HomeMy WebLinkAboutIowa Homeland Security and Emergency Management Division-7/12/2010Iowa Homeland Security & Emergency Management Division FFY 2009 HSGP Grant
2009 -SS -T9 -0034-08a City of Waterloo obo LEIN 2 May 1, 2010
GRANT AGREEMENT
between
Iowa Homeland Security and Emergency Management Division (HSEMD)
and
City of Waterloo
GRANT NUMBER: 2009 -SS -T9 -0034-08a
CFDA#: 97.067
PROGRAM DESCRIPTION/SCOPE OF WORK
This AGREEMENT provides federal grant assistance to the City of Waterloo (SUBGRANTEE)
from the FFY09 Homeland Security Grant Program (HSGP). The SUBGRANTEE, acting in
and on behalf of Law Enforcement Information Network (LEIN) Region 2, will receive grant
funding from the State Homeland Security Program (SHSP) Intelligence and Information
Sharing Initiative totaling $194,194.00 to perform the scope of work for the Investments
described in the Initial Strategy Implementation Plan (ISIP) and the budget by investment that
has been approved by HSEMD.
The recipient agrees that funds utilized are to enhance effectiveness of the Iowa Intelligence
Fusion Center and the Regional Fusion Office and must support the development of a statewide
fusion process that corresponds with the Global Justice/Homeland Security Advisory Council
(HSAC) Fusion Center Guidelines and achievement of a baseline level of capability as defined
by the Fusion Capability Planning Tool.
In doing so the SUBGRANTEE supports national priorities and target capabilities by enhancing
coordinated regional and state efforts to strengthen homeland security.
AGREEMENTS
HSEMD will provide financial oversight and management in the role of GRANTEE based on the
grant guidance, the grant financial guide, and other State and federal guidelines. The GRANTEE
will provide technical assistance and direction to the SUBGRANTEE on programmatic and
financial requirements. The GRANTEE will provide all appropriate documents and forms and
make payments to the SUBGRANTEE to complete the approved scope of work, as provided
herein.
The Grantee is responsible for monitoring SUBGRAN l'EE activities to provide reasonable
assurance that the SUBGRANTEE administers federal awards in compliance with federal and
GRANTEE requirements. Responsibilities include, but are not limited to, the accounting of
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Iowa Homeland Security. & Emergency Management Division FFY 2009 HSGP Grant
2009 -SS -T9 -0034-08a City of Waterloo obo LEIN 2 May 1, 2010
receipts and expenditures, cash management, the maintaining of adequate financial records, and
the refunding of expenditures that are not eligible and or allowable.
Additionally, the SUBGRANTEE will be monitored periodically by the GRANTEE to ensure that
the program goals, objectives, timelines, budgets, and other related program criteria are being met.
Monitoring will be accomplished through a combination of office -based and on-site monitoring
visits. Monitoring will involve the review and analysis of the financial, programmatic, and
administrative issues relative to each program, and will identify areas where technical assistance
and other support may be needed.
The SUBGRANTEE and the SUBGRANTEE's AUTHORIZED REPRESENTATIVE will
execute this Grant AGREEMENT on behalf of LEIN 2, agreeing 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.
L PERFORMANCE PERIOD
The approved performance period for this grant is from May 1, 2010 through March 31, 2012.
All work must be completed prior to the performance period ending. The SUBGRANTEE shall
not incur costs or obligate funds for any purpose 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 submitted to HSEMD in order
to be processed. A justification must include a written explanation of the reason or reasons for
the delay; an outline of remaining funds available to support extending the performance period;
and a description of performance measures necessary to complete the project. Without the
justification, extension requests will not be processed. HSEMD will provide the `Request for
Time Extension' form.
II. AUTHORITIES AND REFERENCES.
The SUBGRANTEE will become familiar with and comply with the following Authorities and
References in the administration of this grant:
44 CFR Part 7 Nondiscrimination in federally assisted programs
44 CFR Part 13 Uniform administrative requirements for grants and
cooperative agreements to State and local governments
44 CFR Part 18 New restrictions on lobbying
2CFR Part 225 Cost Principles for State and Local Governments
(OMB Circular A-87)
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Iowa Homeland Security & Emergency Management Division FFY 2009 HSGP Grant
2009 -SS -T9 -0034-08a City of Waterloo obo LEIN 2 May 1, 2010
OMB Circular A-102
OMB Circular A-133
DHS Guidance
OGO Guidance
Uniform Administrative Requirements for Grants and
Cooperative Agreements with State -and Local
Governments
Audits of States, Local Governments, and Non -Profit Orgs
FFY2009 Homeland Security Grant Guidance
Financial Management Guide (January 2006)
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 SUBGRAN 1'bE
organizations stem from the Office of Management and Budget's (OMB)1rnifoain 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 FFY09
Homeland Security Grant Program Guidance. These standards combined with the audit standards
provided within OMB Circular A-133, plus 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 SUBGRAN1 EE.
The SUBGRANTEE's grant management system must include:
• internal controls based on the American Institute for Certified Public Accountant's
(AICPA) definitions and requirements in the government -wide administrative
requirements and cost principles
• 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 a cash or accrual basis
• the ability to create SUBGRAN IEE Budget Detail based on the SUBGRAN I'EE 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
IV. SUBGRANTEE BUDGET DETAIL
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Iowa Homeland Security & Emergency Management Division FFY 2009 HSGP Grant
2009 -SS -T9 -0034-08a City of Waterloo obo LEIN 2 May 1, 2010
The SUBGRANTEE is required to develop a SUBGRANTEE Budget that is based on the
approved Project, Work Plans, and scope of work. This process will break down each
Investment by program and identify costs within the solution areas. SUBGRANTEE Budget
development assistance will be provided by HSEMD to the SUBGRANTEE.
V. GRANT AWARD and AMENDMENTS
The SUBGRANTEE will perform the agreed upon scope of work. Any changes to the scope of
work must be approved by HSEMD in writing prior to executing the changes. All budget
revisions also require written approval by HSEMD to ensure compliance with federal guidelines.
If the SUBGRANTEE anticipates having unexpended funds during the performance period,
report the amount to HSEMD and request disposition instructions.
VI. 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, provided that the local procurement standards conform to applicable State and
Federal law and 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 other contract includes any clauses required by Federal statutes and executive
orders and their implementing regulations. The SUBGRANTEE must submit copies of bid
documents and contract documents to HSEMD prior to awarding or executing contracts. No
contract will be honored without HSEMD's prior review and approval.
VII. AUDIT
SUBGRAN I'EE must comply with the audit requirements of the Single Audit Act Amendments
of 1996 and the Office of Management and Budget (OMB) Circular A-133.
VIII. PAYMENT REQUEST PROCESS
The SUBGRANTEE may submit a payment request prior to an anticipated expenditure or
disbursement. Grant revenue received by the SUBGRANTEE must be placed in an interest-
bearing account and is subject to the rules outlined in the Uniform Rule 44 CFR Part 13, Uniform
Administrative Requirements for Grants and Cooperative Agreements to Grantee and Local
Governments. 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 program funds received per year. SUBGRANTEE is required to report
all interest earned at least quarterly to the GRANTEE. HSEMD will provide instructions to the
SUBGRANTEE for the disposition of reported interest earned.
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Iowa Homeland Security & Emergency Management Division FFY 2009 HSGP Grant
2009 -SS -T9 -0034-08a City of Waterloo obo LEIN 2 May 1, 2010
Payments to SUBGRANTEE are based on eligible expenditures that are specifically related to
the grant budget and Budget Detail that is pre -authorized by the GRAN IEE. Pre -authorization
occurs when HSEMD approves the SUBGRANTEE's Budget Detail based on an approved scope
of work. Payment requests must be made on HSEMD's 2009 HSGP Payment Request Form. An
electronic version of this document will be made available by the GRANTEE.
SUBGRANTEEs can request Reimbursement for allowable expenditures already paid, or
request an Advance for expenditures expected to be paid within 30 days. Each payment
request must be for one specific HSGP program (SHSP) and one specific Project or
Investment, but may include more than one 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 document). Payment verification documents (same documents 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 and
payout of the funds by the SUBGRANTEE. All supporting documentation must be submitted to
HSEMD immediately following the SUBGRANTEE's pay out of the 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
SUBGRANTEE until HSEMD has on file the following documents:
• HSEMD Approved Scope of Work, Project / Work Plans
• HSEMD Approved Budget
• Original executed Grant AGREEMENT (signed by all parties)
• Original executed AGREEMENT 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)
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Iowa Homeland Security & Emergency Management Division FFY 2009 HSGP Grant
2009 -SS -T9 -0034-08a City of Waterloo obo LEIN 2 May 1, 2010
IX. REPORTING REQUIREMENTS
The FFY09 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.
SUBGRANTEES 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 SUBGRANTEES by HSEMD. Reports are due on Jan 15,
April 15, July 15, and Oct 15, following the end of each federal fiscal year quarter, which is Oct-
Dec, Jan -March, April -June, and July -Sept. HSEMD may require additional reporting
information from the SUBGRANTEE, with written notice.
Following each exercise, the SUBGRAN I'p,E shall submit an HSEEP Exercise Reporting Form
(available on the HSEMD website at:
http://www.iowahomelandsecurity.org/asp/programs/Exercise/Reporting.asp) to HSEMD.
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 and
intent of this AGREEMENT. The SUBGRANTEE must maintain a listing of all equipment
acquired through the execution of 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 procured by the
SUBGRANTEE under this AGREEMENT are informed of the disposition requirements of the
federal regulation and guidance for the programs 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 ensure adequate safeguards to
prevent loss, damage, or theft of the property.
Following notification to the SUBGRAN I'EE that the grant programs included in this
AGREEMENT have closed, items of equipment procured under this AGREEMENT with a
current per unit fair market value of less than $5,000 may be retained, sold or otherwise disposed
of with no further obligation to the awarding agency. However, items of equipment with a
current per unit fair market value greater than $5,000 must receive disposition instructions from
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Iowa Homeland Security & Emergency Management Division FFY 2009 HSGP Grant
2009 -SS -T9 -0034-08a City of waterloo obo LEIN 2 May 1, 2010
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 up to the earlier of the date of the receipt of the
notice or the date of termination set forth in the notice will be negotiated for final payment.
XII. OTHER TERMS AND CONDITIONS
WAIVERS
No conditions or provisions of this AGREEMENT can be waived 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.
AMENDMENTS AND MODIFICATIONS
This AGREEMENT may be amended or modified in reference to the grant funds provided,
administrative procedures, to include extension of performance period due to extenuating
circumstances, or any other necessary matter, but not to take effect until approved, in writing,
by HSEMD and the SUBGRAN IEE.
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.
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 and
Federal statute, rules, laws, or regulations. HSEMD may suspend or terminate any obligation to
provide funding to the SUBGRANTEE and demand return of any unused grant funds in the possession of
the SUBGRAN IEE, if the SUBGRANTEE following notice from HSEMD, fail to meet any obligations
under this AGREEMENT or fail to make satisfactory progress towards administration or completion of
scope of work.
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Iowa Homeland Security & Emergency Management Division FFY 2009 HSGP Grant
2009 -SS -T9 -0034-08a City of Waterloo obo LEIN 2 May 1, 2010
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.
INDEMNIFICATION
The SUBGRANTEE, on behalf of itself and its successors and assigns, agrees to protect, save,
and hold harmless HSEMD and the State of Iowa, and their authorized agents and employees,
from all claims, actions, costs, damages, or expenses of any nature whatsoever by reason of the
negligent acts, errors, or omissions of the SUBGRANTEE or its authorized representative, its
contractors, subcontractors, assigns, agents, licensees, arising out of or in connection with any
acts or activities authorized by this AGREEMENT. The SUBGRANTEE's obligation to protect,
save, and hold harmless as herein provided shall not extend to claims or causes of action for
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
SUBGRANIEE'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 causes of action for 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.
THIRD PARTY BENEFICIARIES
It is understood and agreed by HSEMD and SUBGRANTEE and its agents 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 is formed as a result of this AGREEMENT.
ACKNOWLEDGEMENTS
The SUBGRANTEE shall include in any public or private release of information regarding the
grant, language which acknowledges the funding contribution by HSEMD and Department of
Homeland Security.
INDEPENDENT CONTRACTOR STATUS
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. All references herein to the SUBGRANTEE shall
include its officers, employees, city council/board members, and agents. HSEMD shall not
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Iowa Homeland Security & Emergency Management Division FFY 2009 HSGP Grant
2009 -SS -T9 -0034-08a City of Waterloo obo LEIN 2 May 1, 2010
withhold on behalf of any such 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.
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.
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.
COMMUNICATIONS BETWEEEN 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 SUBGRAN FEE 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@iowa.gov
ENTIRE GRANT AGREEMENT
This AGREEMENT 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 SUBGRANTEE. Except as
may be expressly provided herein, no alteration of any of the terms or conditions of this
AGREEMENT will be effective without written consent of both parties.
CERTIFICATION
Signature of this AGREEMENT certifies all parties to the same have read and understand
FFY 2009 Grant Guidance and the entirety of this AGREEMENT.
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Iowa Homeland Security & Emergency Management Division FFY 2009 HSGP Grant
2009 -SS -T9 -0034-08a City of Waterloo oho LEIN 2
May 1, 2010
IN WITNESS WHEREOF, HSEMD, the SUBGRANTEE(S), and the AUTHORIZED
REPRESENTATIVE(S) have executed this AGREEMENT by the signatures of authorized
persons of the entities and on the date indicated below:
Iowa Homeland Security and
Emergency Management Division
David L. Miller
Administrator
Subgrantee
,e4
Mayor, City of Waterloo
Date Date
P -boo
Authorized Representative (Optional) LEIN Region 2
Name, Title, Agency Name, Title, Agency
Signature Signature
Date Date
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