HomeMy WebLinkAboutIowa Homeland Security and Emergency Management Division-11/21/2011 (2)Iowa Homeland Security & Emergency Management Division FFY 2011 Homeland Security Grant Program
EMW-2011-SS-00071-S01- 19 October 19, 2011
GRANT AGREEMENT
Between
Iowa Homeland Security and Emergency Management Division (HSEMD)
And
The Waterloo Police Department On Behalf Of Law Enforcement Intelligence Network
(LEIN) Region 2
Grant Number: [EMW-2011-SS-00071-S01-19]
CFDA#: 97.067
PROGRAM DESCRIPTION/SCOPE OF WORK
This AGREEMENT provides federal grant assistance to the Waterloo Police Department on
behalf of the Regional Information Sharing Office (RISO) 2 from the Federal Fiscal Year
(FFY) 2011 Homeland Security Grant Program (HSGP). The SUBGRANTEE, will receive
grant funding from the State Homeland Security Program (SHSP) Statewide National
Infrastructure Protection Plan Investment(s) in the amount of $68,477.14 to perform the scope of
work for the Investment described in the Initial Strategy Implementation Plan (ISIP), the budget
plan, and work plan approved by HSEMD.
Addendums to this agreement provide details and clarifications regarding the approved
scope of work, initial budget, and special conditions defined by the FEMA Grant Programs
Directorate and HSEMD and are enforceable as part(s) of the entire grant agreement.
These Addendums are: 1 - Scope of Work) and 2 - Special Terms and Conditions.
The recipient agrees that funds utilized are to support state and national priorities specified and
activities associated with the same. By engaging in such activities during the approved period of
performance, October 1, 2011 to June 30, 2013, the SUBGRANTEE also supports the national
target capabilities as defined in Addendum 1.
AGREEMENTS
HSEMD will provide financial oversight and management in the role of the GRANTEE as
described in the grant guidance, the grant financial guide, and other State and Federal guidelines.
As the GRANTEE, HSEMD will provide technical assistance and direction to the
SUBGRANTEE on programmatic and financial requirements. In addition, HSEMD will also
provide all appropriate documents, forms, and make payments to the SUBGRANTEE provided
activities adhere to the approved scope of work.
The GRANTEE is responsible for monitoring SUBGRANTEE activities to provide reasonable
assurance that activities are in compliance with federal and state requirements. Responsibilities
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include the accounting of receipts and expenditures, cash management, the maintaining of
adequate financial records, and the refunding of expenditures that are not eligible and/or
allowable.
To ensure compliance, the GRANTEE will perform periodic monitoring visits to ensure that the
program goals, objectives, timelines, budgets, and other related program criteria are being met by
the SUBGRANTEE. Monitoring will involve the review and analysis of financial,
programmatic, and administrative issues relative to each program. If issues exist, the
GRANTEE will identify areas where technical assistance and other support may be needed,
such as direct support or assistance from the Iowa Department of Public Safety, Division of
Intelligence and/or the Iowa Intelligence Fusion Center, as lead agency for intelligence fusion
and oversight. In the event funds are further sub -awarded; the SUBGRANTEE assumes the
same monitoring responsibilities as the GRANTEE.
The SUBGRANTEE and the SUBGRANTEE's AUTHORIZED REPRESENTATIVE will
execute this Grant Agreement on behalf of The SUBGRANTEE. Parties agree to provide all
supervision, inspection, accounting, and other services necessary to complete the scope of work
for the Investments from inception to closeout with the requirements set forth below. Following
are authorities and references to be followed during the performance period.
I. AUTHORITIES AND REFERENCES
The SUBGRANTEE will become familiar with and comply with the following Authorities
and References in the administration of this grant:
1. Administrative Requirements: Code of Federal Regulations (CFR)
A. 44 CFR Part 13, Uniform Administrative Requirements for Grants and Cooperative
Agreements to State and Local Governments;
B. 44 CFR Part 14, Administration of Grants: Audits of State and Local governments;
C. 2 CFR Part 215, Uniform Administrative Requirements for Grants and Agreements
with Institutions of Higher Education, Hospitals, and Other Non -Profit Organizations
(OMB Circular A-110);
D. 44 CFR Part 10, Environmental Considerations;
E. 44 CFR, Part 7, Non-discrimination in Federally Assisted Programs;
F. 44 CFR Part 17, Government -wide debarment and suspension (non -procurement) and
government wide requirements for drug-free workplace (grants);
G. 44 CFR, Part 18, New Restrictions on Lobbying.
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H. 28 CFR 23.1-20, Criminal Intelligence Operating Systems Operating Policies (E.O.
12291)
2. Cost Principles: CFR, Office of Management and Budget (OMB)
A. 2 CFR, Part 220, Cost Principles for Educational Institutions (OMB Circular A-21)
B. 2 CFR Part 225, Cost Principles for State, Local, and Indian Tribal Governments
(OMB Circular A-87)
C. 2 CFR, Part 230, Cost Principles for Non -Profit Organizations (OMB Circular A-122)
D. 8 CFR 31.2, Federal Acquisition Regulations (FAR), Contracts with Commercial
Organizations
3. Audit Requirements: OMB, U.S. Department of Homeland Security (DHS) and DHS
Office of Grant Operations
A. OMB Circular A-133, Audits of States, Local Governments, and Non -Profit
Organizations
B. OGO Financial Management Guide (2006)
C. DHS HSGP Guidance (FFY 2011)
4. Operational Requirements: Iowa Department of Public Safety Operating Manual, 48-
01.01, Division Of Intelligence (DOI) Intelligence Policy on Policy, Privacy, Civil Rights
and Liberties, Sept. 10, 2010. (LEIN Regional Information Sharing Offices and Law
Enforcement Agencies only).
5. Special Terms and Conditions
A. DHS --- State of Iowa Agreement EMW-2011-SS-00071-S01: Other applicable
requirements, to include Environmental and Historical Preservation, outlined as Special
Conditions under the DHS FEMA GPD award to the State of Iowa. See Addendum 2.
B. Iowa Code, Section 8.11: Pursuant to 2008 Iowa Acts, HF 2393, all grant applications
submitted to the State of Iowa beginning January 1, 2009 shall include a Minority Impact
Statement. This is the state's mechanism to require grant applicants to consider the
potential impact of the grant project's proposed programs or policies on minority groups.
C. Caveats for Intelligence Fusion Office, Regional Information Sharing Operation
Integration See Addendum 2 (LEIN Regional Information Sharing Offices and Law
Enforcement Agencies only).
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Failure of SUBGRANTEE to follow these authorities and references may result in
termination of this AGREEMENT. Termination can occur at any point during the
performance period.
II. PERFORMANCE PERIOD
The approved performance period for this grant is from October 1, 2011 to June 30,
2013. All work must be completed prior to the performance period ending. The
SUBGRANTEE shall not incur costs or obligate funds pertaining to the operation of the
project, program, or activities beyond the expiration date of the period of performance.
If a time extension is needed it must be requested at least 90 days prior to the
performance period end date. All requests must be supported by adequate justification
and submitted to HSEMD to be processed. The justification is a written explanation of
the reason(s) for the delay, an outline of remaining funds available for the investment,
and a description of performance measures necessary to complete the project. Without
justification, extension requests will not be processed. HSEMD will provide the `Request
for Time Extension' form.
Upon completion of the performance period, the SUB -GRANTEE has a 90 -day closeout
period, during which payment requests, supporting documentation, a final performance
report, equipment status report, and any other items associated with the grant must be
submitted to, and received by, HSEMD. No payment will be issued for items submitted
after the closeout ending date.
III. GRANT MANAGEMENT SYSTEM
To ensure that federal funds are awarded and expended appropriately, the
SUBGRANTEE will establish and maintain a grant management system. The standards
for the SUBGRANTEE organizations can be found in the Office of Management and
Budget's (OMB) uniform administrative requirements and cost principles. State, local
and tribal organizations must follow the uniform administrative requirements standards in
OMB Circular A-102, and cost principle standards in OMB Circular A-87.
Allowable costs are also identified in the OGO Financial Management Guide, and the
FFY 11 Homeland Security Grant Program Guidance. In addition, audit standards are
provided within OMB Circular A-133. The requirements of the Federal Cash
Management Improvement Act constitute the basis for all policies, processes, and
procedures set forth in this grant management system for the SUBGRA I'EE.
The GRANTEE will institute an automated, web -based, grants management system and
will enable SUBGRANTEE utilization of the same.
The SUBGRANTEE's grant management system must include:
• upload of budgets, work plans, and all other grants -related documents
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• internal controls based on the American Institute for Certified Public Accountants
(AICPA) definitions and requirements
• a chart of accounts that includes a separate cost center, fund, or accounting codes
for each federal grant or program (i.e. SHSGP, Citizen Corp)
• be in compliance with the Cash Management Improvement Act (CMIA), and
good business processes
• procedures to minimize federal cash on hand
• the ability to track expenditures on hand or on a cash basis
• the ability to create SUBGRANTEE Budget Details base on the SUBGRANTEE
Budget and approved scope of work
• the ability to track expenditures in both financial and program budgets
• procedures to document all grant -related expenditures, broken down by Program,
Investment and Solution Area, and Project
• procedures to ensure expenditures are eligible and allowable
• the ability to fulfill government -required financial reporting forms
The SUBGRANTEE is required to develop a SUBGRAN 1'EE Budget that is based on the
approved Investment Work Plans and Scope of Work. This process will break down each
Investment or Project by program and identify costs within the solution areas. Budget
development assistance will be provided by HSEMD to the SUBGRAN 1'EE. Budget
approval by HSEMD is required prior to obligation or expenditure of grant funds. To
ensure funding, the SUBGRANTEE must submit an initial budget and work plan within
90 days of its notification of award. Late submittal may result in de -obligation,
reduction, or reallocation of funds. SUBGRANTEE will be provided with a 30 Day
notice prior to changes by the GRANTEE.
IV. GRANT AWARD and AMENDMENTS
The SUBGRANTEE will perform an agreed upon scope of work, which shall align with
the Funding Opportunity and any original Investment. Any change to the scope of work
must be approved by HSEMD in writing prior to executing changes. Budget revisions
also require written approval by HSEMD to ensure compliance with federal guidelines. If
the SUBGRANTEE anticipates unexpended funds during the performance period, that
information and the associated amount must be reported to HSEMD. This will also be the
practice for disposition instructions.
This agreement is subject to amendment by addendum. Amendment will require advance
notice to both parties and must have mutual agreement of the grantee and sub grantee.
Under an amendment to one scope of work does not influence any other portion of the
agreement. The entire agreement remains otherwise unaltered except in such instance as
awarded amount to an investment area were increased or decreased In such a case the
sub -totals and total award will require amendment.
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V. PROCUREMENT
This AGREEMENT requires that all procurement is executed by the SUBGRANTEE.
Procurement standards must be in accordance with the written adopted procedures of the
SUBGRANTEE, as long as, the local procurement standards conform to applicable State
and Federal law. Procurement standards must also conform to the standards identified in
the 44 CFR, Part 13.36, and OGO 2006 Financial Management Guide (Chapter 11 —
Procurement). The SUBGRANTEE will ensure that every purchase order or contract
includes all clauses required by Federal statutes, executive orders, and other regulations.
The SUBGRANTEE must submit copies of bid and contract documents to HSEMD, in
care of the Homeland Security Grant Programs Officer, prior to awarding or executing
contracts. No contract will be honored without HSEMD prior review, and approval.
VL AUDIT
SUBGRANTEE must comply with the audit requirements of the Single Audit Act
Amendments of 1996 and Office of Management and Budget (OMB) Circular A-133.
VIII. PAYMENT REQUEST PROCESS
The SUBGRAN 1'EE may submit a payment request prior to an anticipated expenditure or
disbursement. Grant revenue received by the SUBGRANIEE must be placed in an
interest-bearing account and is subject to the rules outlined in the Uniform Rule 44 CFR
Part 13. The SUBGRANTEE may keep interest earned on Federal grant funds up to
$100 per fiscal year. This maximum limit is not per award; it is inclusive of all interest
earned as a result of all federal grant funds received per year. SUBGRANTEEs are
required to report all interest earned to the GRANTEEE each quarter. HSEMD will
provide instructions to the SUBGRANTEE for the disposition of reported interest earned.
Payments to SUBGRAN 1'EE are based on eligible expenditures that are specifically
related to the grant budget that is pre -authorized by the GRANTEE. Pre -authorization
occurs when HSEMD approves the SUBGRANTEE's Budget Detail from an approved
scope of work. Payment requests must be made via www.iowagrants.gov, HSEMD's
2011 HSGP Payment Request Form. An electronic version of this document will be
provided by the GRANTEE.
SUBGRANTEEs can request reimbursement for allowable expenditures already paid, or
request an advance on expenditures expected to be paid within 30 days. Each payment
request must be for one specific HSGP program (SHSP, CCP and MMRS) and one
specific investment, but can include more than one (1) Solution Area.
Reimbursement requests must include payment verification (i.e. paid invoices, receipts,
payroll records with personnel activity reports, cancelled checks, general ledger print
outs, etc.). Advance payment requests must include a detailed cost estimate (i.e.
invoices, quotes, or other documents). Payment verification documents (same documents
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required for a Reimbursement Request) for the advance must be submitted to HSEMD
before future advances are made.
No more than thirty (30) days should elapse between the date of receipt of a state warrant
for Advance and payout of the funds by the SUBGRANTEE. All supporting
documentation for disbursement of advanced funds must be submitted to HSEMD
immediately following the SUBGRANTEE's payout of funds. Failure to submit
supporting documentation may result in funds being held for future payment requests,
until the supporting documentation is received.
Required documents prior to Payments from HSEMD. Payment of funds will not be
made to a SUBGRANTEE until HSEMD has on file the following documents:
• Data Universal Numbering System (DUNS) Number.*
• HSEMD Approved Scope of Work, Project/Work Plans
• HSEMD Approved Budget
• Original executed Grant AGREEEMENT (signed by all parties)
• Original executed AGREEMENTS Amendments (if applicable)
• Authorized Representative Documentation (assignment of fiscal officer, signed by
CEO or Chairperson)
• Substitute W9/Vendor Update Form (if not already on file at HSEMD)
• Chart of Accounts verification (unique revenue and expenditure accounts for each
separate grant program included in this AGREEMENT)
• Procurement Procedures, method of procurement documented (local government
procedures, verification and or certification that state and federal rules and
regulations are followed
• HSEMD Contract Review and Approval (all bids and contracts must be reviewed
by HSEMD staff prior to execution)
• State Iowa Minority Impact Statement
• Written Designation of Authorized Representative (if any)
• This requirement is a new federal provision as of FFY 2011, under OMB Circular
A-133.
1X. REPORTING REQUIREMENTS
The FFY2011 Homeland Security Grant Program requires biannual financial reporting
and progress relative to the approved scope of work. The Biannual Strategy
Implementation Report (BSIR) will update information on obligations, expenditures, and
progress made on investments identified in the Initial Strategy Implementation Plan
(ISIP) and will include an update of all information submitted in that report. HSEMD is
responsible for the ISIP and BSIR reports. SUB -GRANTEES are required to submit
quarterly progress reports that provide information to be included, and assist HSEMD
staff in updating the BSIR. The reports will be provided to the SUB -GRANTEES by
HSEMD. Reports are due on Jan 15, April 15, July 15, and Oct 15, following the end of
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each federal fiscal year quarter, which is Oct -Dec, Jan -Mar, April -June, and July -Sept.
HSEMD may require additional reporting information from the SUBGRANTEE, with
written notice.
Following each exercise, the SUBGRANTEE shall submit to HSEMD an HSEEP
Exercise Reporting Form available on the HSEMD website at:
http://www. iowahomel andsecurity.org/asp/programs/Exercise/Reporting.asp)
Reimbursement of exercise costs may be held by the GRANTEE, pending receipt of
these reports.
X. EQUIPMENT
Equipment purchased by the SUBGRANTEE is the property of the SUBGRANTEE or
another legal jurisdiction approved by the SUBGRANTEE in accordance with the scope
of work of this AGREEMENT. The SUBGRANTEE must maintain a listing of all
equipment acquired through this AGREEMENT that includes the following: the owning
jurisdiction, the equipment description, the equipment value or purchase price, the
equipment identification number, the address location of the equipment. Costs associated
with the issuance and transfer of title and registration shall be the sole responsibility of
the owning jurisdiction.
The SUBGRANTEE will ensure that all jurisdictions owning equipment under this
AGREEMENT are informed of the disposition requirements of federal regulations and
guidance included in this agreement. All jurisdictions owning equipment through the
execution of this AGREEMENT must certify to the SUBGRANTEE that they have a
control system in place to prevent loss, damage, or theft of the property.
Following notification to the SUBGRANTEE that the grant programs included in this
AGREEMENT have closed, equipment procured under this AGREEMENT with the
current per unit fair market value of less the $5,000 may be retained, sold or otherwise
disposed of with no further obligation to the awarding agency. However, equipment with
a current per unit fair market value greater than $5,000 must receive disposition
instructions from HSEMD prior to any action taken by the owning jurisdiction to transfer
ownership, sell or dispose of the equipment.
XI. TERMINATION
Either the SUBGRANTEE or HSEMD may terminate this AGREEMENT by giving
written notice to the other party at least thirty (30) calendar days before the effective date
of the termination. All notices are to be transmitted via registered or certified mail, return
receipt requested. The SUBGRANTEE.'s authority to incur new costs will be terminated
upon receipt of the letter or the date set forth in the notice. Any costs incurred earlier
than the date of receipt of the notice or the date of termination set forth in the notice will
be negotiated for final payment.
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XII. OTHER TERMS AND CONDITIONS
Waivers: No conditions or provisions of this AGREEMENT can be waved unless
approved by HSEMD and the SUBGRANTEE in writing. Unless otherwise stated in
writing, HSEMD's failure to insist upon strict performance of any provision of this
AGREEMENT, or to exercise any right based upon a breach, shall not constitute a waiver
of any right or obligation specified under this AGREEMENT.
XIII. AMENDMENTS AND MODIFICATIONS
This AGREEMENT may be amended when both parties agree to said changes in writing.
Changes may include, but are not limited to: grant funds provided, administrative
procedures, extension of the performance period due to extenuating circumstances, or any
other necessary matter.
XIV. NON -SUPPLANTING
SUBGRANTEE shall ensure that federal funds made available under this award will not
be used to supplant state or local funds, but will be used to increase the amounts of such
funds for homeland security preparedness.
XV. COMPLIANCE, TERMINATION, AND OTHER REMEDIES
Unless otherwise stated in writing, HSEMD requires strict compliance by the
SUBGRANTEE with the terms of this AGREEMENT and the requirements of any
applicable local, State or Federal statutes, rules, laws, or regulations. (44 CFR 13.43)
HSEMD may suspend or terminate, through written notice, any obligation to provide
funding to the SUBGRANTEE and demand return of any unused grant funds in the
possession of the SUBGRANTEE, if the SUBGRANTEE and/or AUTHORIZED
REPRESENTATIVE fails to meet any obligations under this AGREEMENT or fails to
make satisfactory process toward administration or completion of scope of work.
The SUBGRANTEE understands and agrees that HSEMD may enforce the terms of this
AGREEMENT by any combination or all remedies available to HSEMD under this
AGREEMENT, or under any other provision of law, common law, or equity.
XVI. INDEMNIFICATION
It is understood and agreed by HSEMD and SUBGRANTEE and/or it's agent that this
AGREEMENT is solely for the benefit of the parties to the GRANT and gives no right to
any other party. No joint venture or partnership may be formed as a result of this
AGREEMENT.
The SUBGRAN IEE, on behalf of itself and its successors and assigns, agrees to protect,
save and hold harmless HSEMD, the State of Iowa, and their authorized agents and
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employees, from all claims, actions, costs, damages, or expenses of any nature
whatsoever by reason of the negligent acts, errors, or omissions of the SUBGRAN 1.bE.
This likewise applies to the SUBGRANTEE' S authorized representative(s), its
contractors, subcontractors, agents, licensees, or other such person associated with the
SUBGRANTEE in connection with this AGREEMENT. The SUBGRANTEE's
obligation to protect, save, and hold harmless as herein provided shall not extend to
claims, actions, costs, damages, or expenses caused by, or resulting from, the negligent
acts, errors, or omissions of HSEMD, the State of Iowa, or any of their authorized agents
or employees.
The SUBGRANTEE further agrees to defend HSEMD, the State of Iowa, and their
authorized agents and employees against any claim or cause of action, or to pay
reasonable attorney's fees incurred in the defense of any such claim or cause of action, as
to which the SUBGRANTEE is required to protect, save or hold harmless said parties
pursuant to Paragraph 2 of this part. The SUBGRAN I EE's obligation to defend, or to
pay attorney's fees for the defense of such claims or causes of action as herein provided,
shall not extend to claims or actions, costs, damages, or expenses caused by or resulting
from the negligent acts, errors, or omissions of HSEMD, the State of Iowa, or any of their
authorized agents or employees.
XVII. ACKNOWLEGEMENTS
The SUBGRAN 1 h shall include in any public or private release of information
regarding the grant, language that acknowledges the funding contribution of HSEMD and
the Department of Homeland Security.
XVIIL INDEPENDENT CONTRACTOR STATUS OF APPLICANT
The SUBGRANTEE, its officers, employees, agents and council members shall all
perform their obligations under this AGREEMENT as an independent contractor and not
in any manner as officers, employees, or agents of HSEMD or The State of Iowa.
HSEMD shall not withhold on behalf of any officer, employee, city council/board
member, or agent, or pay on behalf of any such person, any payroll taxes, insurance, or
deductions of any kind from the funds paid to the SUBGRANTEE for administrative
purposes.
XIX. GOVERNING, LAW, VENUE AND SEVERABILITY
The laws of Iowa shall govern this AGREEMENT and venue for any legal action
hereunder shall be in the Polk County District Court of Iowa. If any provision under this
AGREEMENT or its application to any person or circumstances is held invalid by any
court of rightful jurisdiction, said invalidity does not affect other provisions of this
AGREEMENT which can be given effect without the invalid provision.
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XX. NOTICES
The SUBGRANTEE shall comply with all public notices or notices to individuals as
required by applicable State and Federal laws, rules, and regulations and shall maintain a
record of such compliance.
XXL COMMUNICATIONS BETWEEN HSEMD AND SUBGRANTEE
All communications to the SUBGRANTEE by HSEMD shall be through the Authorized
Representative. The SUBGRANTEE shall provide HSEMD the Name, address,
telephone number, and email address of the Authorized Representative.
All communications to HSEMD by the SUBGRANTEE shall be through:
Lynda J. Wessel
Iowa Homeland Security and Emergency Management Division
7105 NW 70th Avenue.
Camp Dodge, Bldg W4
Johnston, IA 50131
Telephone Number 515-725-3259
Email Address: lynda.wessel(aiowa.gov
XXII. ENTIRE GRANT AGREEMENT
This document sets forth the entire AGREEMENT between HSEMD and the
SUBGRANTEE with respect to the subject matter hereof. Commitments, warranties,
representations and understandings or agreements not contained, or referred to, herein, or
amendment thereto, shall not be binding on either HSEMD or the SUBGRAN
Herein no alteration of any of the terms or conditions of this AGREEMENT will be
effective without written consent of both parties, unless expressly provided.
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XXIII. CERTIFICATION
Signature of this AGREEMENT certifies that all parties have read and understand the FFY 2011
Grant Guidance, and the entirety of this AGREEMENT. IN WITNESS WHEREOF, HSEMD,
the SUBGRANTEE, and the AUTHORIZED REPRESENTATIVE have executed this
AGREEMENT by the signatures of authorized persons of the entities and on the date below.
Iowa Homeland Security and Emergency SUBGRANTEE
Management Division:
J. Derek Hill
Administrator
c1,,C►�W
Name, Title, Agency
Date Signature
SUBGRANTEE's
Authorized Representative
NovLrnIlvow'
Date
Funded Entity Chair or Representative
Name, Title, Agency Name, Title, Agency
Signature Signature
Date
Date
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Addendum 1: Scope of Work
Investment #17
Investment Name: Intelligence and Information Sharing
1. Investment description
Provide a description of this Investment, including the planning, organization, equipment,
training, and/or exercises that will be involved. (2,500 char. max)
The organizational and planning costs in this investment support the Iowa Division of
Intelligence & Fusion Center (DOI/FC) to sustain and add positions through July 2014.
These positions within DOI/FC will allow for greater analysis of information being sent
to DPS for purposes of identifying potential threats in Iowa from all crimes including
terrorism. This is a core function of DPS as the state fusion center. The investment also
supports positions in the regional offices, along with travel costs at the state and local
level. The positions include intelligence analysts.
Equipment purchased through this investment will be for surveillance for use by Iowa's
Regional Information Sharing Offices (RISO), and will be found in the Information
Technology category of the AEL, to include supplies, cameras, and radio equipment.
The personnel funded under this investment will provide the following outputs:
• Develop, implement & support plans for private sector outreach, privacy &
dissemination.
• Develop & implement coordinated capability allowing for 24/7 statewide
suspicious activity reporting; alerts, warnings & notifications for situational
awareness.
• Increase coordinated dissemination & collaboration among federal, state, local
& tribal agencies, & increase connectivity between other State & Major Urban
Area Fusion Centers, DHS, FBI & RISO.
• Increase collaboration among homeland security Critical Infrastructure/Key
Resource (CIKR) sectors through Liaison between RISO &
CIKR partners in the DOI/FC.
• Train fusion center & regional office personnel to achieve multi -disciplinary
capabilities to become a center of analytic excellence.
Participate in law enforcement intelligence meetings & coordinate between IFC & RISO
to assure Information Sharing.
• Coordinate with the DOI/FC & RISO to provide a consistent outreach in support
of Iowa Emergency Management, Fire & private sector meetings.
• Increase participation in Information Sharing submissions & provide timely
publications in a consistent manner & format to strengthen the Information
Sharing avenues between the RISO, DOI/FC, & other partners.
• Support information sharing by implementing the DOI/FC HSIN portal to
include training & workshop sessions.
2. Goals and Objectives
Identify the goals and objectives in your State and/or Urban Area Homeland Security
Strategy Supported by this Investment. (1,500 char. max)
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This investment is focused on enhancing a fusion system that strengthens information
sharing among public and private sector partners. The following areas align with the Iowa
Homeland Security Strategy.
Goal 2: Protect People and property from the consequences of hazards and threats.
2.1 Strengthen Iowa's fusion system and ensure that information is disseminated rapidly,
on a need to know basis to all partners.
2.1.2 Include multiple disciplines into Fusion Center information sharing.
2.1.4 Plan, train on and exercise communication and information sharing processes
between Fusion Centers and local/county/State emergency operations centers.
2.1.7 Continue to develop and integrate the Fusion System process throughout Iowa in
accordance with the guidelines outlined in the Fusion Center Guidelines document and
the Standards identified within the Fusion Center Standards support documents.
2.1.8 Implement a system for Suspicious Activity Reporting in the State of Iowa.
2.2 Develop an inclusive Iowa -specific Information Sharing Environment that includes
partners from all levels of government, first responders and sector specific partners:
2.2.1 Develop an Iowa -specific Information Sharing Environment and Information
Sharing Strategies to provide a roadmap for how stakeholders should efficiently and
effectively communicate prior to, during and after disasters strike.
3. Target Capabilities
Target Capability 1: Information Gathering and Recognition of Indicators and Warnings
Target Capability 2: Intelligence and Information Sharing and Dissemination
Target Capability 3: Planning
4. Solution Area Amount of Approved Funding
TBD by Individual Regional Information Sharing Offices
5. Milestones (Quarterly Action Steps to be provided by Sub -Grantee)
1. Continued Operation of RISOs, 09/2011-09/2014
6. Outcomes
Describe the outcomes that will be achieved as a result of this Investment. The outcomes
should demonstrate improvement towards building capabilities described in Baseline tab.
(1,500 char max)
This investment provides the following outcomes for the State of Iowa:
• Cultivate Iowa's information sharing (IS) environment to realize the power of
information as a strategic asset in developing Baseline Capabilities (BC) for State &
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• Promote & encourage unified IS environments to extend an enterprise to promote
collaboration, leverage information & reduce seams between organizations, domains &
functions.
• Make IS a strength multiplier to exploit relative information to support prevention &
response efforts through an effective, unified approach to all -hazard responses, &
increase operational effectiveness to strengthen agility to accommodate unanticipated
partners & events across organizations.
• Incentive for future State appropriations to enable long-term sustainment of statewide
intelligence fusion.
Additional funding sources are being researched to provide for the future of the Fusion
program, including State appropriations; currently, State funding pays for the majority of
employees in the Fusion Center, and may be able to accommodate employees brought on
under this grant after the end of the performance period.
7. National Priorities
National Priority 1: Expand Regional Collaboration
National Priority 2: Strengthen Information Sharing and Collaboration Capabilities
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ADDENDUM 2: SPECIAL TERMS & CONDITIONS
I. Descriptions. This addendum details special terms and conditions referenced, not specified
in Article II of the original agreement. Such terms and conditions are derived from the original
Federal Grant agreement, grant guidance, state or federal code, and guidance per the Iowa
Department of Public Safety.
II. Intelligence Fusion Office, Regional Information Sharing Operation Integration. In
order to enhance integration and operational effectiveness of Iowa's statewide intelligence
fusion system:
ensure replacement, and use of, the term Regional Fusion Office, substituting the
same with Regional Information Sharing Office;
ensure any RISO intelligence database is compliant with 28 CFR 23.1-20, as
prescribed below in Article II;
establish a BJA approved privacy policy or agree to abide by the State of Iowa
Division of Intelligence Fusion Center (DOI/FC) BJA approved Privacy Policy (Jim will
email us this document) or Privacy Policy previously approved by US DHS;
provide all information related to possible criminal activity and terrorism to the
DOI/FC, as The State's designated Fusion Center;
issue no independent intelligence analytical products (Jim will provide you with a
definition) pertaining to Tier 1 or 2 Priority Information Requirements (PIR) as published
by DOI/FC, instead acknowledging the State of Iowa Division of Intelligence and Fusion
Center authorization to release Tier 1 and 2 Analytical Products in cooperation and
partnership with the RISO(s);
provide a copy of every bulletin to the state DOUFC;
utilize only an alerts and warnings system approved by the state DOI/FC;
recognize DOI/FC, on behalf of the Iowa Department of Public Safety, as partner to
the State's Administrative Agent (SAA) for the Homeland Security Grant Program
(HSGP), and an authorized agent for law enforcement specific requirements, HSGP
monitoring assistance and other support as mutually agreed upon by DPS and the SAA.
III. Prohibition on Using Federal Funds. The recipient understands and agrees that it cannot
use any Federal funds, either directly or indirectly, in support of the enactment, repeal,
modification or adoption of any law, regulation or policy, at any level of government, without
the expressed prior written approval of FEMA through HSEMD.
W. Quarterly Programmatic and Fiscal Reports. Per Article IX of the original agreement.
Programmatic reporting should also include a summary of any new Equipment procured during
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EMW-201 I -SS -00071-S01-19 October 19, 2011
the reporting period, as well as any changes in operational readiness — such as loss, theft,
damage, repair, or replacement of existing equipment.
V. Acceptance of Post Award Changes. In the event FEMA or HSEMD determines that
changes are necessary to the award document after an award has been made, including changes
to period of performance or terms and conditions, recipients will be notified of the changes in
writing. Once notification has been made, any subsequent request for funds will indicate
recipient acceptance of the changes to the award. Please call HSEMD Non -Disaster Grants at
515-725-3231 with questions.
VL Trafficking In Persons. The sub -grantee, employees and/or sub -recipients may not:
A. Engage in severe forms of trafficking in persons during the period of time that the award
is in effect;
B. Procure a commercial sex act during the period of time that the award is in effect; or
C. Use forced labor in the performance of the award or sub -awards under the award.
VII. Classified Security Condition
A. "Classified national security information," as defined in Executive Order (EO) 12958, as
amended, means information that has been determined pursuant to EO 12958 or any
predecessor order to require protection against unauthorized disclosure and is marked to
indicate its classified status when in documentary form.
B. No funding under this award shall be used to support a contract, sub -award, or other
agreement for goods or services that will include access to classified national security
information if the award recipient has not been approved for and has access to such
information.
VIII. Central Contractor Registration and Universal Identifier Requirements. Central
Contractor Registration (CCR) means the Federal repository into which an entity must provide
information required for the conduct of business as a recipient. In accordance with CCR, and in
order to receive sub -grant funding under EMW-2011-SS-00071, the sub -grantee must provide
I.ISEMD with its nine -digit Data Universal Numbering System (DUNS) number. If the sub-
grantee does not already have a DUNS number, one may be obtained from D&B by telephone
(currently 866-705-5711) or the Internet (currently at http://fedgov.dnb.com/webform).
IX. National Environmental Policy Act (NEPA). The recipient shall comply with all
applicable Federal, State, and local environment and historic preservation (EHP)requirements
and shall provide any information requested by FEMA to ensure compliance with applicable
laws including:
National Environmental Policy Act, National Historic Preservation Act, Endangered Species
Act, and Executive Orders on Floodplains (11988), Wetlands (11990) and Environmental justice
(12898)...
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Failure of the recipient to meet Federal, State, and local EHP requirements and obtain applicable
permits will jeopardize Federal funding. Recipient shall not undertake any project with potential
to impact EHP resources without the prior approval, including but not limited to communications
towers, physical security enhancements, new construction, and modifications to buildings that
are 50 years old or greater.
The SUB -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 disturbance activities occur during project
implementation, the recipient must ensure monitoring of ground disturbance and if any potential
archeological resources are discovered, the recipient will immediately cease construction in that
area and notify FEMA and the appropriate State Historic Preservation Office. The Sub -grantee
should submit the FEMA EHP Screening Form for each project as soon as possible upon
receiving their grant award. Any construction activities that have been initiated prior to the full
environmental and historic preservation review could result in non-compliance finding.
IX. Closeout
Upon completion of the performance period, a 90 -day closeout period begins. During the
closeout period any, and all, submitted payment requests, supporting documentation, a final
performance report, equipment status report, and any other items associated with the grant must
be submitted to, and received by, HSEMD. No payment will be issued for items submitted after
the closeout period.
Closeout will include:
The final payment request marked "Final," if not previously submitted.
Any supporting documentation to enable payment of outstanding claims or resolution of
any open/unresolved issues.
Equipment Status Report (Equipment disposition, tracking and location information and
any other related information requested of the SUBGRANTEE by the GRANTEE.
A fmal SUBGRANTEE performance report detailing cumulative outputs and outcomes
achieved during the life of the grant must be submitted. This may be (a) as part of the
final quarterly report or (b) the SUB -GRAN 1'I E closeout letter, if additional information
becomes available after the final quarterly.
A SUB -GRANTEE closeout letter, from the SUB -GRANTEE or Authorized
Representative to HSEMD indicating that all work within the approved performance and
closeout periods is complete. This may be submitted with the fmal payment request or
separately.
Subject to receipt and acceptance of the above information, HSEMD will provide interim
notification of the sub -grant closeout. Upon receipt of Federal notification of closeout, HSEMD
will provide final closeout notification. Under federal guidance, records associated with the
grant must be retained for three (3) years from Federal closeout. Sub -grantee will direct
questions regarding closeout to the HSEMD Homeland Security Grant Program Officer.
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