HomeMy WebLinkAboutFY2020 Edward Byrne Memorial Justice Assistance Grant - 6/8/2020IOWA BYRNE JUSTICE ASSISTANCE GRANT (JAG) PROGRAM
Governor's Office of Drug Control Policy
Pape State Office Bldg., 5th Floor
215 E. 7th Street, Des Moines, Iowa 50319 (515) 725-0300
JAG CFDA #16.738
Grantee:
City of Waterloo
715 Mulberry Street
Waterloo, Iowa 50703-5714
ODCP Contact:
Dennis Wiggins 515/725-0311
Legal Applicant:
Quentin Hart
Grant #18-JAG- 348071
Grant Period: July 1, 2020 - June 30, 2021
Federal: $188,000
Match: $62,667
Total: $250,667
Program Director:
Joel Fitzgerald Sr.
fitzgerald@waterloopolice.com
This grant is subject to the terms and conditions incorporated either directly or indirectly by reference in the grant program legislation, the grant program
request for proposal, and the stipulations, if any, noted under "Special Conditions." Except for any waiver granted explicitly elsewhere in this grant,
this award does not constitute approval of waiver from any Federal or state statutory/regulatory requirements for a United States Department of Justice
grant. The grantee agrees to perform all services and furnish all supplies set forth in the application of this grant award for the consideration stated
herein. This grant consists of the application for funds, the grant award notice, the budget documents, the standard grant conditions, the reporting
forms, and all approved grant revision documents. All parties to this grant award acknowledge that they have fully read and understand this contract,
and agree to abide by the terms set forth within.
SPECIAL CONDITIONS
Law enforcement personnel funded in whole or in part with these grant funds will complete Department of Justice required online
(internet-based) task force training. All task force members are required to complete this training once during the life of this award,
or once every four years. The training is provided free of charge online through BJA's Center for Task Force Integrity and
Leadership (www.ctfli.org). Officers should use the preauthorization code QX6S4 when completing the course.
Project activity funded through this award will comply with all state and federal laws and guidelines. Projects are referred to PATC
with questions regarding the appropriate expenditures of state forfeitures.
In witness wherefore, the parties hereto have executed this grant the day and year specified below.
SIGNATURES/DATES
0G
Legal Applicant/Date Program Director/Date
ODCP Administrator/Date
U.S. DEPARTMENT OF JUSTICE
OFFICE OF JUSTICE PROGRAMS
FY 2018 Edward Byrne Memorial Justice Assistance Grant Program
Certification of Compliance with 8 U.S.C. §§ 1373 & 1644 by Prospective Subrecipient:
Recipient State subaward to a Local Government
On behalf of the local government named below as the "prospective subrecipient," and in support of its request to the "Recipient State"
identified below for a subaward from the grant awarded by the U.S. Department of Justice ("USDOJ") under the FY 2018 Edward Byrne
Memorial Justice Assistance Grant Program ("the FY 2018 JAG Program"), I certify to the Recipient State, and also certify to USDOJ,
that all of the following are true and correct:
(1) I am the chief legal officer of the local government named below as the prospective subrecipient, and I have the authority to
make this certification on its behalf. I understand that this certification will be relied upon as a material representation in any
decision to make a subaward to the prospective subrecipient under the FY 2018 JAG Program.
(2) I have carefully reviewed 8 U.S.C. §§ 1373(a) and (b), and 1644, including the prohibitions on certain actions by State and
local government entities, -agencies, and -officials regarding information on citizenship and immigration status. I also have
reviewed the provisions set out at (or referenced in) 8 U.S.C. § 1551 note ("Abolition ... and Transfer of Functions"), pursuant to
which references to the "immigration and Naturalization Service" in 8 U.S.C. §§ 1373 & 1644 are to be read, as a legal matter, as
references to particular components of the U.S. Department of Homeland Security,
(3) I (and also the prospective subrecipient) understand that if the prospective subrecipient receives a subaward under the
FY 2018 JAG Program —
(a) the subrecipient (and agencies or other entities thereof) must comply with 8 U.S.C. §§ 1373 & 1644, throughout the
period of performance for the subaward, with respect to any "program or activity" funded in whole or in part with the
subaward: and
(b) the subrecipient may not make a lower -tier subaward to a State or local government, or to a "public" institution of higher
education, unless the subrecipient first obtains a certification of compliance with 8 U.S.C. §§ 1373 & 1644 (on a form
provided by USDOJ), properly executed by the chief legal officer of the jurisdiction or educational institution that would
receive it.
(4) I (and also the prospective subrecipient) understand that, for purposes of this certification, "program or activity" means what it
means under title VI of the Civil Rights Act of 1964 (see 42 U.S.C. § 2000d-4a), and that terms used in this certification that are
defined in 8 U.S.C. § 1101 mean what they mean under that section 1101, except that the term "State" also shall include
American Samoa (cf. 34 U.S.C. § 10251(a)(2)). Also, I understand that neither a "public" institution of higher education (i.e., one
that is owned, controlled, or directly funded by a State or local government) nor an Indian tribe is considered a "local government'
(or an agency or other entity thereof) for purposes of this certification.
(5) I have conducted (or caused to be conducted for me) a diligent inquiry and review concerning the following (which
shall not be understood to include any "program or activity" of any planned subrecipient of a lower -tier subaward):
(a) the "program or activity" to be funded (in whole or in part) with the requested subaward; and
(b) any prohibitions or restrictions potentially applicable to the "program or activity" to be funded with that subaward
(if received) that deal with sending to, requesting or receiving from, maintaining, or exchanging information of the
types described in 8 U.S.C. §§ 1373(a) or (b), and 1644, whether imposed by a State or local government
entity, -agency, or -official.
(6) As of the date of this certification, neither the prospective subrecipient nor any entity, agency, or official of the
prospective subrecipient has in effect, purports to have in effect, or is subject to or bound by, any prohibition or any
restriction that would apply to the "program or activity" to be funded in whole or in part with the requested subaward
(which, for the specific purpose of this paragraph 6, shall not be understood to include any such "program or activity" of
any planned subrecipient of a lower -tier subaward), and that deals with either— (1) a government entity or -official
sending or receiving information regarding citizenship or immigration status as described in 8 U.S.C. §§ 1373(a) & 1644;
or (2) a government entity or -agency sending to, requesting or receiving from, maintaining, or exchanging information of
the types (and with respect to the entities) described in 8 U.S.C. § 1373(b).
City of Waterloo
Local government that is the "prospective subrecipient" of a
subaward of funds from the FY 2018 JAG Program
TTh
Signature of chief legal officer of the prospective subrecipient
Mayor
Title of chief legal officer of the prospective subrecipient
State of Iowa
Recipient State from which the prospective subrecipient
seeks a subaward under the FY 2018 JAG Program
Quentin Hart
Printed name of chief legal officer of the prospective subrecipient
Date of certification
Iowa Governor's Office of Drug Control Policy
CERTIFIED ASSURANCES
NON -SUPPLANTING
The grantee assures that Federal funds made available under this formula grant will not be used to supplant State
or local funds, but will be used to increase the amounts of such funds that would, in the absence of Federal funds,
be made available for project activities.
MATCHING FUNDS
The grantee assures that matching funds required to pay the non -Federal portion of the cost of each program and
project, for which grant funds are made available, shall be in addition to funds that would otherwise be made
available for criminal justice activities by the recipients of grant funds and shall be provided on a project -by -
project basis.
RECORD KEEPING
The grantee assures that fund accounting, auditing, monitoring, evaluation procedures, and such records as the
Governor's Office of Drug Control Policy shall require, shall be provided to assure fiscal control, proper
management, and efficient disbursement of funds received.
REPORTING
The grantee assures that it shall maintain such data and information and submit such reports in such form, at
such times, and containing such data and information as the Governor's Office of Drug Control Policy may
reasonably require to administer the program.
FINANCIAL AND ADMINISTRATIVE GUIDE
The grantee assures that it will comply with the provisions of the Office of Justice Programs' "Financial and
Administrative Guide for Grants. http://ojp.gov/financialguide/DOPindex.htm
COMPLIANCE WITH FEDERAL PROCEDURES
The grantee assures that it will comply with the provisions of 28 CFR applicable to grants and cooperative
agreements, including Part II, Applicability of Office of Management and Budget Circulars; Part 18,
Administrative Review Procedures; Part 20, Criminal Justice Information Systems; Part 22, Confidentiality of
Identifiable Research and Statistical Information Systems; Part 23, Criminal Intelligence Systems Operating
Policies; Part 30, Intergovernmental Review of Department of Justice Programs and Activities; Part 42,
Nondiscrimination Equal Employment Opportunity Policies and Procedures; Part 61, Procedures for
Implementing the National Environmental Policy Act; and Part 63, Floodplain Management and Wetland
Protection Procedures.
DUNS/SAM Registration:
The grantee assures that it will register and provide the Governor's Office of Drug Control Policy a Data
Universal Number System (DUNS) number. The recipient shall maintain a current registration with the System
for Award Management (SAM) for the duration of the grant project period.
Recipient Integrity and Performance
The grantee assures that it will comply with any and all applicable requirements regarding reporting of
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Iowa Governor's Office of Drug Control Policy
information on civil, criminal, and administrative proceedings connected with (or connected to the performance
of) this award. Under certain circumstances, recipients of federal grant funds are required to report information
about such proceedings, through the federal System for Award Management (known as "SAM"), to the
designated federal integrity and performance system (currently, "FAPIIS").
The details of recipient obligations regarding the required reporting (and updating) of information on certain
civil, criminal, and administrative proceedings to the federal designated integrity and performance system
(currently, "FAPIIS") within SAM are posted on the OJP web site at http://ojp.gov/funding/FAPIIS.htm (Award
condition: Recipient Integrity and Performance Matters, including Recipient Reporting to FAPIIS), and are
incorporated by reference here.
CERTIFICATION
I certify that the program in this application meets all the requirements of the Omnibus Crime Control and Safe
Streets Act of 1968, as amended; that all the information presented is correct; and the application will comply
with the provisions of the Act and all other Federal laws, regulations, and guidelines. By appropriate language
incorporated in each subcontract or other document under which funds are to be disbursed, the undersigned
shall assure the applicable conditions above apply to all recipients of assistance.
Signature - Project Director
Date
0.7 1?-0
2
05��4
Signature - Legal Applicant
^zc3
Date
Iowa Governor's Office of Drug Control Policy
CIVIL RIGHTS REOUIREMENTS INFORMATION
1. Civil Rights Contact Person: Executive Director Abraham Funches
2. Title/Address:
Executive Director
630 Mulberry Street
Waterloo, IA.50703
3. Telephone Number:
319-291-4441
4. Number of persons employed by the agency responsible for administering this grant:
123 Sworn Officers, 9 Civilian employees.
Iowa Governor's Office of Drug Control Policy
US DEPARTMENT OF JUSTICE
OFFICE OF JUSTICE PROGRAMS
OFFICE OF THE COMPTROLLER
CERTIFICATION REGARDING DEBARMENT, SUSPENSION, INELIGIBILITY
AND VOLUNTARY EXCLUSION LOWER TIER COVERED TRANSACTIONS
(Sub -Recipient)
This certification is required by the regulations implementing Executive Order 12549, Debarment and
Suspension, 28 CFR Part 67, Section 67.510, participants' responsibilities. The regulations were published as
Part VIII of the May 26, 1988 Federal Register (pages 19160-19211).
(BEFORE COMPLETING CERTIFICATION, READ INSTRUCTIONS ON FOLLOWING PAGE)
(1) The prospective lower tier participant certifies, by submission of this proposal, that neither it nor its
principals are presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily
excluded from participation in this transaction by any Federal department or agency.
(2) Where the prospective lower tier participant is unable to certify to any of the statements in the
certification, such prospective participant shall attach an explanation to this proposal.
Quentin Hart, Mayor
Name and Title of Authorized Representative
dvMda1-0
Signature Date
City of Waterloo, Iowa Waterloo Police Department, Tri-County Drug Task Forc
Name of Organization
715 Mulberry Street, Waterloo, IA 50703
Address of Organization
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Iowa Governor's Office of Drug Control Policy
INSTRUCTIONS FOR CERTIFICATION REGARDING DEBARMENT, SUSPENSION,
INELIGIBILITY AND VOLUNTARY EXCLUSION LOWER TIER COVERED
TRANSACTIONS
1. By signing and submitting this proposal, the prospective lower tier participant is providing the certification set out
below.
2. The certification in this clause is a material representation of fact upon which reliance was placed when this transaction
was entered into. If it is later determined that the prospective lower tier participant knowingly rendered an erroneous
certification, in addition to other remedies available to the Federal government, the department or agency with which this
transaction originated may pursue available remedies, including suspension and/or debarment.
3. The prospective lower tier participant shall provide immediate written notice to the person to whom this proposal is
submitted if at any time the prospective lower tier participant learns that its certification was erroneous when submitted or
has become erroneous by reason of changed circumstances.
4. The terms "covered transaction," "debarred," "suspended," "ineligible," "lower tier covered transaction," "participant,"
"person," "primary covered transaction," "principal," "proposal," and "voluntarily excluded," as used in this clause, have
the meaning set out in the Definitions and Coverage sections of rules implementing Executive Order 12549.
5. The prospective lower tier participant agrees by submitting this proposal that, should the proposed covered transaction
be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is debarred,
suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by
the department or agency with which this transaction originated.
6. The prospective lower tier participant further agrees by submitting this proposal that it will include the clause title
"Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion --Lower Tier Covered
Transactions," without modification, in all lower tier covered transactions and in all solicitations for lower tier covered
transactions.
7. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered
transaction that is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows
that the certification is erroneous. A participant may decide the method and frequency by which it determines the eligibility
of its principals. Each participant may check the Non -procurement List.
8. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render
in good faith the certification required by this clause. The knowledge and information of a participant is not required to
exceed that which is normally possessed by a prudent person in the ordinary course of business dealings.
9. Except for transactions authorized under paragraph 5 of these instructions, if a participant in a covered transaction
knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntarily
excluded from participation in this transaction, in addition to other remedies available to the Federal government, the
department or agency with which this transaction originated may pursue available remedies, including suspension and/or
debarment.
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Iowa Governor's Office of Drug Control Policy
U.S. DEPARTMENT OF JUSTICE
OFFICE OF JUSTICE PROGRAMS
OFFICE OF THE COMPTROLLER
CERTIFICATION REGARDING DRUG -FREE WORKPLACE REQUIREMENTS
Grantees Other Than Individuals
This certification is required by the regulations implementing the Drug -Free Workplace Act of 1988, 28 CFR Part 67, Subpart F.
The regulations, published in the May 25, 1990 Federal Register, require certification by grantees, prior to award, that they will
maintain a drug -free workplace. The certification set out below is a material representation of fact upon which reliance will be
placed when the agency determines to award the grant. False certification or violation of the certification shall be grounds for
suspension of payments, suspension or termination of grants, or government wide suspension or debarment (see 28 CFR Part 67,
Sections 67.615 and 67.620).
The grantee certifies that it will provide a drug -free workplace by:
(a) Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession or use of a
controlled substance is prohibited in the grantee's workplace and specifying the actions that will be taken against employees
for violation of such prohibition;
(b) Establishing a drug -free awareness program to inform employees about --
(1) The dangers of drug abuse in the workplace;
(2) The grantee's policy of maintaining a drug -free workplace;
(3) Any available drug counseling, rehabilitation, and employee assistance programs; and
(4) The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace;
(c) Making it a requirement that each employee to be engaged in the performance of the grant be given a copy of the statement
required by paragraph (a);
(d) Notifying the employee in the statement required by paragraph (a) that, as a condition of employment under the grant, the
employee will --
(1) Abide by the terms of the statement; and
(2) Notify the employer of any criminal drug statute conviction for a violation occurring in the workplace no
later than five days after such conviction.
(e) Notifying the agency within ten days after receiving notice under subparagraph (d)(2) from an employee or otherwise
receiving actual notice of such conviction;
(f) Taking one of the following actions, within 30 days of receiving notice under subparagraph (d)(2), with respect to any
employee who is so convicted --
(1) Taking appropriate personnel action against such an employee, up to and including termination;,
consistent with the requirements of the Rehabilitation Act of 1973, as amended; or
(2) Requiring such employee to participate satisfactorily in a drug abuse assistance or rehabilitation program
approved for such purposes by a Federal, State, or local health, law enforcement, or other appropriate agency;
(g) Making a good faith effort to continue to maintain a drug -free workplace through implementation of paragraphs (a), (b),
(c), (d), (e) and (f).
Place(s) of Performance: The grantees shall insert in the space provided below the site(s) for the performance of work done
in connection with the specific grant (street address, City, County, State, zip code):
City of Wterloo, 715 Mulberry Street, Waterloo, IA 50703
City of Waterloo
Organization Name
Quentin Hart, Mayor
Name and Title of Authorized Representative
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Iowa Governor's Office of Drug Control Policy
CERTIFICATION REGARDING LOBBYING
Each person shall file the most current edition of this certification and disclosure form, if applicable, with each
submission that initiates agency consideration of such person for an award of a Federal contract, grant, or
cooperative agreement of $100,000 or more; or Federal loan of $150,000 or more.
This certification is a material representation of fact upon which reliance was placed when this transaction was
made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction
imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required certification shall be
subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.
The undersigned certifies, to the best of his or her knowledge and belief, that:
(1) No Federal appropriated funds have been paid or will be paid to any person for influencing or attempting
to influence an officer or employee of any Federal agency, a Member of Congress, an officer or employee of
Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract,
the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement,
and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan or
cooperative agreement.
(2) If any non -Federal funds have been paid or will be paid to any person for influencing or attempting to
influence an officer or employee of any Federal agency, a Member of Congress, an officer or employee of
Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or
cooperative agreement, the undersigned shall initial here tom- and complete and submit Standard Form #
LLL, "Disclosure of Lobbying Activities", in accordance with its instructions. (Forms are available from the
Governor's Office of Drug Control Policy.)
(3) The undersigned shall require that the language of this certification be included in the award documents
for all sub -awards at all tiers and that all sub -recipients shall certify and disclose accordingly.
City of Waterloo
715 Mulberry St Quentin Hart, Mayor
Water o, I0703
Name and A cress ot 5rganization Name of Authorized Individual
cI t,- ()el &i
Signature and Date
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Iowa Governor's Office of Drug Control Policy
Equal Employment Opportunity Plan Certification Form Instructions
Completing the Certification Form
Compliance with the Equal Employment Opportunity Plan (EEOP) Requirements
The federal regulations implementing the Omnibus Crime Control and Safe Streets Act (Safe Streets Act) of 1968, as amended.
require some recipients of financial assistance from the U.S. Department of Justice subject to the statute's administrative provisions
to create, keep on file, submit to the Office for Civil Rights (OCR) at the Office of Justice Programs (OJP) for review, and
implement an Equal Employment Opportunity Plan (EEOP). See 28 C.F.R. pt. 42, subpt. E. All awards from the Office of
Community Oriented Policing Services (COPS) are subject to the EEOP requirements; many awards from OJP, including awards
from the Bureau of Justice Assistance (BJA), the Office of Juvenile Justice and Delinquency Prevention (OJJDP), and the Office for
Victims of Crime (OVC) are subject to the EEOP requirements; and many awards from the Office on Violence Against Women
(OVW) are also subject to the EEOP requirements. If you have any questions as to whether your award from the U.S. Department of
Justice is subject to the Safe Streets Act's EEOP requirements, please consult your grant award document, your program manager, or
the OCR.
Recipients should complete either Section A or Section B or Section C, not all three. If recipient completes Section A or C and sub -
grants a single award over $500,000, in addition, please complete Section D.
Section A The regulations exempt some recipients from all of the EEOP requirements. Your organization may claim an exemption
from all of the EEOP requirements if it meets any of the following criteria: it is a nonprofit organization, an educational institution, a
medical institution, or an Indian tribe; or it received an award under $25,000; or it has less than fifty employees. To claim the
complete exemption from the EEOP requirements, complete Section A.
Section B Although the regulations require some recipients to create, maintain on file, and implement an EEOP, the regulations
allow some recipients to forego submitting the EEOP to the OCR for review. Recipients that (1) are a unit of state or local
government, an agency of state or local government, or a private business; and (2) have fifty or more employees; and (3) have
received a single grant award of $25,000 or more, but less than $500,000, may claim the limited exemption from the submission
requirement by completing Section B. In completing Section B, the recipient should note that the EEOP on file has been prepared
within twenty-four months of the date of the most recent grant award.
Section C Recipients that (1) are a unit of state or local government, an agency of state or local government, or a private business,
and (2) have fifty or more employees, and (3) have received a single grant award of $500,000 or more, must prepare, maintain on
file, submit to the OCR for review, and implement an EEOP. Recipients that have submitted an EEOP Utilization Report (or in the
process of submitting one) to the OCR, should complete Section C.
Section D Recipients that (1) receive a single award over $500,000; and (2) subaward a single award of $500,000 or more must
provide a list; including, name, address and DUNS # of each such sub -recipient by completing Section D.
Submission Process
Recipients should download the online Certification Form, complete required sections, have the appropriate official sign it,
electronically scan the signed document, and then send the signed document to the following e-mail address:
EEOPForms@usdoj.gov. The document must have the following title: EEOP Certification. If you have questions about completing
or submitting the Certification Form, please contact the Office for Civil Rights, Office of Justice Programs, 810 7th Street, NW,
Washington, DC 20531 (Telephone: (202) 307-0690 and TTY: (202) 307-2027).
OMB Approval No. 1121-0340 Expiration Date: 12/31/15 Public Reporting Burden Statement Paperwork Reduction Act Notice.
Under the Paperwork Reduction Act, a person is not required to respond to a collection of information unless it displays a current
valid OMB control number. We try to create forms and instructions that are accurate, can be easily understood, and which impose
the least possible burden on you to provide us with information. The estimated minimum average time to complete and file this
application is 20 minutes per form. If you have any comments regarding the accuracy of this estimate, or suggestions for making this
form simpler, you can write to the Office of Justice Programs, 810 7th Street, N.W., Washington, D.C. 20531.
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Iowa Governor's Office of Drug Control Policy
Compliance with the Equal Employment Opportunity Plan (EEOP) Requirements
Please read carefully the Instructions (see below) and then complete Section A or Section B or Section C, not all three. If recipient
completes Section A or C and sub- ants a single award over $500.000_ in addition_ nleace cmm�late Sectinn t�
Recipient's Name:
Address:
Is agency a; o Direct or ❑ Sub recipient of OJP, OVW or COPS funding? Law Enforcement Agency? a Yes o No
DUNS Number:
Vendor Number (only if direct recipient)
Name and Title of Contact Person:
Telephone Number:
E-Mail Address:
Section A —Declaration Claiming Complete Exemption from the EEOP Requirement
Please check all the following boxes that apply.
o Less than fifty employees. o Indian Tribe a Medical Institution.
n Nonprofit Organization o Educational Institution o Receiving a single award(s) less than $25,000.
I, [responsible official], certify that
[recipient] is not required to
prepare an EEOP for the reason(s) checked above, pursuant to 28 C.F.R § 42.302. I further certify that
[recipient] will comply with applicable federal civil rights laws that prohibit discrimination
in employment and in the delivery of services.
If recipient sub grants a single award over $500, 000, in addition, please complete Section D
Print or Type Name and Title Signature Date
Section B—Declaration Claiming Exemption from the EEOP Submission Requirement and Certifying That an EEOP Is on
File for Review
If a recipient agency has fifty or more employees and is receiving a single award or, subaward, of $25,000 or more, but less than
$500,000, then the recipient agency does not have to submit an EEOP to the OCR for review as long as it certifies the following (42
C.F.R. § 42.305):
I, Quentin Hart, Mayor [responsible official], certify that
City of Waterloo
[recipient], which has fifty or
more employees and is receiving a single award or subaward for $25,000 or more, but less than $500,000, has formulated an EEOP
in accordance with 28 CFR pt. 42, subpt. E. I further certify that within the last twenty-four months, the proper authority has
formulated and signed into effect the EEOP and, as required by applicable federal law, it is available for review by the public,
employees, the appropriate state planning agency, and the Office for Civil Rights, Office of Justice Programs, U.S. Department of
Justice. The EEOP is on file at the following office:
City of Waterloo
[orgarAatiomulberry Street, Waterloo, IA 50703
[address].
Quentin Hart; Mayor-t.-)e-Villz-L 0t.-c$12,efS
Print or Type Name and Title Signature Date
Section C—Declaration Stating that an EEOP Short Form Has Been Submitted to the Office for Civil Rights for Review
If a recipient agency has fifty or more employees and is receiving a single award, or subaward, of $500,000 or more, then the recipient agency
must send an EEOP Short Form to the OCR for review.
I, [responsible official], certify that
[recipient], which has fifty or more
employees and is receiving a single award of $500,000 or more, has formulated an EEOP in accordance with 28 CFR pt. 42, subpt.
E, and sent it for review on [date] to the Office for Civil Rights, Office ofJustice Programs,
U.S. Department ofJustice.
If recipient sub -grants a single award over $500,000, in addition, please complete Section D
Print or Type Name and Title Signature Date
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Iowa Governor's Office of Drug Control Policy
D—Declaration Stating that Recipient Subawards a Single Award Over $500,000
If a recipient agency, subawards a single award of $500,000 or more then the granting agency should provide a list; including, name, address and
DUNS # of each such sub -recipient.
Sub -Recipient Agency Name/Address
Sub -Recipient DUNS Number
If additional space in necessary, please duplicate this page.
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Revised 05114/2020
IOWA GOVERNOR'S OFFICE OF DRUG CONTROL POLICY
STANDARD GRANT CONDITIONS
Byrne Justice Assistance Grant; Methamphetamine Hot Spots; Residential
Substance Abuse Treatment; Byrne Discretionary; Second Chance; Drug
Court; Post -conviction Testing of DNA Evidence to Exonerate the Innocent;
Project Safe Neighborhoods; John R. Justice; Drug Free Communities;
Anti -Heroin Task Force; Comprehensive Opioid Abuse Program; Paul
Coverdell Forensic Science; and any other Grant administered by the
Governor's Office of Drug Control Policy involving federal or state funding.
Table of Contents
1. General 2
2. Definitions . 3
3. Accountability for All Grantees. 3
4. Additional Guidance for Nonprofit Organizations. 3
5. Accounts and Records 4
6. Cash/1'n-Kind Match (If required and included in the approved budget). 4
7. Non -Supplanting Requirement 5
8. Program Income 5
9. Subcontracting 6
10. Unreasonable restrictions on competition under the award; association with federal government 6
11. Property and Equipment. 6
12. Computer Systems. 7
13. Travel . 7
14. Payments . 8
15. Reporting, 8
16. Awards to private agencies - accounting system audit requirement. 9
17. Audits: 9
18. Monitoring/Evaluation 10
19. Changes in the Program. 10
20. Copyrights 11
21. Federal Funds Acknowledgment. 11
22. Release of Information and Confidentiality of Records 11
23. Protection of human research subjects 12
24. Conflict of Interest. 12
25. Report Misuses of Funds, 12
26. Restrictions and certifications regarding non -disclosure agreements and related matters. . 12
27. Drug Free Workplace 13
28. Americans With Disabilities Act. 13
29. Immigration and Naturalization Service 13
1
30. Limited English Proficiency. 13
31. Nondiscrimination/Equal Employment Opportunity Program. 13
32. Findings of Discrimination 15
33. Determination of suitability required, in advance, for certain individuals who may interact with participating minors 15
34. Equal Treatment for Faith Based Organizations 18
35. Lobbying Restrictions . 18
36. Sanctuary Jurisdiction 18
37. Sanctuary Jurisdiction (Iowa Code) 19
38. Liability. 19
39. Drug Task Force. 19
40. Drug Task Force Training 19
41. Use of Force Training Metrics 20
42. NEPA Clandestine Methamphetamine Laboratories. 20
43. DUNS/SAM Registration. 21
44. Recipient Integrity and Performance. 21
45. Disclosure of "High Risk" Designation by Federal Agency. 22
46. Breach of Personally Identifiable Information 22
47. Withholding of Support, Suspension, and Termination 22
48, Indemnification 24
49. Warranties 25
50. Status of Grantee 26
51. Choice of Law and Forum. 26
52. Immunity from Liability. 27
53. Compliance with Iowa Code chapter 8F 27
54. Enhancement of Contractor Employee Whistleblower Protections. 27
55. Ownership of Deliverables. 28
56. Confidentiality, IT Standards, and Security 28
57. Qualifications of Staff . 29
1. General.
These standard grant conditions, unless otherwise stated herein, apply to the following
grant programs administered in Iowa by the Governor's Office of Drug Control Policy
(ODCP): Byrne Justice Assistance Grant; Methamphetamine Hot Spots; Residential
Substance Abuse Treatment; Byrne Discretionary; Second Chance; Drug Court; Post -
conviction Testing of DNA Evidence to Exonerate the Innocent; Project Safe Neighborhoods;
John R. Justice; Drug Free Communities; Anti -Heroin Task Force; Comprehensive Opioid
Abuse Program; Paul Coverdell Forensic Science; and any other Grant administered by the
ODCP involving Federal or State funding.
The Grantee shall provide the necessary facilities, materials, services, and qualified
personnel to perform and/or provide all the services set forth in the approved application
and the letter of notification for the grant amount. The grant budget will be a basis for the
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Grantee's expenditure of the grant amount. Acceptance of the terms and conditions of the
grant is indicated by the applicants' signatures on the grant contract, attached certification,
and by requesting and expending grant funds.
The Grantee shall abide by all applicable Federal, State, and local laws, rules and
regulations. The Grantee shall comply with all applicable U.S. Department of Justice Grant
Award Special Conditions which govern subrecipients/subgrantees. The Certified
Assurances and forms signed and or submitted via www.iowagrants.gov by the Grantee in
making application for grant funds are incorporated herein.
2. Definitions.
a. "Deliverable" means any good, product, service, work, work product, item, material
or property created, developed, produced, delivered, performed or provided by or on
behalf of Grantee in connection with this contract.
b. "JAG" means the Federal Byrne —Justice Assistance Grant program, for which the
ODCP is the State Administering Agency in Iowa.
c. "Grantee" or "Legal Applicant" or "Recipient" means the governmental agency
contracting with the Governor's Office of Drug Control Policy
d. "ODCP" means Governor's Office of Drug Control Policy.
e. "Program/Project Director" means the person who has been delegated authority to
administer the project described in the application.
f. "Special Conditions" means those conditions applying uniquely to this grant
contract as identified on the grant contract page.
g. "Standard Grant Conditions" means those conditions applying to all ODCP grant
contracts.
h. "State" means the State of Iowa.
3. Accountability for All Grantees.
The Grantee shall promote effectiveness, efficiency, and accountability. The Grantee must
serve the public in an ethical and transparent manner, including operating professionally,
truthfully, fairly, and with integrity and accountability to uphold public trust.
The ODCP reserves the right to verify the contents of the Grantee's application and any
assertions, reporting, attestations, and submissions to the ODCP or any other
governmental agency throughout the term of the grant. If the ODCP determines the
Grantee has provided false, misleading, or inaccurate information to the ODCP or another
governmental agency, grant funds may be withheld, suspended or terminated.
4. Additional Guidance for Nonprofit Organizations.
A nonprofit organization awarded a subcontract pursuant to section 9 must be aware of
and comply with applicable law and regulations. The Iowa Nonprofit Principles and
Practices for Charitable Nonprofit Excellence Revised 2016 shall be used as a means of
educating nonprofit organizations about the laws and regulations with which they must
comply and to provide guidance about good operational practices and ethical conduct. This
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publication may be accessed at https://inrc.law.uiowa.edu/sites/inrc.law.uiowa.edu/fileslpp-
2016ed-web.pdf
The purpose of the Iowa Principles and Practices for Charitable Nonprofit Excellence is to
promote good management practices, ethical conduct, and public accountability for Iowa
charitable nonprofit organizations as they perform their crucial community services. The
Principles and Practices are not regulatory. While many of the Principles and Practices
will be helpful to all nonprofits, they are specifically written for 501(c)(3) organizations.
The Iowa Principles and Practices for Charitable Nonprofit Excellence are intended to be
primarily an educational process designed to improve efficiency and accountability. It is
recognized that implementation will take different forms and occur at different levels,
given the resources of the nonprofits.
5. Accounts and Records.
a. The Grantee shall comply with pertinent state and Federal laws, and the provisions
of the Office of Justice Program's (OJP) Financial Guide:
https://oip.gov/financialguide/doi/pdfs/DOJ FinancialGuide.pdf
b. The Grantee shall maintain accurate, current, and complete records of the financial
activity of this contract, including records which adequately identify the source and
application of funds. The Grantee shall maintain separate records for each Federal
grant or program. Cash or matching contributions made by the Grantee shall be
verifiable from the Grantee's records. These records shall contain information
pertaining to contract amount, authorizations, obligations, unobligated balances,
assets, liabilities, expenditures, and program income.
c. The Grantee shall maintain effective control and accountability for all assets,
including current and accurate equipment inventory records. The Grantee shall
adequately safeguard all such assets and property and assure that it is used solely
for authorized purposes. Accounting records shall be supported by source
documentation such as canceled checks, paid bills, receipts, payrolls, contract award
documents, etc.
d. The Grantee, in making project expenditure accounts, records and reports, shall
make any necessary adjustments to reflect refunds, credits, underpayments or
overpayments, as well as any adjustments resulting from administrative or
compliance reviews and audits. Such adjustments shall be set forth in the financial
reports filed with the ODCP.
e. The Grantee shall maintain a sufficient recordkeeping system to provide statistical
data for the purpose of planning, monitoring, and evaluating their program.
f. The Grantee shall retain all pertinent records and books of accounts related to this
contract for a period of three (3) years following the closure of the Grantee's most
recent audit report. In the event of litigation, negotiation or audit findings, the
records shall be retained until all issues arising from such actions have been resolved
or until the end of the regular three-year period, whichever is later.
6. Cash/In-Kind Match (If required and included in the approved budget).
Grant application materials will specify the level and conditions of match required for each
grant program. If cash or in -kind match is required, the match will be identified in the
grant contract signed by the grantee as well as in the approved budget. If "cash" match is
4
included in the approved budget, the Grantee must be able to demonstrate that the match
is from a new appropriation, or from existing resources which were not intended for the
stated program purpose
The Grantee shall maintain records clearly showing the source, the amount, and the timing
of all match contributions. The following may be used as cash match:
a. Local and State appropriations;
b. Funds contributed from private sources;
c. Federal funds from the following sources:
1. Housing and Community Development Act of 1974;
2. Appalachian Regional Development Act;
3. General Revenue Sharing;
d. Existing resources (as long as the existing funds were used in areas other than the
stated program purpose);
e. Salaries of existing personnel who are transferred to grant activities (if the original
positions are filled with new personnel;
f. Asset forfeiture funds resulting from State or Federal court action per applicable
state and Federal guidelines;
g. Program income and the related interest earned on that program income generated
from projects may be used as match provided it is identified and approved prior to
making an award;
h. Funds appropriated by Congress for the activities of any agency of a Tribal
government or the Bureau of Indian Affairs performing law enforcement functions on
Tribal lands; and
i. Funds otherwise authorized by law.
All funds designated as match are restricted to the same use as grant program funds. The
matching share must be obligated by the end of the period for which Federal funds have
been made available for obligation under an approved program or project. The Grantee
must submit a written plan for expenditure of matching funds if requested by the ODCP.
7. Non -Supplanting Requirement.
Federal funds must be used to supplement existing funds for program activities and not
replace those funds which have been appropriated for the same purpose. Potential
supplanting will be the subject of application review, as well as pre -award review, post -
award monitoring, and audit. If there is a potential presence of supplanting, the grantee
will be required to supply documentation demonstrating that the reduction in non -Federal
resources occurred for reasons other than the receipt or expected receipt of Federal funds.
8. Program Income,
"Program income" means gross income earned by the Grantee during the grant period as a
direct result of the grant award. Direct result is defined as a specific act or set of activities
that are directly attributable to grant funds and which are directly related to the goals and
objectives of the project.
Program income shall be accounted for and used for any purpose that furthers the broad
objectives of the legislation under which the award was made.
5
Program income earnings and expenditures must be reported with claims for
reimbursement and must be used in accordance with the provisions of 2 CFR Part 200,
Uniform Administrative Requirements.
9. Subcontracting.
None of the activities or funds of this grant shall be subcontracted to another organization
or individual without specific prior approval by the ODCP, with the exception of
subcontracts under $1,000. To obtain ODCP approval, the Grantee shall submit the
proposed contract or written agreement between the parties. The contract or agreement
must contain a list of the activities to be performed by the subcontractor, and the contract
policies and requirements. All grant related certifications and conditions agreed upon by
the applicant agency shall be passed on to subcontracting agencies. Subcontractors shall
complete the Standard Grant Condition Certification.
Open and free competition is required unless specific advanced approval is obtained to use
a noncompetitive approach in contracting for a good or service.
10.Unreasonable restrictions on competition under the award; association with
federal government
Consistent with the (DOJ) Part 200 Uniform Requirements -- including as set out at 2 C.F.R.
200.300 (requiring awards to be "manage[d] and administer[ed] in a manner so as to ensure
that Federal funding is expended and associated programs are implemented in full
accordance with U.S. statutory and public policy requirements") and 200.319(a) (generally
requiring "fall]. procurement transactions [to] be conducted in a manner providing full and
open competition" and forbidding practices "restrictive of competition," such as "[p]lacing
unreasonable requirements on firms in order for them to qualify to do business" and taking
"[a]ny arbitrary action in the procurement process") — no recipient (or subrecipient, at any
tier) may (in any procurement transaction) discriminate against any person or entity on the
basis of such person or entity's status as an "associate of the federal government" (or on the
basis of such person or entity's status as a parent, affiliate, or subsidiary of such an
associate), except as expressly set out in 2 C.F.R. 200.319(a) or as specifically authorized by
USDOJ.
The Grantee monitoring responsibilities include monitoring of subrecipient compliance with
this condition.
11.Property and Equipment.
a. Iowa Administrative Code, Chapter 110 and Section III, 3.7 of OJP's Financial Guide
prescribe property rules and regulations.
b. The Grantee shall develop procedures to assure competitive acquisition of approved
purchases.
c. Definition of Equipment: Any item costing $5,000 or more and having an anticipated
useful life of more than one year. Chairs, tables, files and movable partitions costing
less than $5,000 shall be accounted for in aggregate. All other items of equipment
shall be accounted for individually.
6
The above definition identifies a minimum list of items, which must be considered as
equipment. The Grantee's accounting system may include other items of equipment
as well.
d. The Grantee shall maintain property records, inventory control, and maintenance
procedures for all non -expendable property purchased all or in part with grant funds.
An inventory report form must be completed and submitted with the last project
report to the ODCP. Procedures for managing equipment (including replacement,
whether acquired in whole or in part with project funds), will, at a minimum, contain
records, which include the following:
1.) Description of the property;
2.) Serial number or other identification number;
3.) Source of the property;
4.) Identification of who holds the title;
5.) Acquisition date;
6.) Cost of the property;
7.) Location of the property; and
8.) Disposition data including the date of disposal and sale price.
e. Title of Property: Notwithstanding any other provision of law, title to all expendable
and nonexpendable property purchased with grant funds made available under the
Grant Program shall vest in the agency that purchased the property, if it certifies to
the ODCP that it will use the property for the purposes outlined in the grant
application. If such certification is not made, title to the property shall vest in the
State of Iowa, which shall seek to have the property used for program related
purposes elsewhere in the state prior to using it or disposing of it in any other manner.
f. Use of Property: The Grantee may use property acquired in whole or in part with
Federal funds for the authorized purpose of the original grant as long as needed
whether or not the program or project continues to be supported by Federal funds.
12. Computer Systems.
No federal funding may be used to maintain or establish a computer network unless such
network blocks the viewing, downloading, and exchanging of pornography. Nothing in this
subsection limits the use of funds necessary for any Federal, State, tribal, or local law
enforcement agency or any other entity carrying out criminal investigations, prosecution, or
adjudication activities.
13.Travel.
Travel specifically identified in the grant application and budget is approved for
reimbursement by the ODCP. Out of state training and travel not identified and approved
in the application and grant budget requires approval by the ODCP prior to reimbursement.
Requests for out-of-state training and travel must be submitted to the ODCP in writing.
The Grantee shall follow its own written policies, or conditions set forth in the grant. Meal
and lodging rates cannot exceed state rates.
In -State meal rates
o Breakfast $8.00
o Lunch $10.00
o Dinner $19.00
Out of State:
Meal rates are determined by City Level. The following link shows the level for the location you are
traveling to - https://das.iowa.gov/state-accounting/travel-relocation/out-state-travel/out-state-city-
levels
Level 1 Level 2 Level 3 Level 4
Breakfast $ 8.00 $ 8.00 $10.00 $12.00
Lunch $10.00 $11.00 $12.00 $15.00
Dinner $19.00 $25.00 $29.00 $38.00
In -state lodging is limited to $72.80 including taxes.
Out -of state lodging limits are defined by the federal travel regulations (FTR)
httos://www.gsa.gov/travel/plan-book/per-diem-rates
There may be exceptions to the lodging rates when staying at the facility hosting the event. If the event
location rate exceeds the rate listed above, contact our office to receive prior approval.
In the event a reasonable and prudent policy does not exist, State of Iowa approval rates
will apply to subrecipient travel costs. Subrecipients are encouraged to contact ODCP with
questions regarding travel reimbursement rates and processes.
14. Payments.
Expenditure reports must be submitted monthly. Expenditure reimbursement shall be
made on program cash expenditures included in the grant budget and upon the receipt and
acceptance by the ODCP of a properly completed and authorized expenditure report and
supporting documentation. Reimbursement must be requested within 23 days after the end
of the period for which payment is being requested. Payments may be adjusted to correct
disallowance's resulting from audit or contract review. Reimbursement may be withheld if
a grantee is delinquent in program reporting or if the grantee fails to meet any contract
condition.
15.Reporting..
Form to be Used:
a. Claim for Reimbursement - Completed
online at www.iowagrants.gov
b. Quarterly Progress Reports - Completed
online at www.iowagrants.gov
Due Date:
Due by the 23rd day of each month,
following expenditures. Projects in
good standing may elect to submit on
a quarterly basis.
Due Date:
October 23rd
January 23rd
April 23rd
July 23rd
c. Inventory Report Form Due Date
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Equipment purchased all or in part
with grant funds must be listed
on the inventory report form.
(See property.) Due to the ODCP
30 days after the grant
period.
d Annual Audit Report
If agencies are exempt from audit
requirements, the Grantee must keep
records that are available for
review or audit by appropriate
officials including the Federal
agency, the State agency, and the
US Government Accountability
Office (GAO).
July 31st
Due Date
For July 1st through June 30th
audit is due by March 31st
16.Awards to private agencies - accounting system audit requirement.
These organizations must have financial and compliance audits conducted by qualified
individuals who are organizationally, personally, and externally independent from those
who authorize the expenditure of Federal funds. This audit must be conducted in accordance
with the Government Auditing Standards (December 2011 Revision), as found on the GAO
website. The purpose of this audit is to ascertain the effectiveness of the financial
management systems and internal procedures that have been established to meet the terms
and conditions of the award. Audits must be conducted no less frequently than every 2
years. The dollar threshold applies as established for audit reports in OMB Circular A-133,
as amended.
17.Audits:
Subrecipients of Federal funds are required to permit access to their records and financial
statements as necessary to comply with Title 2 CFR Part 200, Subpart F Audit
Requirements and Code of Iowa, Chapter 11, Audit of Counties, Cities and School Districts.
Non -Federal entities that expend $750,000 or more in Federal funds (from all sources
including pass -through subawards) in the State fiscal year (July 1 - June 30) shall have a
single organization -wide audit conducted in accordance with the provisions of Title 2 CFR
Part 200, Subpart F.
Non -Federal entities that expend less than $750,000 in Federal awards in a fiscal year are
exempt from audit requirements for that year. Records must be available for review or audit
by appropriate officials including the Federal agency, pass -through entity, and General
Accounting Office (GAO).
A management letter must be submitted with the audit report. Grantee audit reports must
be submitted no later than nine (9) months after the close of each fiscal year during the term
of the award. Grantees shall comply with any audit resolution activities as directed by the
ODCP.
9
Audit costs for audits not required or performed in accordance with Title 2 CFR Part 200,
Subpart F are not allowable. If the grantee did not expend $750,000 or more in Federal
funds in its fiscal year, but contracted with a certified public accountant to perform an audit;
these costs may not be charged to the grant.
18. M onitoring/Evaluation.
The ODCP reserves the right to monitor the Grantee's performance through site visits,
reports, or other means deemed necessary by the ODCP. The Grantee agrees that the ODCP
may conduct site visits to review grant compliance, assess management controls, assess the
applicable activities or strategies, and provide technical assistance. In addition, the
Grantee shall provide any data or information required for the purposes of monitoring and
program evaluation. Such evaluation may be conducted by the ODCP or other appropriate
agencies. The Grantee shall ensure the cooperation of the Grantee's employees, agents, and
board members in such efforts.
Following each site visit or review the ODCP may submit a written report to the Grantee,
which will identify the findings. A corrective action plan with a timetable to address any
deficiencies or problems noted in the report may be requested by the ODCP. The corrective
action plan shall be submitted to the ODCP for the approval within the timeline outlined in
the written report. The Grantee shall carry out the plan after it is approved by the ODCP.
Failure to do so may result in suspension or termination of funding.
19.Changes in the Program.
a. Changes in Service: Changes in types of services provided by the Grantee as agreed
to in the application and award require prior approval by the ODCP.
Discontinuation or modification of a service without prior approval may result in a
decrease in the grant amount or termination of the grant.
b. Changes in Location: The Grantee shall notify the ODCP of any change in office or
service location (relocation, addition, or deletion) from that shown in the application
within 72 hours of such change.
c. Changes in Program Director or Other Personnel: When there is a change in the
program director or any other personnel supported by the grant from that shown on
the application, the ODCP must be notified. The Grantee is responsible for
replacement, and written notification to the ODCP of each action within 72 hours.
d. Change in Legal Applicant/Grantee: This grant shall not be assigned, transferred, or
conveyed in whole or in part by the Grantee to any third party or parties without
prior written approval from the ODCP. A change in legal applicant is the process
whereby the legal and administrative responsibility for administering the grant is
transferred from one legal entity to another. A change of Grantee must be approved
in advance by the ODCP. The ODCP reserves the right to not contract with a new
Grantee. A written agreement of the original Grantee to relinquish all rights to the
project; and, a written agreement of the new Grantee to accept all the terms and
conditions of the contract must be submitted to and approved by the ODCP prior to
the date of transfer.
e. Change in Budget: Due to the fact that budget line item amounts are only estimates
of budget expenditure, funds may be reallocated among budget line items. Budget
10
revision requests must be submitted, and approved by, the ODCP prior to the revised
expenditure of funds. The ODCP will not reimburse funds for unapproved
expenditures. Budget revisions may be requested, via iowagrants.gov, by the legal
applicant and/or the legal applicant's authorized designee (e.g. the Program/Project
Director), who must certify that the change in budget does not constitute a change in
the goals and objectives of the program.
20. Copyrights.
The U.S. Department of Justice and the State of Iowa, ODCP reserve a royalty -free,
nonexclusive, and irrevocable license to reproduce, publish or otherwise use, and to
authorize others to use: a) the copyright in any work developed under a grant, or contract
under a grant or subgrant; and b) any rights of copyright to which Grantee or contractor
purchases ownership with grant support.
21.Federal Funds Acknowledgment.
Program directors are encouraged to make the results and accomplishments of their
activities available to the public. Prior ODCP approval is not needed for publishing the
results of an activity under a grant project; however, an acknowledgment of State/Federal
support must be made, The Grantee shall, when issuing statements, press releases, and
other documents describing the grant project, clearly state: a) the percentage of the total
cost of the project which was or will be financed with Federal and State funds; and b) the
dollar amount of Federal and State funds for the project.
Any publication (written, visual, or sound), whether published at the Grantee's or
government's expense, shall contain the following statements: (NOTE: This excludes press
releases, newsletters, and issue analyses.)
"This project was supported by Grant No. , awarded by the U. S. Department
of Justice. Points of view in this document are those of the author and do not
necessarily represent the official position or policies of the U.S. Department of Justice
or the Governor's Office of Drug Control Policy."
22.Release of Information and Confidentiality of Records.
a. Release of Public Grant Information: The Grantee is required to make available all
records, papers and other documents kept by the Grantee relating to the receipt and
disposition of any funds, if requested by any member of the public. All such records
shall be available except when access to the records is limited by Federal or State
confidentiality regulations. The intended use of such information will not be a
criterion for release.
b. Confidentiality of Records: The Grantee shall maintain the confidentiality of all
confidential records related to this grant in accordance with Federal and State laws.
Privacy rights of parents and students apply to this program. Grantee policies and
procedures shall provide that records of the identity, diagnosis, prognosis, or
treatment of any client which are maintained in connection with the performance of
the grant be kept confidential and be used only for the purposes and under the
circumstances expressly authorized under the Federal confidentiality regulations 42
CFR part 2 "Confidentiality of Alcohol and Drug Abuse Patient Records" and the Code
of Iowa, Chapter 22.7. The Grantee shall comply with all confidentiality requirements
11
of 42 U.S.C. 3789g and 28 CFR part 22 that are applicable to the collection, use, and
revelation of data or information.
23.Protection of human research subjects
The grantee (and any subrecipient at any tier) must comply with the requirements of' 28
C.F.R. Part 46 and all OJP policies and procedures regarding the protection of human
research subjects, including obtainment of Institutional Review Board approval, if
appropriate, and subject informed consent.
24. Conflict of Interest.
The Grantee shall establish safeguards to prevent employees, consultants, or members of
governing bodies from using their positions for purposes that are, or give the appearance of
being, motivated by the desire for private gain for themselves or others with whom they
have family, business, or other ties.
25.Report Misuses of Funds.
The Grantee must promptly refer to the ODCP any credible evidence that a principal,
employee, agent, contractor, subgrantee, subcontractor, or other person has either 1)
submitted a false claim for grant funds under the False Claims Act; or 2) committed a
criminal or civil violation of laws pertaining to fraud, conflict of interest, bribery, gratuity,
or similar misconduct involving grant funds. This condition also applies to any subcontract
for services.
26.Restrictions and certifications regarding non -disclosure agreements and related
matters.
No Grantee or subrecipient under this award, or entity that receives a contract or
subcontract with any funds under this award, may require any employee or contractor to
sign an internal confidentiality agreement or statement that prohibits or otherwise
restricts, or purports to prohibit or restrict, the reporting (in accordance with law) of waste,
fraud, or abuse to an investigative or law enforcement representative of a Federal
department or agency authorized to receive such information.
The foregoing is not intended, and shall not be understood by the agency making this award,
to contravene requirements applicable to Standard Form 312 (which relates to classified
information), Form 4414 (which relates to sensitive compartmented information), or any
other form issued by a Federal department or agency governing the nondisclosure of
classified information.
1) In accepting this award, the Grantee --
a) represents that it neither requires nor has required internal confidentiality
agreements or statements from employees or contractors that currently prohibit or
otherwise currently restrict (or purport to prohibit or restrict) employees or
contractors from reporting waste, fraud, or abuse as described above; and
b) certifies that, if it learns or is notified that it is or has been requiring its employees
or contractors to execute agreements or statements that prohibit or otherwise restrict
(or purport to prohibit or restrict) reporting of waste, fraud, or abuse as described
above, it will immediately stop any further obligations of award funds, will provide
12
prompt written notification to the agency making this award, and will resume (or
permit resumption of) such obligations only if expressly authorized to do so by that
agency.
27.Drug Free Workplace.
Each Grantee receiving an award from the Governor's Office of Drug Control Policy shall
certify that it will maintain a drug -free workplace, or in the case of a Grantee, who is an
individual, certify to the agency that his or her conduct of award activity will be drug -free.
If a Grantee makes a false certification, the Grantee is subject to suspension, termination,
and debarment. In order to comply with the Drug Free Workplace Act of 1988, Grantees
are required to report any conviction of their employees under a criminal drug statute for
violations occurring on the Grantee's premises or off the Grantee's premises while
conducting official business. A report of a conviction must be made to the ODCP within ten
(10) days of receiving notices of such conviction.
28.Americans With Disabilities Act.
The Grantee shall comply with Subtitle A, title II of the Americans with Disabilities Act
(ADA), 42 U.S.C. 12131-12134, and Department of Justice implementing regulation, 28 CFR
Part 35.
29.Imnaigration and Naturalization Service.
The Grantee shall complete and keep on file, as appropriate, Immigration and
Naturalization Service Employment Eligibility Verification Form (I-9). This form is to be
used by recipients of Federal funds to verify that persons are eligible to work in the United
States.
30.Limited English Proficiency.
"Applicants must certify that Limited English Proficiency persons have meaningful access
to the services under this program(s). National origin discrimination includes
discrimination on the basis of limited English proficiency (LEP). To ensure compliance with
Title VI and the Safe Streets Act, recipients are required to take reasonable steps to ensure
that LEP persons have meaningful access to their programs. Meaningful access may entail
providing language assistance services, including oral and written translation when
necessary. The U.S. Department of Justice has issued guidance for grantees to help them
comply with Title VT requirements. The guidance document can be accessed on the Internet
at www.lep.gov."
Local interpreters and translators may be available through the Iowa Interpreters and
Translators Association at https://www.iitanet.org,
31. Nondiscrimination/Equal Employment Opportunity Program.
a. All grant recipients, including contractors, will comply with any applicable Federal
nondiscrimination requirements, which may include the following: Omnibus Crime
Control and Safe Streets Act of 1968 (42 U.S.C. 3789d); Victim of Crime Act (42 U.S.C.
10604(e)); Juvenile Justice and Delinquency Prevention Act of 2002 (42 U.S.C.
5672(b)); Civil Rights Act of 1964 (42 U.S.C. 2000d); Rehabilitation Act of 1973 (29
13
U.S.C. 794); Americans with Disabilities Act of 1990 (42 U.S.C. 12131-34); Education
Amendments of 1972 (20 U.S.C. 1681, 1683, 1685-86); Age Discrimination Act of 1975
(42 U.S.C. 6101-07); 28 C.F.R. pt. 42 (U.S. Department of Justice Regulations —
Nondiscrimination; Equal Employment Opportunity; Policies and Procedures); Ex.
Order 13279 (equal protection of the laws for faith -based and community
organizations); Violence Against Women Reauthorization Act of 2013; and 28 C.F.R.
pt. 38 (U.S. Department of Justice Regulations — Equal Treatment for Faith -Based
Organizations).
b. In the event a Federal or State court or Federal or State administrative agency makes
a finding of discrimination after a due process hearing on the grounds of race, color,
religion, national origin, or sex against a recipient of funds, the Grantee will forward
a copy of the finding to the Office for Civil Rights, Office of Justice Programs and the
Iowa Governor's Office of Drug Control Policy (ODCP).
c. The Grantee will provide an Equal Employment Opportunity Plan (EEOP) to the U.S.
Department of Justice, Office of Justice Programs, Office for Civil Rights (OCR), if
required to submit one. Otherwise, it will provide a certification to the OCR and the
ODCP that it has a current EEOP on file, if required to maintain one. Grantee
agencies receiving less than $25,000; grantee agencies with less than 50 employees,
regardless of the amount of the award; and non-profit organizations, Indian Tribes,
and medical and education institutions, are exempt from the EEOP requirement, but
the grantee is required to submit a certification form to the OCR to claim the
exemption. A copy of the certification form shall also be submitted to the ODCP.
Information about civil rights obligations of grantees can be found at
www.oin.usdoi.eovlocr
d. In accordance with Federal civil rights laws, the Grantee shall not retaliate against
individuals for taking action or participating in action to secure rights protected by
these laws.
All grant recipients, including contractors, will also comply with the Iowa Civil Rights
Act. The Iowa Civil Rights Act, (IAC Ch 216), prohibits discrimination in employment
because of a person's: Race, Creed, Color, Sex, Age, National Origin, Gender Identity,
Sexual Orientation, Disability, or Religion.
e. Grant recipients, if required, must make available, upon request, its Affirmative
Action Program containing goals and time specifications.
f. This contract may be suspended or terminated, in whole or in part, in the event of the
Grant recipient's noncompliance with this section and the recipient may be declared
ineligible for further contracts with the ODCP. Additionally, the ODCP may take
further action by imposing other sanctions or invoking other remedies as provided by
the Iowa Civil Rights Act of 1965 or as otherwise provided by law.
g. The U.S_ Department of Justice, Office of Civil Rights issued an advisory document
for grant recipients on the proper use of arrest and conviction records in making
hiring decisions_ See Advisory for Recipients of Financial Assistance from the U.S.
Department of Justice on the U.S. Equal Employment Opportunity Commission's
Enforcement Guidance: Consideration of Arrest and Conviction Records in
Employment Decisions Under Title VII of the Civil Rights Act of 1964 (June 2013),
available at https:l/ojp.gov/about/ocrlpdfs/UseofConviction_Advisory.pdf. Recipients
should be mindful that the misuse of arrest or conviction records to screen either
applicants for employment or employees for retention or promotion may have a
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disparate impact based on race or national origin, resulting in unlawful employment
discrimination. In light of the Advisory, the Grantee should consult local counsel in
reviewing their employment practices. If warranted, the Grantee should also
incorporate an analysis of the use of arrest and conviction records in their Equal
Employment Opportunity Plans.
32. Findings of Discrimination.
The Grantee assures that in the event a Federal or State court or administrative agency
makes a finding of discrimination after a due process hearing on the grounds of race, color,
religion, national origin, disability, age, sexual orientation, gender identity, or sex against
a recipient of funds, the Grantee will promptly forward a copy of the finding to the
Governor's Office of Drug Control Policy.
33.Determination of suitability required, in advance, for certain individuals who
may interact with participating minors
1. Advance determination regarding suitability. The Grantee (and any subrecipient at
any tier) may not permit any covered individual to interact with any participating
minor in the course of activities under the award, unless the Grantee or subrecipient
first has made a written determination of the suitability of that individual to interact
with participating minors, based on current and appropriate information as described
in paragraph 3.e., and taking into account the factors and considerations described in
paragraph 4.
2. Updates and reexaminations
a. The Grantee (or subrecipient) must, at least every five years, update the
searches described in paragraph 3.e, reexamine the covered individual's
suitability determination in light of those search results, and, if appropriate,
modify or withdraw that determination.
b. The Grantee also must reexamine a covered individual's suitability
determination upon learning of information that reasonably may suggest
unsuitability and, if appropriate, modify or withdraw that determination.
3. Definitions
a. "Covered individual" means any individual (other than a participating minor, as
defined in this condition, or a client of the Grantee (or subrecipient)) who is
expected, or reasonably likely, to interact with any participating minor (other
than the individual's own minor children). A covered individual need not have
any particular employment status or legal relationship with the Grantee (or
subrecipient). Such an individual might be an employee of a Grantee (or
subrecipient), but also might be (for example) a consultant, contractor, employee
of a contractor, trainee, volunteer, or teacher.
b. "Participating minor." All individuals under 18 years of age participating in
grant funded activities are participating minors.
c. "Interaction" includes physical contact, oral and written communication, and the
transmission of images and sound, and may be in person or by electronic (or
similar) means. But "interaction" does not include--
i. brief contact that is both unexpected by the Grantee (or subrecipient) and
unintentional on the part of the covered individual -- such as might occur
when a postal carrier delivers mail to an administrative office.
15
ii. personally -accompanied contact -- that is, infrequent or occasional contact
(for example, by someone who comes to make a presentation) in the
presence of an accompanying adult, pursuant to written policies and
procedures of the Grantee (or subrecipient) that are designed to ensure
that -- throughout the contact -- an appropriate adult who has been
determined to be suitable pursuant to this condition will closely and
personally accompany, and remain continuously within view and earshot
of, the covered individual.
d. "Activities under the award." Whether paid for with federal funds from the
award, "matching" funds, or "program income" for the award include both--
i. activities carried out under the award by the Grantee (or subrecipient);
and
ii. actions taken by an entity or individual pursuant to a procurement
contract under the award or to a procurement contract under a subaward
at any tier.
e. "Current and appropriate information"
In addition to information resulting from checks or screening required by
applicable federal, state, tribal, or local law, and/or by the Grantee's (or
subrecipient's) written policies and procedures, current and appropriate
information includes the results of all required searches listed below, each of
which must be completed no earlier than six months before the determination
regarding suitability.
i. Public sex offender and child abuse websites/registries
A search (by current name, and, if applicable, by previous name(s) or
aliases), of the pertinent and reasonably- accessible federal, state, and (if
applicable) local and tribal sex offender and child abuse websites/public
registries, including —
a. the Dru Sjodin National Sex Offender Public Website
(www.nsopw.gov);
b. the website/public registry for each state (and/or tribe, if applicable)
in which the individual lives, works, or goes to school, or has lived,
worked, or gone to school at any time during the past five years;
and
c. the website/public registry for each state (and/or tribe, if applicable)
in which the individual is expected to, or reasonably likely to,
interact with a participating minor in the course of activities under
the award.
ii. Criminal history registries and similar repositories of criminal history
records
For each individual at least 18 years of age who is a covered individual
under this FY 2019 award, a fingerprint search (or, if the Grantee or
subrecipient documents that a fingerprint search is not legally available, a
name -based search, using current and, if applicable, previous names and
aliases) -- encompassing at least the time period beginning five calendar
years preceding the date of the search request -- of pertinent state (and, if
applicable, local and tribal) criminal history registries or similar
repositories, including--
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a. the criminal history registry for each state in which the individual
lives, works, or goes to school, or has lived, worked, or gone to
school at any time during the past five years; and
b, the criminal history registry for each state in which he or she is
expected to, or reasonably likely to, interact with a participating
minor in the course of activities under the award.
4. Factors and considerations in determinations regarding suitability
In addition to the factors and considerations that must or may be considered under
applicable federal, state, tribal, or local law, and under the Grantee's (or subrecipient's)
written policies and procedures, in making a determination regarding suitability, the
Grantee (or subrecipient) must consider the current and appropriate information
described in paragraph 3.e.
In particular (unless applicable law precludes it), with respect to either an initial
determination of suitability or a subsequent reexamination, the Grantee (or
subrecipient) may not determine that a covered individual is suitable to interact with
participating minors in the course of activities under the award if the covered
individual --
a. Withholds consent to a criminal history search required by this condition;
b. Knowingly makes (or made) a false statement that affects, or is intended to
affect, any search required by this condition;
c. Is listed as a registered sex offender on the Dru Sjodin National Sex Offender
Public Website;
d. To the knowledge of the Grantee (or subrecipient), has been convicted -- whether
as a felony or misdemeanor -- under federal, state, tribal, or local law of any of
the following crimes (or any substantially equivalent criminal offense, regardless
of the specific words by which it may be identified in law):
i. sexual or physical abuse, neglect, or endangerment of an individual under
the age of 18 at the time of the offense;
ii. rape/sexual assault, including conspiracy to commit rape/sexual assault;
iii. sexual exploitation, such as through child pornography or sex trafficking;
iv. kidnapping;
v. voyeurism; or
e. Is determined by a federal, state, tribal, or local government agency not to be
suitable.
5. Administration; rule of construction
a. The requirements of this condition are among those that must be included in any
subaward (at any tier), and must be monitored. They apply as of the date of
acceptance of the grant, and throughout the remainder of the period of
performance.
b. The Grantee is to contact the ODCP with any questions regarding the
requirements of this condition and must not allow a covered individual to
interact with a participating minor until such questions are answered.
c. Nothing in this condition shall be understood to authorize or require the
Grantee, any subrecipient at any tier, or any person or other entity, to violate
any federal, state, tribal, or local law, including any applicable civil rights or
nondiscrimination law.
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34.Equal Treatment for Faith Based Organizations.
The Grantee shall comply with the applicable requirements of 28 C.F.R. Part 38, governing
"Equal Treatment for Faith Based Organizations". The Equal Treatment Regulation
provides in part that grant awards may not be used to fund any inherently religious
activities, such as worship, religious instruction, or proselytization. Grant recipients may
still engage in inherently religious activities, but such activities must be separate in time
or place from the grant funded program, and participation in such activities by individuals
receiving services from the grantee or a sub -grantee must be voluntary. The Equal
Treatment Regulation also makes clear that organizations participating in programs funded
through grant funding are not permitted to discriminate in the provision of services on the
basis of a beneficiary's religion. Notwithstanding any other special condition of this award,
faith based organizations may, in some circumstances, consider religion as a basis for
employment. See http:llwww.ojp.govlaboutlocr/equal fbo.htm.
35.Lobbying Restrictions.
The Grantee agrees that:
a. No Federal appropriated funds have been paid or will be paid, by or on behalf of the
Grantee, to any person for influencing or attempting to influence an officer or
employee of Congress, or an employee of a member of Congress in connection with
the awarding of any Federal contract, the making of any Federal grant, the making
of any Federal loan, the entering into of any cooperative agreement, and the
extension, continuation, renewal, amendment, or modification of any Federal
contract, grant, loan, or cooperative agreement.
b. If any funds other than Federal appropriated funds have been paid or will be paid to
any person for influencing or attempting to influence an officer or employee of any
agency, a member of Congress, an officer or employee of Congress, or an employee of
a member of Congress in connection with this Federal contract or grant, and the
Grantee receives Federal funds exceeding $100,000, the Grantee shall complete and
submit standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance
with its instructions https://www.gsa.govlforms-library/disclosure-lobbying-activities
c. The Grantee shall require that the language of this certification be included in any
subcontracts and that all contractors shall certify and disclose accordingly. Any
person who fails to file the required certification shall be subject to a civil penalty of
not less than $10,000 and not more than $100,000 for each such failure.
36.Sanctuary Jurisdiction.
(Byrne JAG & PSN Grantees Only) Grantee will comply with the provisions of 8 U.S.0
§ 1373 and 1644 which addresses the exchange of information regarding citizenship and
immigration status among Federal, State, and local government entities and officials from
"prohibit[ing] or in any way restrict[ing]" government officials or entities from sending to,
or receiving from, Federal immigration officers information concerning an individual's
citizenship or immigration status. Certain granteeslsubgrantees may also be required to
complete a U.S. DOJ certification.
The following provisions apply to the recipient of this award, if the recipient is a unit of local
government, and also apply to any local -government subrecipient of this award at any tier
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a. A local ordinance, -rule, -regulation, -policy, or -practice (or an applicable State
statute, -rule, -regulation, - policy, or -practice) must be in place that is designed to
ensure that agents of the United States acting under color of Federal law in fact are
given access to a local -government (or local -government -contracted) correctional
facility for the purpose of permitting such agents to meet with individuals who are
(or are believed by such agents to be) aliens and to inquire as to such individuals'
right to be or remain in the United States.
b. A local ordinance, -rule, -regulation, -policy, or -practice (or an applicable State
statute, -rule, -regulation, - policy, or -practice) must be in place that is designed to
ensure that, when a local -government (or local -government contracted) correctional
facility receives from DHS a formal written request authorized by the Immigration
and Nationality Act that seeks advance notice of the scheduled release date and time
for a particular alien in such facility, then such facility will honor such request and -
- as early as practicable.
37.Sanctuary Jurisdiction (Iowa Code).
The Grantee shall comply with the provisions of Iowa Code chapter 27A, which applies to
the enforcement of immigration laws. Grantees who are found to be in non-compliance with
Iowa Code 27A are ineligible to receive funds through the ODCP. Rules governing the
determination of non-compliance and the reinstatement of eligibility are provided in Iowa
Administrative code 541 chapter 13.
38.Liability.
a. If any provision contained herein is in conflict with any State or Federal law or shall
be declared to be invalid by any court of record of this State, such invalidity shall
affect only such portions as are declared invalid or in conflict with the law. Any
remaining portion ruled valid by the court shall continue to be in effect.
b. The ODCP reserves all administrative, contractual and legal remedies, which are
available in the event that the Grantee violates or breaches the terms of this contract.
39.Drug Task Force.
Officers funded by the Office of Drug Control Policy who encounter minors who as a direct
or indirect result of the presence and or the use of any illegal drug are at risk of exposure,
abuse, or neglect shall at a minimum report the encounter to the Department of Human
Services. Task forces are strongly encouraged to participate in a Drug Endangered Children
program designed to identify and protect the wellbeing of these youth.
40.Drug Task Force Training.
Each current member of a law enforcement task force funded with these funds who is a task
force commander, agency executive, task force officer, or other task force member of
equivalent rank, will complete Department of Justice required online (internet-based) task
force training. All task force members are required to complete this training once during
the life of this award, or once every four years if multiple awards include this requirement.
The training is provided free of charge online through BJA's Center for Task Force Integrity
and Leadership (www.ctfli.org). This training addresses task force effectiveness as well as
19
other key issues including privacy and civil liberties/rights, task force performance
measurement, personnel selection, and task force oversight and accountability. When
registering for the training, participants should use the preauthorization code QX6S4
41.Use of Force Training Metrics.
(Byrne JAG Grantees Only) Law enforcement agencies receiving director or sub -awarded
JAG funding must submit quarterly accountability metrics data related to training that
officers have received on the use of force, racial and ethnic bias, de-escalation of conflict, and
constructive engagement with the public.
42.NEPA Clandestine Methamphetamine Laboratories.
This condition facilitates compliance with the provision of the National Environmental
Policy Act (NEPA) relating to clandestine methamphetamine laboratory operations,
including the identification, seizure, or closure of clandestine methamphetamine
laboratories [hereinafter, "meth lab operations" ]. No Federal monies from this award may
be obligated to support meth lab operations unless the grant recipient implements this
condition.
The Office of Justice Programs (OJP), in consultation with the Bureau of Justice
Assistance, the Drug Enforcement Administration, and the Office for Community Oriented
Policing Services, prepared a Program -level Environmental, health and safety impacts
likely to be encountered by law enforcement agencies as they implement specific actions
under their methamphetamine laboratory operations. Consistent with the Assessment,
the following terms and conditions shall apply to the grant recipient for any OJP funded
meth lab operations:
a. The grant recipient shall comply with Federal, State, and local environmental,
health, and safety laws and regulations applicable to meth lab operations, to include
the disposal of the chemicals, equipment, and wastes resulting from those operations.
b. Grant recipients shall have a Mitigation Plan in place that identifies and documents
the processes and points of accountability within its state. This plan will be used to
ensure the adverse environmental, health, and safety impacts in the Assessment are
mitigated in a manner consistent with the requirements of this condition.
c. Grant recipients shall monitor grant funded meth lab operations to ensure that
they comply with the following nine mitigation measures identified in the Assessment
and whose implementation is addressed in the grantee's Mitigation Plan.
Methamphetamine Mitigation Conditions
Where applicable, grant recipients shall:
a. Provide medical screening of personnel assigned or to be assigned by the grantee
to the seizure or closure of clandestine methamphetamine laboratories;
b. Provide Occupational Safety and Health Administration (OSHA) required initial
and refresher training for law enforcement officials and all other personnel
assigned to either the seizure or closure of clandestine methamphetamine
laboratories;
c. As determined by their specified duties, equip the personnel with OSHA required
protective wear and other required safety equipment;
20
d. Assign properly trained personnel to prepare a comprehensive contamination
report on each seized/closed laboratory;
e. Utilize qualified disposal personnel to remove all chemicals and associated
glassware, equipment, and contaminated materials and wastes from the site(s) of
each seized laboratory;
f. Dispose of the chemicals, equipment, and contaminated materials and wastes at
properly licensed disposal facilities or, when allowable, at properly licensed
recycling facilities;
g. Monitor the transport, disposal and recycling components of subparagraphs
number "e" and "f' immediately above in order to ensure proper compliance;
h. Have in place and implement a written agreement with the responsible State
environmental agency. This agreement must provide that the responsible State
environmental agency agrees to: (i) timely evaluate the environmental condition
at and around the site of a closed clandestine laboratory; and (ii) coordinate with
the responsible party, property owner, or others to ensure that any residual
contamination is remediated, if determined necessary by the State environmental
agency and in accordance with existing State and Federal requirements;
i. Have in place and implement a written agreement with the responsible State or
local service agencies to properly respond to any minor, as defined by State law,
at the site. This agreement must ensure immediate response by qualified persons
who can (i) respond to the potential health needs of any minor at the site; (ii) take
that minor into protective custody unless the minor is criminally involved in the
meth lab activities or is subject to arrest for other criminal violations; (iii) ensure
immediate medical testing for methamphetamine toxicity; and (iv) arrange for any
follow-up tests, examinations, or health care made necessary as a result of
methamphetamine toxicity; and
j. Report all clandestine lab responses to the Iowa Division of Narcotics Enforcement
using EPIC report form #143. Assistance in completing this form is available by
calling 515/281-9054.
43.DUNS/SAM Registration.
Grant recipient shall register and provide the Governor's Office of Drug Control Policy a
Data Universal Number System (DUNS) number The Grantee shall maintain a current
registration with the System for Award Management (SAM) for the duration of the grant
project period.
44.Recipient Integrity and Performance.
The Grantee must comply with any and all applicable requirements regarding reporting of
information on civil, criminal, and administrative proceedings connected with (or connected
to the performance of) this award. Under certain circumstances, recipients of federal grant
funds are required to report information about such proceedings, through the Federal
System for Award Management (known as "SAM"), to the designated federal integrity and
performance system (currently, "FAPIIS").
The details of recipient obligations regarding the required reporting (and updating) of
information on certain civil, criminal, and administrative proceedings to the Federal
designated integrity and performance system (currently, "FAPIIS") within SAM are posted
21
on the OJP web site at http://ojp.gov/funding/FAPIIS.htm (Award condition: Recipient
Integrity and Performance Matters, including Recipient Reporting to FAPIIS), and are
incorporated by reference here.
45.Disclosure of "High Risk" Designation by Federal Agency.
The Grantee shall disclose to the Office of Drug Control Policy any designation of "high risk"
by any Federal grant -making agency currently or at any time during the course of the period
of performance under the award. For purposes of this disclosure, high risk includes any
status under which a Federal awarding agency provides additional oversight due to the
Grantee's past performance, or other programmatic or financial concerns with the Grantee.
46.Breach of Personally Identifiable Information.
The Grantee (including other participating agency supported by the award) must have
written procedures in place to respond in the event of an actual or imminent "breach" if it
(or participating agency)-- 1) creates, collects, uses, processes, stores, maintains,
disseminates, discloses, or disposes of "personally identifiable information (PII)" (2 CFR
200.79) within the scope of a grant -funded program or activity, or 2) uses or operates a
"Federal information system" (OMB Circular A-130). The Grantee's breach procedures must
include a requirement to report actual or imminent breach of PII to the Office of Drug
Control Policy no later than 24 hours after an occurrence of an actual breach, or the
detection of an imminent breach. The ODCP will in turn report the breach to the
appropriate Federal agency.
47.Withholding of Support, Suspension, and Termination.
a. Withholding of Support: With ten (10) days written notice, the ODCP may
temporarily withhold payment of funds until a corrective action plan has been
submitted by Grantee and approved by the ODCP. Reasons may include, but are not
limited to the following:
1.) Delinquency in submitting required reports;
2.) Failure to provide adequate management of the funds;
3.) Failure to show satisfactory progress in achieving the objectives of the program
or failure to meet the terms and conditions of the contract; and
4.) Failure to regularly coordinate the activities and services with other local
providers funded by the ODCP. Temporary withholding of funds does not
constitute just cause for the Grantee to interrupt services to clients.
b. Suspension: When, as determined by the ODCP, a Grantee has materially failed to
comply with the terms and conditions of the grant, the ODCP may, with ten (10) days
written notice to Grantee, suspend the grant. Only necessary and proper costs that
the ODCP agrees could not have reasonably been avoided during the period of
suspension will be paid by the ODCP. Suspension shall remain in effect until the
Grantee has shown to the satisfaction of the ODCP that corrective action has been or
will be taken, or until the ODCP terminates the grant.
c. Termination:
1. Termination for Cause: The ODCP may terminate a grant in whole or in part
any time before the date of completion if the ODCP determines that the
Grantee has failed in a material way to comply with the terms and conditions
of the grant. To terminate a grant, the ODCP must send written notice to the
22
Grantee stating the date and reasons for the termination. Payments to the
Grantee will be only for services provided or purchases authorized up to the
date of termination. Recovery of funds by the ODCP shall be made in
accordance with the terms and conditions of this grant.
2. Termination on Other Grounds: In addition to termination for cause, the
ODCP grants may be terminated in whole or in part as follows:
a By the ODCP with the consent of the Grantee. Both parties agree on
the termination conditions, including the effective date and, in the case
of partial terminations, the portion to be terminated.
b By the Grantee. Sixty (60) days written notice to the ODCP is required.
Such notice shall set forth the reason for such termination. Termination
of part of the grant is subject to Section 17 entitled "Changes in the
Program."
c By the ODCP due to the lack of adequate funds to support the grant.
Should this contract terminate prior to the expiration date as set forth
in the grant cover page, the Grantee agrees to deliver such information
and items which are due as of the date of termination.
d By the ODCP in whole or in part without the payment of any penalty or
incurring any further obligation to the Grantee whenever the ODCP
determines that such termination is in the best interests of the State.
In this event, the ODCP shall issue a termination notice to the Grantee
at least ten (10) days prior to the effective termination date. Following
termination upon notice, the Grantee shall be entitled to compensation,
upon submission of invoices and proper proof of claim, for services
provided under this contract up to and including the date of termination.
e In addition, the ODCP may terminate this contract effective
immediately without penalty and without advance notice for any of the
following reasons:
i. The Grantee furnished any statement, representation, warranty
or certification in connection with this Contract, the RFP or
other solicitation document that is false, deceptive, or
materially incorrect or incomplete;
ii. The Grantee or any of its officers, directors, employees, agents,
contractors or subcontractors has committed or engaged in fraud,
misappropriation, embezzlement, malfeasance, misfeasance, or
bad faith;
iii. The Grantee terminates or suspends its business;
iv. The Grantee has failed to comply with any applicable
international, Federal, State (including, but not limited to Iowa
Code chapter 8F), or local laws, rules, ordinances, regulations or
orders when performing within the scope of this Contract;
v. The ODCP determines or believes the Grantee has engaged in
conduct that: (a) has or may expose the ODCP or the State to
material liability, or (b) has caused or may cause a person's life,
health or safety to be jeopardized;
23
vi. The Grantee infringes or allegedly infringes or violates any
patent, trademark, copyright, trade dress or any other
intellectual property right or proprietary right, or the Grantee
misappropriates or allegedly misappropriates a trade secret or ;
vii. The Grantee fails to comply with any applicable confidentiality
laws, privacy laws, or any provisions of this Contract pertaining
to confidentiality or privacy.
d In the event of termination, the Grantee shall be reimbursed by the ODCP only for
those allowable costs incurred or encumbered up to and including the termination
date, subject to the continued availability of funds to the ODCP. Upon receipt of
notice of termination the Grantee shall cease work under this contract and take all
necessary or appropriate steps to limit disbursements and minimize costs, and shall
furnish a report within thirty (30) days of the date of notice of termination describing
the status of all work under the contract. The Grantee shall also immediately cease
using and return to the ODCP any personal property, equipment, or materials
provided by the ODCP to the Grantee and shall immediately return to the ODCP any
payments made by the ODCP for services that were not rendered by the Grantee.
e In the event of termination, the Grantee agrees to deliver such information and items
which are due as of the date of termination, including but not limited to partially
completed plans, drawings, data, documents, surveys, maps, and reports. The
Grantee shall ensure a smooth transition of services to clients, regardless of whether
this contract terminates prior to or upon the expiration date of the contract. If the
Grantee fails to ensure a smooth transition of services to clients, the ODCP may, at
its sole discretion, place the Grantee on its list of contractors barred from entering
into any contract with the ODCP and immediately terminate all other existing
contracts between the ODCP and the Grantee. The Grantee shall cooperate in good
faith with the ODCP and its employees, agents and independent contractors during
the transition period between the notification of termination and the substitution of
any replacement provider.
£ The ODCP shall not be liable for the following costs or expenses: unemployment
compensation; the payment of workers' compensation claims, which occur during the
Contract or extend beyond the date on which the Contract terminates; any costs
incurred by Grantee in its performance of the Contract, including, but not limited to,
startup costs, overhead or other costs associated with the performance of the
Contract; any damages or other amounts associated with the loss of prospective
profits, anticipated sales, goodwill, or for expenditures, investments or commitments
made in connection with this Contract; any taxes Grantee may owe in connection with
the performance of this Contract, including, but not limited to, sales taxes, excise
taxes, use taxes, income taxes or property taxes.
g The ODCP reserves all administrative, contractual and legal remedies which are
available in the event that the Grantee violates or breaches the terms of this contract.
48.Indemnification.
The Grantee and its successors and assignees agree to indemnify and hold harmless the
State of Iowa and the ODCP and its officers, employees, agents, and volunteers from any
and all liabilities, damages, settlements, judgments, costs and expenses, including the
24
reasonable value of time spent by the Attorney General's Office and the costs and expenses
and reasonable attorney fees of other counsel required to defend the ODCP or the State of
Iowa, related to or arising from any of the following:
a. Any violation of this contract.
b. Any negligent, intentional, or wrongful act or omission of the Grantee, its officers,
employees, agents, board members, contractors or subcontractors, or any other
person in connection with this project.
c. Any infringement of any patent, trademark, trade dress, trade secret, copyright, or
other intellectual property right.
d. The Grantee's performance or attempted performance of this contract.
e. Any failure by the Grantee to comply with all Federal, State, and local laws and
regulations.
f. Any failure by the Grantee to make all reports, payments, and withholdings required
by Federal and State law with respect to social security, employee income, and other
taxes, fees, or costs required by the Grantee to conduct business in the State of Iowa.
g. The death, bodily injury or damage to property of any enrollee, agent, employee,
business invitee or business visitor of the Grantee or any of its subcontractors.
h. Any failure by the Grantee to adhere to the confidentiality provisions of this contract.
49.Warranties.
a. The Grantee represents and warrants that: (i) all Deliverables shall be wholly
original with and prepared solely by Grantee; or it owns, possesses, holds, and has
received or secured all rights, permits, permissions, licenses and authority necessary
to provide the Deliverables to the ODCP hereunder and to assign, grant and convey
the rights, benefits, licenses and other rights assigned, granted or conveyed to the
ODCP hereunder or under any license agreement related hereto without violating
any rights of any third party; (ii) Grantee has not previously and will not grant any
rights in any Deliverables to any third party that are inconsistent with the rights
granted to the ODCP herein; and (iii) the ODCP shall peacefully and quietly have,
hold, possess, use and enjoy the Deliverables without suit, disruption or interruption.
b. The Grantee represents and warrants that: (i) the Deliverables (and all intellectual
property rights and proprietary rights arising out of, embodied in, or related to such
Deliverables); and (ii) the ODCP's use of, and exercise of any rights with respect to,
the Deliverables (and all intellectual property rights and proprietary rights arising
out of, embodied in, or related to such Deliverables), do not and will not, under any
circumstances, misappropriate a trade secret or infringe upon or violate any
copyright, patent, trademark, trade dress or other intellectual property right,
proprietary right or personal right of any third party. Grantee further represents and
warrants there is no pending or threatened claim, litigation or action that is based on
a claim of infringement or violation of an intellectual property right, proprietary right
or personal right or misappropriation of a trade secret related to the Deliverables.
Grantee shall inform the ODCP in writing immediately upon becoming aware of any
actual, potential or threatened claim of or cause of action for infringement or violation
or an intellectual property right, proprietary right, or personal right or
misappropriation of a trade secret. If such a claim or cause of action arises or is likely
to arise, then Grantee shall, at the ODCP's request and at the Grantee's sole expense:
25
(i) procure for the ODCP the right or license to continue to use the Deliverable at
issue; (ii) replace such Deliverable with a functionally equivalent or superior
Deliverable free of any such infringement, violation or misappropriation; (iii) modify
or replace the affected portion of the Deliverable with a functionally equivalent or
superior Deliverable free of any such infringement, violation or misappropriation; or
(iv) accept the return of the Deliverable at issue and refund to the ODCP all fees,
charges and any other amounts paid by the ODCP with respect to such Deliverable.
In addition, Grantee agrees to indemnify, defend, protect and hold harmless the State
and its officers, directors, employees, officials and agents as provided in the
Indemnification section of this Contract, including for any breach of the
representations and warranties made by Grantee in this section. The foregoing
remedies shall be in addition to and not exclusive of other remedies available to the
ODCP and shall survive termination of this Contract.
c. The Grantee represents and warrants that the Deliverables (in whole and in part)
shall: (i) be free from material Deficiencies; and (ii) meet, conform to and operate in
accordance with all Specifications.
d. The Grantee represents, warrants and covenants that all services to be performed
under this Contract shall be performed in a professional, competent, diligent and
workmanlike manner by knowledgeable, trained and qualified personnel, all in
accordance with the terms and Specifications of this Contract and the standards of
performance considered generally acceptable in the industry for similar tasks and
projects. In the absence of a Specification for the performance of any portion of this
Contract, the parties agree that the applicable specification shall be the generally
accepted industry standard. So long as the ODCP notifies Grantee of any services
performed in violation of this standard, Grantee shall re -perform the services at no
cost to the ODCP, such that the services are rendered in the above -specified manner,
or if the Grantee is unable to perform the services as warranted, Grantee shall
reimburse the ODCP any fees or compensation paid to Grantee for the unsatisfactory
services.
e. The Grantee represents and warrants that the Deliverables will comply with any
applicable Federal, State, foreign and local laws, rules, regulations, codes, and
ordinances in effect during the term of this Contract, including applicable provisions
of Section 508 of the Rehabilitation Act of 1973, as amended, and all standards and
requirements established by the Architectural and Transportation Barriers Access
Board and the Iowa Department of Administrative Services, Information Technology
Enterprise.
50. Status of Grantee.
The Grantee shall at all times be deemed an independent contractor. The Grantee, its
employees, agents, and any subcontractors performing under this contract are not
employees or agents of the State of Iowa or any agency or department of the State. The
Grantee shall be responsible for withholding all taxes and shall hold the ODCP harmless
for any claims for the same.
51. Choice of Law and Forum.
The terms and provisions of this contract shall be construed in accordance with the laws of
the State of Iowa. Any and all litigation or actions commenced in connection with this
26
contract shall be brought in Des Moines, Iowa, in the Iowa District Court in and for Polk
County, Iowa. If, however, jurisdiction is not proper in the Polk County District Court, the
action shall only be brought in the United States District Court for the Southern District
of Iowa, Central Division, provided that jurisdiction is proper in that forum. This
provision shall not be construed as waiving any immunity to suit or liability that may be
available to the ODCP or the State of Iowa.
52.Immunity from Liability.
Every person who is a party to the Contract is hereby notified and agrees that the State,
the ODCP, and all of their employees, agents, successors, and assigns are immune from
liability and suit for or from Grantee's and/or subcontractors' activities involving third
parties and arising from the Contract.
53.Compliance with Iowa Code chapter 8F.
If the Contract is subject to the provisions of Iowa Code chapter 8F, the Grantee certifies it
will comply with the requirements of the Iowa Code chapter 8F. The Grantee shall forward
any compliance documentation, including but not limited to certifications, and any
compliance documentation received from subcontractors by the Grantee to the ODCP.
54.Enhancement of Contractor Employee Whistleblower Protections.
41 U.S.C. 4712 states, "employees of a contractor, subcontractor, grantee [or subgrantee]
may not be discharged, demoted, or otherwise discriminated against as a reprisal for
"whistleblowing." In addition, whistleblowing protections cannot be waived by any
agreement, policy, form or condition of employment.
Whistleblowing is defined as making a disclosure "that the employee reasonably believes is
evidence of any of the following:
• Gross mismanagement of a Federal contract or grant;
• A gross waste of Federal funds;
• An abuse of authority relating to a Federal contract or grant;
• A substantial and specific danger to public health or safety; or,
• A violation of a law, rule, or regulation related to a federal contract or grant (including
the competition for, or negotiation of, a contract or grant).
To qualify under the statute, the employee's disclosure must be made to:
• A member of Congress, or a representative of a Congressional committee;
• An Inspector General;
• The Government Accountability Office;
• A federal employee responsible for contract or grant oversight or management at the
relevant agency;
• An official from the Department of Justice, or other law enforcement agency;
• A court or grand jury; or,
• A management official or other employee of the contractor, subcontractor, grantee, or
subgrantee who has the responsibility to investigate, discover, or address misconduct.
27
The requirement to comply with, and inform all employees of the "Pilot Program for
Enhancement of Contractor Employee Whistleblower Protections" is in effect for all
grants, contracts, subgrants, and subcontracts.
55.Ownership of Deliverables.
Ownership and Assignment of Other Deliverables. The Grantee agrees that the State and
the ODCP shall become the sole and exclusive owners of all Deliverables. Grantee hereby
irrevocably assigns, transfers and conveys to the State and the ODCP all right, title and
interest in and to all Deliverables and all intellectual property rights and proprietary
rights arising out of, embodied in, or related to such Deliverables, including copyrights,
patents, trademarks, trade secrets, trade dress, mask work, utility design, derivative
works, and all other rights and interests therein or related thereto. Grantee represents
and warrants that the State and the ODCP shall acquire good and clear title to all
Deliverables, free from any claims, liens, security interests, encumbrances, intellectual
property rights, proprietary rights, or other rights or interests of Grantee or of any third
party, including any employee, agent, contractor, subcontractor, subsidiary or affiliate of
Grantee. The Grantee (and Grantee's employees, agents, contractors, subcontractors,
subsidiaries and affiliates) shall not retain any property interests or other rights in and to
the Deliverables and shall not use any Deliverables, in whole or in part, for any purpose,
without the prior written consent of the ODCP and the payment of such royalties or other
compensation as the ODCP deems appropriate. Unless otherwise requested by ODCP,
upon completion or termination of this Contract, Grantee will immediately turn over to
ODCP all Deliverables not previously delivered to the ODCP, and no copies thereof shall
be retained by Grantee or its employees, agents, subcontractors or affiliates, without the
prior written consent of the ODCP. To the extent any of Grantee's rights in any
Deliverables are not subject to assignment or transfer hereunder, including any moral
rights and any rights of attribution and of integrity, Grantee hereby irrevocably and
unconditionally waives all such rights and enforcement thereof and agrees not to
challenge the State's rights in and to the Deliverables.
56. Confidentiality, IT Standards, and Security.
a. The Grantee will comply with and adhere to the following the ODCP and State
information technology standards and provide training to Grantee's employees and
subcontractors concerning such standards, procedures and protocols as applicable.
1. Data Backup Standard: Applicable to Grantees which utilize data systems to process,
store, transmit or monitor information essential to the performance of the ODCP
required services.
2. Data Stewardship Standard: Applicable to Grantees which utilize data systems to
process, store, transmit or monitor information essential to the performance of ODCP
required services.
3. Interconnectivity Standard: Applicable to Grantees which utilize data systems to
process, store, transmit or monitor information essential to the performance of ODCP
required services.
28
4. Laptop Data Protection Standard: Applicable to Grantees which utilize laptops to
process, store, transmit or monitor data essential to the performance of the ODCP
required services or connects to state owned or managed network.
5. Removable Storage Encryption Standard: Applicable to Grantees which utilize
removable storage devices to process, store, transmit or monitor information essential
to the performance of the ODCP required. services.
6. Web Application Security Standard: Applicable to Grantees which develop, manage or
utilize state resources including but not limited to websites, data systems, desktop
applications and web based services.
7. Website Accessibility Standard: Applicable to Grantees which develop and maintain
ODCP web pages.
Current state information technology standards are accessible online at.
https:Ilocio.iowa.govlhomelstandards
b. The Grantee will take all precautions and actions necessary to: (i) prevent unauthorized
access to the ODCP's and the State's systems, networks, computers, property, records, data,
and information; and (ii) ensure that all of the ODCP's and the State's documentation,
electronic files, data, and systems are developed, used, and maintained in a secure manner,
protecting their confidentiality, integrity and availability. Grantee agrees that it will not
copy, reproduce, transmit, or remove any ODCP (or State) information or data without the
prior written consent of the ODCP. Grantee agrees that it shall be liable for any damages,
losses, and expenses suffered or incurred by the ODCP or the State as a result of: (a) any
breach of this section, or (b) any breaches of security (including those described below) that
are caused by any action or omission of Grantee or Grantee's employees, agents and
subcontractors. Breaches of security include, but are not limited to:
1 Disclosure of confidential or sensitive information;
2 Unauthorized access to ODCP or State systems;
3 Illegal technology transfer;
4 Sabotage or destruction of ODCP or State information or information systems;
5 Compromise or denial of ODCP or State information or information systems;
6 Damage to or loss of ODCP or State information or information systems; and
7 Theft.
a. The Grantee shall immediately report to the ODCP any such breach of security. In the
event of a breach of this section or any breach of security as described herein, the ODCP
may terminate this Agreement immediately without penalty or liability to the ODCP and
the State and without affording Grantee any opportunity to cure.
57.Qualifications of Staff.
The Grantee shall be responsible for assuring that all persons, whether they are employees,
agents, subcontractors or anyone acting for or on behalf of the Grantee, are properly
licensed, certified or accredited as required under applicable Federal and State law and the
Iowa Administrative Code. The Grantee shall provide standards for service providers who
are not otherwise licensed, certified or accredited under Federal or State law or the Iowa
Administrative Code.
29
58.State Agencies and Iowa Regent Institutions.
If the Grantee is a state agency or state of Iowa Regent Institution:
a) Section 45 (Indemnification) and Section 47 (Status of Grantee) shall be of no force
and effect.
b) Section 46 (Warranties) shall be modified to delete the phrase "and warrants" each
time said phrase is mentioned. Additionally, the following sentence shall be deleted
from 46(b): "In addition, Grantee agrees to indemnify, defend, protect and hold
harmless the State and its officers, directors, employees, officials and agents as
provided in the Indemnification section of this Contract, including for any breach of
the representations and warranties made by Grantee in this section."
c) Section 52 shall be modified to add the following sentence: The ODCP and State
agree to provide to Grantee a non-exclusive, royalty -free license to use the
Deliverables for its own research and educational purposes, for the purpose of
complying with this Grant, and for any purpose authorized or required by federal or
state law.
Revised May 14, 2020
30
Iowa Governor's Office of Drug Control Policy
STANDARD GRANT CONDITIONS CERTIFICATION
Legal Applicant & Program/Project Director
City of Waterloo
On behalf of, (agency) Tri-County Drug Task Forcd have read, understand, and agree to abide by the
Standard Grant Conditions for the Iowa/Governor's Office of Drug Control Policy Grant Program.
Quentin Hart, Mayor
(Legal Applicant — Print or Type)
Joel Fitzgerald, Sr Chief of Police
(Signature Legal Applicant)
(Date)
2.
(Program/Project Director — Print or Type) (Signature Prograrn/Project Director) Date)
Iowa Governor's Office of Drug Control Policy
STANDARD GRANT CONDITIONS CERTIFICATION
Contract Services (If Applicable)
(contracting agency) has entered into an agreement with
(Legal Applicant) to provide services through a grant provided by
the Office of Drug Control Policy. The applicant agency has provided a copy of the standard grant
conditions. I have read, understand, and agree to abide by the Standard Grant Conditions for the
Iowa/Governor's Office of Drug Control Policy Grant Program.
(Signature Contracting Agency)
(Date)
31
Information regarding Communication with the Department of Homeland Security (DHS) and/or
Immigration and Customs Enforcement (ICE)
Each applicant must provide responses to the following questions as an attachment to the application:
(1) Does your jurisdiction have any laws, policies, or practices related to whether, when, or how
employees may communicate with DHS or ICE?
(2) Is your jurisdiction subject to any laws from a superior political entity (e.g., a state law that
binds a city) that meet the description in question 1?
(3) If yes to either:
• Please provide a copy of each law or policy;
• Please describe each practice; and
• Please explain how the law, policy, or practice complies with section 1373.
Note: Responses to these questions must be provided by the applicant to BJA as part of the JAG
application. Further, the requirement to provide this information applies to all tiers of JAG funding, for
all subawards made to state or local government entities, including public institutions of higher
education. All subrecipient responses must be collected and maintained by the direct recipient of JAG
funding and must be made available to DOJ upon request. Responses to these questions are not
required from subrecipients that are either a tribal government/organization, a nonprofit organization,
or a private institution of higher education,
Information Regarding Communication with the Department of
Homeland Security (DHS) and/or Immigration and Customs
Enforcement (ICE)
Each applicant must provide responses to the following questions as an attachment to the
application:
• Does your jurisdiction have any laws, policies, or practices related to whether, when, or how
employees may communicate with DHS or ICE?
Yes
• Is your jurisdiction subject to any laws from a superior political entity (e.g., a state law that
binds a city) that meet the description in question 1?
Yes
• If yes to either: Please provide a copy of each law or policy;
o Please describe each practice; and
o Please explain how the law, policy, or practice complies with section 1373.
The Iowa Legislature recently passed Senate File 481 which was signed by Governor Reynolds and
became law July 1, 2018. Senate File 481 requires the following:
• A local entity shall not adopt or enforce a policy or take any other action that prohibits or
discourages the enforcement of immigration laws.
• Local entities shall not prohibit or discourage law enforcement officers or other employees from
assisting or cooperating with a federal immigration officer as reasonable or necessary, including
providing enforcement assistance.
• Local entities shall not prohibit or discourage law enforcement or other officials from inquiring
about the immigration status of a person who is under arrest, sharing that information with other
authorities, or assisting federal immigration officers as reasonable or necessary.
• Local entities shall not prohibit or discourage the retention or sharing of information relating to
the immigration status of any person under lawful detention or arrest with federal immigration
officials and other local, federal or state entities.
• Local entities and their employees shall not ask about the national origin of a person who is the
victim of a crime, witness of a crime or is otherwise reporting a crime unless it's pertinent to the
investigation.
• By January 1, 2019, each state or local law enforcement agency subject to the new requirements
must put in writing any unwritten or informal policies relating to the enforcement of immigration
laws and update those policies to be in compliance with the new law.
• The law prohibits discrimination on the basis of race, skin color, language spoken, or national
origin.
House File 481 is attached along with the administrative rules established by the Iowa Department of
Management.
Senate File 481 - Enrolled
Senate File 481
AN ACT
RELATING TO THE ENFORCEMENT OF IMMIGRATION LAWS AND PROVIDING
PENALTIES AND REMEDIES, INCLUDING THE DENIAL OF STATE FUNDS
TO CERTAIN ENTITIES.
BE IT ENACTED BY THE GENERAL ASSEMBLY OF THE STATE OF IOWA:
Section 1. NEW SECTION. 825.1 Definitions.
1. Immigration detainer request" means a written federal
government request to a local entity to maintain temporary
custody of an alien, including a United States department
of homeland security form I-247 or a similar or successor
form. Immigration detainer request" includes only written
federal government requests that are accompanied by any of the
following properly completed forms or similar or successor
forms, if such forms or similar or successor forms are signed
by an authorized United States immigration and customs
enforcement officer:
a. United States department of homeland security form 1-200.
b. United States department of homeland security form 1-205.
2. "Immigration law- means a law of this state or a federal
law relating to aliens, immigrants, or immigration, including
but not limited to the federal Immigration and Nationality Act,
8 U.S.C. S1101 et seq.
3. Lawful detention" means the detention of a person by a
local entity for the investigation of a public offense. Lawful
detention" excludes a detention if the sole reason for the
Senate File 481, p. 2
detention is that a person is a victim of or witness to a public
offense or is reporting a public offense.
4. Local entity"" means the governing body of a city or
county. Local entity- includes an officer or employee of a
local entity or a division, department, or other body that is
part of a local entity, including but not limited to a sheriff,
police department, city attorney, or county attorney.
5. Policy' includes a formal, written rule, policy,
procedure, regulation, order, ordinance, motion, resolution, or
amendment and an informal, unwritten policy.
6. Public offense' excludes a moving traffic violation
under chapter 321.
Sec. 2. NEW SECTION. 825.2 Law enforcement agency duties —
immigration detainer requests.
A law enforcement agency in this state that has custody of
a person subject to an immigration detainer request issued by
United States immigration and customs enforcement shall fully
comply with any instruction made in the detainer request and in
any other legal document provided by a federal agency.
Sec. 3. NEW SECTION. 825.3 Completion of sentence in
federal custody.
1. The court, in a criminal proceeding in this state in
which the sentence requires a defendant who is the subject
of an immigration detainer request to be confined in a
correctional facility, shall issue an order at the time of
sentencing requiring the correctional facility in which the
defendant is to be confined and all appropriate government
officers to require the defendant to be transferred to serve in
federal custody the final portion of the defendant's sentence,
not to exceed a period of seven days, if a facility or officer
determines that the change in the place of confinement will
facilitate the seamless transfer of the defendant into federal
custody. The court in a criminal proceeding in this state
shall retain jurisdiction to issue such an order at a later
date if the court receives notice from a federal agency that a
defendant was the subject of an immigration detainer request at
the time of sentencing. The court shall issue such an order as
soon as practicable after receiving such notice.
2. In the absence of an order issued under this section,
Senate File 481, p. 3
a facility or officer acting under exigent circumstances may
perform such a transfer after making a determination that the
change in the place of confinement will facilitate the seamless
transfer of the defendant into federal custody.
3. A defendant shall be transferred pursuant to this section
only if appropriate officers of the federal government consent
to the transfer of a defendant into federal custody under the
circumstances described in this section.
Sec. 4. NEW SECTION. 825.4 Restriction on enforcement of
immigration law prohibited.
1. A local entity shall not adopt or enforce a policy or
take any other action under which the local entity prohibits or
discourages the enforcement of immigration laws.
2. A local entity shall not prohibit or discourage a person
who is a law enforcement officer, corrections officer, county
attorney, city attorney, or other official who is employed by
or otherwise under the direction or control of the local entity
from doing any of the following:
a. Inquiring about the immigration status of a person under
a lawful detention or under arrest.
b. Doing any of the following with respect to information
relating to the immigration status, lawful or unlawful, of any
person under a lawful detention or under arrest, including
information regarding the persons place of birth:
(1) Sending the information to or requesting or receiving
the information from United States citizenship and immigration
services, United States immigration and customs enforcement, or
another relevant federal agency.
(2) Maintaining the information.
(3) Exchanging the information with another local entity or
a federal or state governmental entity.
c. Assisting or cooperating with a federal immigration
officer as reasonable or necessary, including providing
enforcement assistance.
d. Permitting a federal immigration officer to enter and
conduct enforcement activities at a jail or other detention
facility to enforce a federal immigration law.
Sec. 5. NEW SECTION. 825.5 Written policies.
No later than January 1, 2019, each state or local law
Senate File 481, p. 4
enforcement agency subject to this chapter shall do all of the
following:
1. Formalize in writing any unwritten, informal policies
relating to the enforcement of immigration laws.
2. Update the agency's policies to be consistent with this
chapter, to require each officer or other employee of the law
enforcement agency to fully comply with this chapter, and to
prohibit an officer or other employee of the law enforcement
agency from preventing law enforcement agency personnel from
fully complying with this chapter.
Sec. 6. NEW SECTION. 825.6 Discrimination prohibited.
A local entity or a person employed by or otherwise under
the direction or control of a local entity shall not consider
race, skin color, language spoken, or national origin while
enforcing immigration laws except to the extent permitted by
the Constitution of the United States or the Constitution of
the State of Iowa.
Sec. 7. NEW SECTION. 825.7 Victim of or witness to a crime
— limitation on collection of information.
A local entity or a person employed by or otherwise under
the direction or control of a local entity shall not ask for
or collect any information from a victim of or witness to an
alleged public offense or from a person reporting an alleged
public offense, including the victim's, witnesses, or person s
national origin, that is not pertinent to the investigation of
the alleged public offense.
Sec. 8. NEW SECTION. 825.8 Complaints — notification —
civil action.
1. Any person, including a federal agency, may file a
complaint with the attorney general alleging that a local
entity has violated or is violating this chapter if the person
offers evidence to support such an allegation. The person
shall include with the complaint any evidence the person has in
support of the complaint.
2. A local entity for which the attorney general has
received a complaint pursuant to this section shall comply
with any document requests, including a request for supporting
documents, from the attorney general relating to the complaint.
3. A complaint filed pursuant to subsection 1 shall not be
Senate File 481, p. 5
valid unless the attorney general determines that a violation
of this chapter by a local entity was intentional.
4. If the attorney general determines that a complaint filed
pursuant to this section against a local entity is valid, the
attorney general, not later than ten days after the date of
such a determination, shall provide written notification to the
local entity by certified mail, with return receipt requested,
stating all of the following:
a. A complaint pursuant to this section has been filed and
the grounds for the complaint.
b. The attorney general has determined that the complaint is
valid.
c. The attorney general is authorized to file a civil
action in district court pursuant to subsection 6 to enjoin a
violation of this chapter no later than forty days after the
date on which the notification is received if the local entity
does not come into compliance with the requirements of this
chapter.
d. The local entity and any entity that is under the
jurisdiction of the local entity will be denied state funds
pursuant to section 825.9 for the state fiscal year following
the year in which a final judicial determination in a civil
action brought under this section is made.
5. No later than thirty days after the date on which a local
entity receives written notification under subsection 4, the
local entity shall provide the attorney general with all of the
following:
a. Copies of all of the local entity's written policies
relating to immigration enforcement actions.
b. A copy of each immigration detainer request received by
the local entity from a federal agency.
c. A copy of each response sent by the local entity to an
immigration detainer request described by paragraph "b".
d. A description of all actions the local entity has taken
or will take to correct any violations of this chapter.
e. If applicable, any evidence that would refute the
allegations made in the complaint.
6. No later than forty days after the date on which the
notification pursuant to subsection 4 is received, the attorney
Senate File 481, p. 6
general shall file a civil action in district court to enjoin
any ongoing violation of this chapter by a local entity.
Sec. 9. NEW SECTION. 825.9 Denial of state funds.
1. Notwithstanding any other provision of law to the
contrary, a local entity, including any entity under the
jurisdiction of the local entity, shall be ineligible to
receive any state funds if the local entity intentionally
violates this chapter.
2. State funds shall be denied to a local entity pursuant
to subsection 1 by all state agencies for each state fiscal
year that begins after the date on which a final judicial
determination that the local entity has intentionally violated
this chapter is made in a civil action brought pursuant to
section 825.8, subsection 6. State funds shall continue
to be denied until eligibility to receive state funds is
reinstated under section 825.10. However, any state funds for
the provision of wearable body protective gear used for law
enforcement purposes shall not be denied under this section.
3. The department of management shall adopt rules pursuant
to chapter 17A to implement this section and section 825.10
uniformly across state agencies from which state funds are
distributed to local entities.
Sec. 10. NEW SECTION. 825.10 Reinstatement of eligibility
to receive state funds.
1. Except as provided by subsection 5, no earlier than
ninety days after the date of a final judicial determination
that a local entity has intentionally violated the provisions
of this chapter, the local entity may petition the district
court that heard the civil action brought pursuant to section
825.8, subsection 6, to seek a declaratory judgment that the
local entity is in full compliance with this chapter.
2. A local entity that petitions the court as described by
subsection 1 shall comply with any document requests, including
a request for supporting documents, from the attorney general
relating to the action.
3. If the court issues a declaratory judgment declaring that
the local entity is in full compliance with this chapter, the
local entity's eligibility to receive state funds is reinstated
Senate File 481, p. 7
beginning on the first day of the month following the date on
which the declaratory judgment is issued.
4. A local entity shall not petition the court as described
in subsection 1 more than twice in one twelve-month period.
5. A local entity may petition the court as described in
subsection 1 before the date provided in subsection 1 if the
person who was the director or other chief officer of the
local entity at the time of the violation of this chapter is
subsequently removed from or otherwise leaves office.
6. A party shall not be entitled to recover any attorney
fees in a civil action described by subsection 1.
Sec. 11. NEW SECTION. 825.11 Attorney general database.
The attorney general shall develop and maintain a searchable
database listing each local entity for which a final judicial
determination described in section 825.9, subsection 2, has
been made. The attorney general shall post the database on the
attorney general's internet site.
Sec. 12. APPLICABILITY. This Act applies to the release of
a person from custody in this state on or after the effective
date of this Act.
Sec. 13. IMPLEMENTATION OF ACT. Section 25B.2, subsection
3, shall not apply to this Act.
CHARLES SCHNEIDER LINDA UPMEYER
President of the Senate Speaker of the House
I hereby certify that this bill originated in the Senate and
is known as Senate File 481, Eighty-seventh General Assembly.
Approved , 2018
W. CHARLES SMITHSON
Secretary of the Senate
KIM REYNOLDS
Governor
IAC 11/21/18 Management[541] Ch 13, p,1
CHAPTER 13
SUSPENSION AND REINSTATEMENT OF STATE FUNDS
541-13.1(27A) Definitions. For purposes of this chapter:
"City" means a municipal corporation but does not include a county, township, school district, or
any special-purpose district or authority.
"County" means an administrative subdivision in the state governed by a locally elected board of
supervisors and may be comprised of subdivisions including cities, townships, school districts, or any
special-purpose district or authority.
"Declaratory judgment" means a judgment issued by a district court declaring a local entity is in
full compliance with Iowa Code chapter 27A.
"Department" means the Iowa department of management pursuant to Iowa Code chapter 8.
"Final judicial determination" means a district court ruling on a civil action brought by the state
attorney general's office finding a local entity to have violated the provisions of Iowa Code chapter 27A.
"Fiscal year" means the time period beginning on July 1 and ending the following June 30 as defined
in Iowa Code section 8.36.
"Governing body" means the mayor and city council of a city or the board of supervisors of a county.
"Local entity" means the governing body of a city or county and includes an officer or employee of a
local entity or a division, department, or other body that is part of a local entity, including but not limited
to a sheriff, police department, city attorney, or county attorney. "Local entity" does include local city
and county boards and commissions in which membership in the board or commission is the result of an
appointment by the city council or the county board of supervisors. "Local entity" does not include local
city and county boards and commissions whose membership is determined by election or is specifically
set forth by the Iowa Code. "Local entity" does not include multijurisdictional boards and commissions
in which a city or county is one of multiple local government members or school districts.
"State agencies" means any boards, commissions, or departments, as defined by Iowa Code section
7E.4, or other administrative offices or units of the executive branch of the state.
"State funds" means those funds held by the state that originate from revenues, fees or receipts
collected by the state and distributed to local entities. Funds held by the state that are not defined as state
funds include:
1. Federal funds (unless provided to the state and awarded as a grant by the state).
2. Funds paid out per gubernatorial or presidential emergency proclamation.
3. Any revenue collected and administered by the state on behalf of a local entity due to a locally
imposed tax, fee or fine.
4. Any state funds for the provision of wearable body protective gear used for law enforcement
purposes.
5. Payment for public protection, utilities, or goods and services,
6. Payment of settlements.
7. Setoffs as defined by Iowa Code section 8A.504.
[ARC 4141C, IAB 11/21/18, effective 12/26/18]
541-13.2(27A) Denial of state funds. State funds shall be denied to a local entity pursuant to Iowa
Code chapter 27A by all state agencies for each state fiscal year that begins after the date on which a
final judicial determination that the local entity intentionally violated Iowa Code chapter 27A is made in
a civil action brought pursuant to Iowa Code chapter 27A.8.
13.2(1) The department will send written notification to all state agencies to deny state funds.
Payments will continue to be made to the local entity until the beginning of the state fiscal year that
begins after the date on which a final judicial determination is made, at which time payments will be
denied.
13.2(2) If the local entity receives state funds through the county, the department will notify the
county so that any needed changes may be made to apportionment systems for property tax credits,
exemptions and replacements.
Ch 13, p.2 Management[541] IAC 11/21/18
13.2(3) State agencies will contact federal granting agencies in writing to determine how to
administer federal funds when state match funds are denied. State agencies may be required to
discontinue drawing federal funds or issue repayments as instructed by federal granting agencies.
13,2(4) Funds will continue to be denied until the court issues a declaratory judgment declaring that
the local entity is in full compliance with Iowa Code chapter 27A.
[ARC 4141C, IAB 11/21/18, effective 12/26/18]
541-13.3(27A) Reinstatement of eligibility to receive state funds. Upon issuance by the court of a
declaratory judgment declaring that the local entity is in full compliance with Iowa Code chapter 27A,
the local entity's eligibility to receive state funds is reinstated,
13.3(1) The department will send written notification to all state agencies to reinstate state funds.
Payments will be reinstated to the local entity beginning on the first day of the month following the date
on which the declaratory judgment is issued.
13.3(2) If the local entity receives state funds through the county, the department will notify the
county so that any needed changes may be made to apportionment systems for property tax credits,
exemptions and replacements.
13.3(3) State agencies will contact federal partners in writing to determine how to reinstate the
drawdown of federal funds when state match funds are reinstated.
These rules are intended to implement Iowa Code chapter 27A.
[ARC 4141C, IAB 11/21/18, effective 12/26/18]
[Filed ARC 4141C (Notice ARC 4008C, IAB 9/26/18), IAB 11/21/18, effective 12/26/18]
DEPARTMENT RULES AND REGULATONS
DECEMBER 12, 2018
WATERLOO POLICE DEPARTMENT
A. SUBJECT:
Department Rules and Regulations
B. PURPOSE:
1. To establish the rules of conduct for the department.
a. The Rules and Regulations are for internal use only and do not
enlarge an employee's civil or criminal liability in any way. They
should not be construed as the creation of a higher standard of safety
or care in an evidentiary sense, with respect to third party claims.
Violations of the Rules and Regulations, if proven, can only form the
basis of a complaint by this Department, and then only, in a
nonjudicial, administrative setting.
C. POLICY:
It is the policy of the Department that the following Rules and Regulations shall be
adhered to by all employees of the department. All Rules and Regulations shall be
uniformly enforced by superior officer(s) and supervisor(s).
D. PROCEDURES:
1. Violation of Rules:
Employees shall not commit any acts or omit any acts which constitute a
violation of any of the Rules, Regulations, Directives or Orders of the Depart-
ment, whether stated in this General Order or elsewhere
Unbecoming Conduct:
Employees shall conduct themselves at all times, both on and off duty, in
such a manner as to reflect most favorably on the Department. Conduct
unbecoming an employee shall include that which brings the Department
into disrepute or reflects discredit upon the employee as a member of the
Department, or that which impairs the operation or efficiency of the
Department or employee.
3. Immoral Conduct:
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a. Employees shall maintain a level of moral conduct in their
personal and business affairs, which is in keeping with the
highest standards of the law enforcement profession.
b. Employees shall not participate in any incident involving moral
turpitude, which impairs their ability to perform as law
enforcement employees or cause the Department to be
brought into disrepute.
Conformance to Laws:
a: Employees shall obey all laws of the United States and of any
state and local jurisdiction in which the employees are present.
b. A conviction of the violation of any law, except non -indictable
traffic offenses other than reckless driving, shall be prima facie
evidence of a violation of this Section.
Employees shall cooperate with other agencies where needed
in the enforcement of local, state, and federal laws.
5. Reporting for Duty:
a. Employees shall report for duty at the time and place required
by assignment or orders and shall be physically and mentally
fit to perform their duties. Employees shall be properly
equipped and cognizant of information required for the proper
performance of duty so they may immediately assume their
duties. Judicial subpoenas or official notification to appear in
court shall constitute an order to report for duty under this
Section. Official notification shall be deemed made if a
completed call or message for the employee is left at his or her
residence by, or at the direction of a supervisor.
b. In the event of an illness, notice shall be given to the on -duty
Watch Commander prior to the employee's absence, as soon
as possible of the intent to use illness leave, but in no event
later than the start of the watch which the employee is
scheduled to work, except in emergencies.
c. In the event an employee wishes to utilize paid time off, the
employee shall contact his/her appropriate supervisor to ask
permission to use said time.
6. Neglect of Duty:
Employees shall not read, play games, watch television or movies or
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otherwise engage in entertainment while on duty except as may be required
in the performance of duty. Employees shall not engage in any activities or
personal business, which would cause them to neglect or be inattentive to
duty.
7. Fictitious Illness or Injury Reports:
Employees shall not feign illness or injury, falsely report themselves or a
member of their immediate family ill or injured, or otherwise deceive or
attempt to deceive any supervisor of the Department as to the condition of
their health or their family's health.
8. Sleeping on Duty:
Employees shall remain awake while on duty, if unable to do so, they shall
so report to their supervisor who shall determine the proper course of action.
9. Leaving Duty Post:
Employees shall not leave their assigned duty posts during a tour of duty
except when authorized by proper authority.
10. Meals/Breaks:
Employees shall be permitted to suspend patrol or other assigned activity,
subject to immediate call at all times, for the purpose of having meals and
breaks during their tours of duty, but only for such period of time and at such
time and place as established by Department procedures.
11. Unsatisfactory Performance:
Employees shall maintain sufficient competency to properly perform their
duties and assume the responsibilities of their positions. They shall perform
their duties in a manner, which will maintain the highest standards of
efficiency in carrying out the functions and objectives of the Department.
Unsatisfactory performance may be demonstrated by a lack of knowledge of
the application of laws required to be enforced; an unwillingness or inability
to perform assigned tasks; the failure to conform to work standards
established for the employee's rank, grade or position; the failure to take
appropriate action on the occasion of a crime, disorder or other condition
deserving Department attention; or absence without leave. In addition to
other indicia or unsatisfactory performance, the following will be considered
prima facie evidence of unsatisfactory performance; repeated poor
evaluation or a written record of repeated infractions of Rules, Regulations,
Directives or Orders of the Department.
12. Possession and Use of Drugs:
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Employees shall not possess or use any controlled substances except when
prescribed in the treatment of employees by a physician or dentist or when
necessary in the performance of their duty. When controlled substances are
prescribed, employees shall notify their supervisor.
13. Use of Alcohol on Duty or in Uniform:
a. Employees shall not consume intoxicating beverages while in uniform
or on duty except when necessary in the performance of duty and
while acting under proper and specific orders from a supervisor.
b. Employees shall not appear for duty, or be on duty while under the
influence of intoxicants to any degree whatsoever, or with an odor of
intoxicants on their breath.
c. Enforcement of these provisions shall be in compliance with the City
of Waterloo's Substance Abuse policy and the provisions therein but
said City policy shall not prevent the establishment of higher
standards of conduct necessary for job performance.
14. Use of Alcohol off Duty:
Employees, while off duty, shall refrain from consuming intoxicating
beverages to the extent that it results in impairment, intoxication or
obnoxious or offensive behavior which discredits them or the Department, or
renders the employees unfit to report for their next regular tour of duty.
15. Use of Tobacco:
Officers, when in uniform, may use tobacco as long as: (1) they are not in
formation; (2) they do not have to leave their assignment or post for the sole
purpose of doing so; (3) they are not engaged in traffic direction and control;
and, (4) when they are in direct contact with the public, officers must obtain
permission to use tobacco from the public with whom they are in direct
contact; (5) tobacco use in all City Buildings and City Vehicles is prohibited.
16. Insubordination:
Employees shall promptly obey any lawful orders of a supervisor. This will
include orders relayed from a supervisor by an employee of the same or
lesser rank or grade.
17. Conflicting or Illegal Orders:
a. Employees who are given an otherwise proper order, which is in
conflict with a previous Order, Rule, Regulation or Directive, shall
4
respectfully inform the supervisor issuing the order of the conflict. If
the supervisor issuing the order does not alter or retract the conflicting
order, the order shall stand. Under these circumstances, the respons-
ibility for the conflict shall be upon the supervisor. Employees shall
obey the conflicting order and shall not be held responsible for
disobedience of the Order, Rule, Regulation or Directive previously
issued.
b. Employees shall not obey any order which they know or should know
would require them to commit any illegal act. If in doubt as to the
legality of an order, employees shall request the issuing supervisor to
clarify the order or to confer with higher authority.
18. Gifts, Gratuities, Bribes or Rewards:
a. Employees shall not solicit or accept from any person, business, or
organization any gift (including money, tangible or intangible personal
property, food, beverage, loan, promise, service or entertainment) for
the benefit of the employees or the Department, if it may reasonably
be inferred that the person, business, or organization:
(1)
(2)
Seeks to influence action of an official nature or seeks to affect
the performance or nonperformance of an official duty.
Has an interest which may be substantially affected directly or
indirectly by the performance or nonperformance of an official
duty.
b. Any employee receiving an unsolicited gift which may reasonably be
inferred to be connected to the employee's official position shall
immediately report the receipt of such gift to the Director of Safety
Services who shall determine its disposition. During the employee's
next tour of duty, the employee shall file a written report with the
Director of Safety Services. The Director of Safety Services shall
dispose of the gift in an appropriate manner and shall notify the
original recipient of its disposition.
c. Any employee may receive an unsolicited gift as long as it does not
violate Chapter 68B.22 of the Code of Iowa.
19. Abuse of Position:
a. Use of Official Position or Identification:
(1) Employees shall not use their official position, official identification
cards or badges:
(a) For personal or financial gain.
(b) To solicit privileges not otherwise available to them except
5
in the performance of duty.
(c) For avoiding consequences of illegal acts.
(2) Employees shall not lend to another person their identification
cards or badges or permit them to be photographed or reproduced
without the approval of the Director of Safety Services.
b. Use of Name, Photograph or Title:
Employees shall not authorize the use of their names, photographs,
or official titles which identify them as Department employees in
connection with testimonials or advertisements of any commodity or
commercial enterprise without the approval of the Director of Safety
Services.
20. Endorsements and Referrals:
Employees shall not recommend or suggest to the public in any manner,
except in the transaction of personal business, the employment or
procurement of a particular product, professional service or commercial
service (such as an attorney, ambulance service, wrecker service,
bondsman, mortician, etc.). When a wrecker service is necessary and the
person needing the service is unable or unwilling to procure it or requests
assistance, employees shall suggest the most suitable wrecker service as
determined by pertinent factors such as proximity to scene, service and
promptness history, availability of specialized equipment, etc.
21. Identification:
Employees shall carry their badges and identification cards on their persons
at all times, except when impractical or dangerous to their safety or to an
investigation. They shall furnish their name and exhibit their I.D. to any
person requesting that information, when they are on duty or while holding
themselves out as having an official capacity, except when the withholding of
such information is necessary for the performance of Department duties or
is authorized by proper authority.
22. Citizen Complaints:
Employees shall courteously and promptly attempt to resolve the complaint
of a citizen against any employee or the Department, but shall never attempt
to dissuade any citizen from lodging a complaint against any employee of the
Department. Employees shall follow established Department procedures for
processing complaints.
23. Courtesy:
6
Employees shall be courteous to the public. Employees shall be tactful in
the performance of their duties, shall control their tempers and exercise the
utmost patience and discretion; and shall not engage in argumentative
discussions even in the face of extreme provocation. In the performance of
their duties, employees shall not use coarse, violent, or insolent language or
gestures and shall not express any prejudice concerning race, religion,
politics, national origin, life style or similar personal characteristics.
24. Requests for Assistance:
When any person applies for assistance or advice, or makes complaints or
reports, either by telephone or in person, all pertinent information shall be
obtained in an official and courteous manner and shall be properly and
judiciously acted upon consistent with the established Department
procedures.
25. Associations:
Employees shall avoid regular or continuous associations or dealings with
persons whom they know, or should know, are persons under criminal
investigation or indictment, or who have a reputation in the community or the
Department for present involvement in felonious or criminal behavior, except
as necessary to the performance of official duties, or where unavoidable
because of other personal relationships of the employees.
26. Visiting Prohibited Establishments:
Employees shall not knowingly visit, enter or frequent a house of prostitution,
gambling house or establishment wherein the laws of the United States, the
state or the local jurisdiction are regularly violated except in the performance
of duty or while acting under proper and specific orders from a supervisor.
27. Gambling:
Employees shall not engage or participate in any form of illegal gambling at
any time except in the performance of duty and while acting under proper
and specific orders from a supervisor.
28. Public Statements:
Employees shall not publicly criticize or ridicule the Department, its policies
or other employees by speech, writing or other expression where such
speech, writing or other expression is defamatory, obscene, unlawful,
undermines the effectiveness of the Department, interfere with the
maintenance of discipline or is made with reckless disregard for truth and
falsity.
29. Personal Appearance:
a. Except when acting under proper and specific orders from a
supervisor, employees on duty shall maintain a neat, well-groomed
appearance and shall style their hair according to the following
guidelines:
(1) Uniformed Male Officers:
(a) Hair must be clean, neat and combed. Hair shall not be
worn longer than one inch below the top of the shirt collar
at the back of the neck when standing with the head in a
normal posture. Side hair shall not extend below the
mid -ear line. The bulk or length of the hair shall not
interfere with the normal wearing of all standard headgear.
(b) Wigs or hairpieces are permitted if they conform to the
above standards for natural hair.
(c) Sideburns shall be neatly trimmed, rectangular in shape
and shall not extend below the bottom of the ear lobe.
(d) Officers shall be clean-shaven, except that they may have
mustaches that do not extend more than one-half inch
below the corner of the upper lip. Mustaches must be
neatly trimmed and appropriate in appearance at the
discretion of a police manager (Lieutenants, Captains, and
Chief).
(e) Hair color must look natural and complement the
individual. Faddish and outrageous multi -colored hair is
not authorized. Any hairstyles, which interfere with the
proper wearing of headgear, are not permitted.
(f) The wearing of earrings or any other facial jewelry is
prohibited and the officer shall not alter their
appearance, which would bring undue attention to
themselves and/or have an adverse effect on the public.
(2) Uniformed Female Officers:
(a) Hair must be clean, neat and combed, Hair shall not be
worn longer than one inch below the top of the shirt collar
at the back of the neck when standing with the head in a
normal posture. Side hair shall not extend below the
mid -ear line. The bulk or length of the hair shall not
interfere with the normal wearing of all standard headgear.
(b) Wigs or hairpieces are permitted if they conform to the
above standards for natural hair.
(c) Hair color must look natural and complement the individual.
Faddish and outrageous multi -colored hair is not
authorized. Any hairstyles, which interfere with the proper
8
(3)
wearing of headgear, are not permitted.
(d) The wearing of earrings (studs only) is allowed but other
facial jewelry is prohibited, and the officer shall not alter
their appearance, which would bring undue attention to
themselves and/or have an adverse effect on the public.
Non -uniformed Male Officers:
(a) Hair must be clean, neat and combed. Hair shall not be
worn longer than one inch below the top of the shirt collar
at the back of the neck when standing with the head in a
normal posture. Side hair shall not extend below the
mid -ear line.
(b) Wigs or hairpieces are permitted if they conform to the
above standards for natural hair.
(c) Sideburns shall be neatly trimmed, rectangular in shape,
and shall not extend below the bottom of the ear lobe.
(d) Officers shall be clean-shaven, except that they may have
mustaches that do not extend more than one-half inch
below the corner of the upper lip. Officers in plainclothes
may have a beard under special circumstances (e.g.,
assigned to a drug task force) with the approval of a police
manager (Lieutenants, Captains, and Chief).
(e) Hair color must look natural and complement the individual.
Faddish and outrageous multi -colored hair is not
authorized. Any hairstyles, which interfere with the proper
wearing of headgear are not permitted.
(f) The wearing of earrings or any other facial jewelry is
prohibited and the officer shall not alter their appearance,
which would bring undue attention to themselves and/or
have an adverse effect on the public.
(g) Facial jewelry is prohibited and the civilian shall not alter
their appearance, which would bring undue attention to
themselves and/or have an adverse effect on the public.
(4) Non -uniformed Female Officers:
(a) Hair must be clean, neat and combed. Hair shall not be
worn longer than one inch below the top of the shirt collar
at the back of the neck when standing with the head in a
normal posture. Side hair shall not extend below the
mid -ear line.
(b) Wigs or hairpieces are permitted if they conform to the
above standards for natural hair.
(c) Hair color must look natural and complement the individual.
Faddish and outrageous multi -colored hair is not
authorized. Any hairstyles, which interfere with the proper
9
(5)
30. Comestics:
wearing of headgear are not permitted.
(d) The wearing of earrings or any other facial jewelry is
prohibited and the officer shall not alter their appearance,
which would bring undue attention to themselves and/or
have an adverse effect on the public.
(e) A supervisor may prescribe other types of clothing or
appearance when necessary to meet a particular police
objective.
Civilian Employees:
(a) The following policy shall define the minimum personal
appearance criteria for the on -duty, civilian employees. On -
duty is defined as time when the civilian employee is
actually working, participating in training, or appearing in
public as a representative of the department.
(b) All clothing shall be neat, clean, and compatible with
contemporary standards. Footwear shall be cleaned or
polished and in good taste with attire. Hair shall be clean,
neat, and combed. Male civilian employees may wear
beards or moustaches if they are neatly trimmed and clean.
(c) Clothing guidelines may be modified by the immediate
supervisor when necessary.
(d) Hair color must look natural and complement the individual.
Faddish and outrageous multi -colored hair is not
authorized.
Excessive cosmetics such as dark, heavy eye shadow, false eyelashes, and
heavy mascara, that would detract for the uniform or proper business attire is
prohibited. Cosmetics, if worn, shall be moderate and natural appearing.
31. Jewelry:
a. Jewelry items worn by all uniform officers shall be of a nature, which will
not detract from the uniform or interfere with the officers' duties or cause
a hazard to the other officer or to any other person.
b. Officers may wear only one necklace while on duty. This must be worn
under the shirt and must not be allowed to dangle outside the clothing. It
must be of a material that will easily break if caught on something.
32. Personal Appearance at Department Training:
a. In the interest of maintaining the highest standards or professionalism
and because of the Waterloo Police Department personnel are on display
while in training and do represent the City of Waterloo, all personnel will
10
follow these guidelines.
(1) During monthly training at the Waterloo Police Department training
center, officers shall appear well groomed and their clothing should
not be soiled. Appropriate attire for training may be specified by the
Training Unit of the Waterloo Police Department.
(2) Any officer required to attend training outside our police department
will dress according to the standards for a non -uniform officers
unless otherwise stated by their supervisor.
(3) Non -sworn personnel attending training outside of our training center
will dress according to standards set in the General Orders and will
adhere to the standards while they are performing their normal duties
unless directed otherwise by their supervisor.
33. Uniforms and Other Clothing:
Employees on duty shall wear uniforms or other clothing in accordance with
established procedures.
34. Political Activity:
a. Employees
(1) Employees may express opinions as individuals, privately and
publicly, on political issues and candidates,
(2) Any employee shall not solicit in any manner a contribution for
any political party or candidate or engage in any political
activity during working hours.
(3) Except when acting within their official capacity, employees are
prohibited from using city equipment and/or supplies for
political activities.
(4) Employees are prohibited from endorsing or opposing any
candidate for public office in a political advertisement,
broadcast or campaign literature.
(5) Employees shall not wear during working hours or have posted
on city property any political advertising or endorsement.
(6) Employees shall not belong to or participate in the activities of
any organization, association, society or other group, which in
any way may adversely influence or control the work or service
of such employees in their official capacity, or the activities or
purpose of which is subversive in nature.
b. Supervisors
(1)
A supervisor shall not, directly or indirectly, solicit an employee
to contribute money, anything of value or service to any
political candidate or political party.
11
35. Labor Activity:
a. Employees shall have the right to join labor organizations but nothing
shall compel the Department to recognize or to engage in collective
bargaining with any such labor organizations except as provided by
law.
b. Employees shall not engage in any strike. "Strike" includes the
concerted failure to report for duty, willful absence from one's position,
unauthorized holidays, sickness unsubstantiated by a physician's
statement when demanded, the stoppage of work or the abstinence in
whole or in part from the full, faithful and proper performance of the
duties of employment for the purposes of inducing, influencing or
coercing a change in conditions, compensation, rights, privileges or
obligations of employment.
36. Telephone:
Employees shall have telephones in their residences and shall immediately
report any changes of telephone numbers or addresses to their supervisor
and the Department Administrative Services Unit.
37. Dissemination of Information:
Employees shall treat the official business of the Department as confidential.
Information regarding official business shall be disseminated only to those for
whom it is intended, in accordance with established Department procedures.
Employees may remove or copy official records or reports from a police
installation only in accordance with established Department procedures.
Employees shall not divulge the identity of persons giving confidential
information except as authorized by proper authority.
38, Intervention:
a. Employees shall not interfere with cases, investigations, reports or
other official documents being handled by other employees of the
Department or by any other governmental agency unless:
(1)
(2)
Ordered to intervene by a supervisor.
The intervening employee believes beyond a reasonable doubt
that a manifest injustice or neglect of the police function would
result from failure to take immediate action.
39. Departmental Reports:
Employees shall submit all necessary reports on time and in accordance with
12
established Department procedures. Reports submitted by employees shall
be truthful and complete, and no employee shall knowingly enter or cause to
be entered any incomplete, false, inaccurate or improper information.
40. Processing Property and Evidence:
Property or evidence which has been discovered, gathered or received in
connection with Department responsibilities will be processed in accordance
with established Department procedures. Employees shall not convert to
their own use, manufacture, conceal, falsify, destroy, remove, tamper with or
withhold any property or evidence in connection with an investigation or other
police action, except in accordance with established Department procedures.
41. Use of Department Equipment:
Employees shall utilize Department equipment only for its official intended
purpose, in accordance with established Department procedures and shall
not abuse, damage or lose Department equipment. All equipment lost,
stolen or damaged shall be promptly reported to immediate supervisor. All
Department equipment issued to employees shall be maintained in proper
order.
42. Operating Vehicles:
Employees shall operate official vehicles in a careful and prudent manner
and shall obey all laws and all Department orders pertaining to such
operation.
43. Carrying Firearms:
Officers shall carry firearms in accordance with law and established
Department procedures.
44. Truthfulness:
Upon the order of the Director of Safety Services, or a supervisor, employees
shall truthfully answer all questions specifically directed and narrowly related
to the scope of employment and operations of the Department, which may
be asked of them for the purpose of an administrative investigation.
45. Use of Medical Examination, Photographs and Lineups:
Upon the order of the Director of Safety Services, for good cause, employees
shall submit to any medical, ballistics, chemical or other tests, photographs
or lineups. All procedures carried out under this rule shall be specifically
directed and narrowly related to a particular administrative investigation
being conducted by the Department.
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46. Treatment of Persons in Custody:
Employees shall not mistreat persons who are in their custody. Employees
shall handle such persons in accordance with law and Department
procedures.
47. Use of Force:
Employees shall not use more force in any situation than is reasonably
necessary under the circumstances, Employees shall use force in
accordance with law and Department procedures.
48. Use of Weapons:
Officers shall not use or handle weapons in a careless or imprudent manner.
Officers shall use weapons in accordance with law and Department
procedures.
49. Arrest, Search and Seizure:
Officers shall not make any arrest, search or seizure which they know or
should know is not in accordance with law.
By order of:
Daniel J. Trelka
Director of Safety Services
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