at 14 Ill. Reg. 5757, effective April 5, 1990)

 

Section 290.APPENDIX B  Contract Format

 

A sample contract format is set forth below.  This is for purposes of illustration only.

 

 

 

This contract, made and entered by and between the State of Illinois, Department of ______________________(Division, Office, Bureau, District), and (Vendor) of (Address) hereinafter called "Vendor".

 

(1)        Services:  The Vendor agrees to provide: (Here describe goods or services and locationat which to provided).

 

(2)        Compensation:  The State will pay the Vendor as follows:

 

A.        For lump sum payment: $ ____________ will be paid to the Vendor upon final acceptance of the above stated goods or services by the State.

B.        At the rate of $ ____________ per (hour, day, month or other unit).

 

(3)        Expenses:  (Where applicable)

The Vendor shall be reimbursed for necessary travel expenses incurred in fulfilling obligations under this contract.  Such expenses shall be reimbursed at the rates and for the purposes applicable to employees of the Department. Total travel expenses shall not exceed $ ________.

 

(4)        Contract Amount:  (Where applicable)

 

The maximum amount payable under this contract is $ __________.

 

or

 

The estimated amount payable under this contract is $ ___________.

 

(5)        Billing:  The Vendor shall (monthly, after completion of services) submit a bill for services rendered.  Bills shall include detailed information as to the services performed and any expenses billed shall be itemized in accordance with applicable State Regulations.

 

(6)        Term:  The term of this contract shall be for the period commencing _______________, 19____, and shall terminate on ____________________, 19____.

 

(General Provisions)

 

(7)        Appropriation:  Obligations of the State will cease immediately without penalty of further payment being required if in any fiscal year the Illinois General Assembly or Federal funding source fails to appropriate or otherwise make available sufficient funds for this agreement.

 

(8)        Certification:  The Vendor certifies that it is not barred from being awarded a contract or subcontract under Section 10.1 of The Illinois Purchasing Act (Ill. Rev. Stat. 1987, ch. 127, par. 132.10-1).

 

(9)        Termination:  This contract may be terminated by either party upon _________ days written notice.  Upon termination the Vendor shall be paid for work satisfactorily completed prior to the date of termination.

 

(10)      Work Product:  All documents, including reports and all other work products produced by the Vendor under this contract, shall become and remain the property of the State.

 

(11)      Laws of Illinois:  This contract shall be governed in all respects by the laws of the State of Illinois.

 

(12)      Unlawful Discrimination:  

 

A.        Vendor agrees not to commit unlawful discrimination in employment in Illinois as that term is used in Article 2 of the Illinois Human Rights Act (Ill. Rev. Stat. 1987 ch. 68, par. 1-101 et seq.) and further agrees to take affirmative action to ensure that no unlawful discrimination is committed.

 

B.        Vendor agrees to comply with "An Act to prohibit discrimination and intimidation on account of race, creed, color, sex, religion, physical or mental handicap unrelated to ability, or national origin in employment under contracts for public buildings or public works", (Ill. Rev. Stat. 1987 ch. 29, par. 17 et seq.). The provisions of this Act are made a part of this contract by reference as though set forth in full herein.

 

(13)      Subcontractor Disclosure:  (Consultant Services Only) Vendors will not utilize the services of a subcontractor to fulfill obligations under this contract, (or list of subcontractors and amount of payment to each subcontractor).

 

(14)      Conflict of Interest:  Vendor agrees to comply with the provisions of the Illinois Purchasing Act prohibiting conflict of interest (Ill. Rev. Stat. 1987, ch. 127, pars. 132.11-1 through 132.11-5) and all the terms, conditions and provisions of those Sections apply to this contract and are made a part of this contract the same as though they were incorporated and included herein.

 

(15)      Bid-rigging/bid rotating certification:  The contractor 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 Criminal Code of 1961 (Ill. Rev. Stat. 1988 Supp., ch. 38, pars. 33E3 or 33E4).

 

(16)      Federal Taxpayer Identification Number and legal status disclosure certification:

 

Under penalties of perjury, I certify that ______________ is my correct Federal Taxpayer Identification Number.  I am doing business as a (please check one):

 

Individual	Real Estate Agent
Sole Proprietorship	Government Entity
Partnership	Tax Exempt Organization (IRC 501(a) only)
Corporation
Not-for-profit Corporation	Trust or Estate
Medical and Health Care Services Provider Corporation
	Signed	Date

 

(17)      Educational Loan Certification:  The contractor certifies that it is not in default on an educational loan as provided in Section 30-15.12 of the School Code.

 

IN WITNESS WHEREOF, the parties hereto have caused this contract to be executed by their duly authorized representatives.

 

VENDOR							State of Illinois
By:							Department of
Address							By:
City							Date:
Date:

 

(An alternative to dating signatures is to use the clause set forth below)

 

IN WITNESS WHEREOF, the parties have caused this contract to be executed by their duly authorized representatives this _________day of ____________________,19______.

 

(Source:  Amended at 14 Ill. Reg. 5757, effective April 5, 1990)

 

Section 290.APPENDIX C  Late Filing Affidavit

 

Submitting Agency:

 

Division:

 

Address:

 

Vendor:

 

Address:

 

Contract:

 

)

State of Illinois                        )          SS

County of                                )

)

 

I ______________, being duly sworn, solemnly (swear) (affirm) that:  I am (give official title and office of affiant).

 

The attached contract was not filed within 30 days of execution because:

 

 

I am duly authorized to make this affidavit.  This affidavit is made pursuant to and in fulfillment of the requirements of Section 15 of the State Comptroller Act.  I know and understand the contents of this affidavit, and all statements herein are true and correct.

 

		Signature of Affiant
Subscribed and sworn before me this			day of		, 19		.

 

(Seal)
	Notary Public
	My Commission Expires:

 

(Source:  Added at 7 Ill. Reg. 5419, effective April 13, 1983)

 

Section 290.APPENDIX D   Professional or Artistic Services Affidavit

 

Submitting Agency:

 

Division:

 

Address:

 

Vendor:

 

Address:

 

Contract:

 

)

State of Illinois                        )          SS

County of                                )

)

 

I ______________________, being duly sworn, solemnly (swear) (affirm) that:  I am (give official title and office of affiant).  The professional or artistic services specified in the attached contract were agreed to by this agency and the vendor prior to commencement of the services and the contract was not reduced to writing before the services commended because:  

 

The attached contract was not filed within 30 days of execution because:

 

I am duly authorized to make this affidavit.  This affidavit is made pursuant to and in fulfillment of the requirements of Section 15 of the State Comptroller Act.  I know and understand the contents of this affidavit, and all statements herein are true and correct.

 

		Signature of Affiant
Subscribed and sworn before me this			day of		, 19		.

 

(Seal)
	Notary Public
	My Commission Expires:

 

(Source:  Added at 7 Ill. Reg. 5419, effective April 13, 1983)