ARC 7118C

ARC 7118C

MANAGEMENT DEPARTMENT[541]

Notice of Intended Action

Proposing rulemaking related to grants enterprise management system

and providing an opportunity for public comment

The Department of Management hereby proposes to rescind Chapter 11, "Grants Enterprise Management System," Iowa Administrative Code, and to adopt a new chapter with the same title.

Legal Authority for Rulemaking

This rulemaking is proposed under the authority provided in Iowa Code section 8.6.

State or Federal Law Implemented

This rulemaking implements, in whole or in part, Iowa Code sections 8.9 and 8.10.

Purpose and Summary

The Grants Enterprise Management System (GEMS) is used by Iowans and Iowa businesses to apply for grants offered by or managed by state government entities. The proposed rules provide for the ability to implement GEMS for use by state agencies to provide grants for which Iowans, including businesses and individual Iowans, can apply and seek grant funds.

As of November 2022, there were 17 participating agencies, 26,498 users, and 4,249 participating organizations.

Fiscal Impact

This rulemaking has no fiscal impact to the State of Iowa.

Jobs Impact

After analysis and review of this rulemaking, no impact on jobs has been found.

Waivers

Any person who believes that the application of the discretionary provisions of this rulemaking would result in hardship or injustice to that person may petition the Department for a waiver of the discretionary provisions, if any, pursuant to rule 541—1.3(8).

Public Comment

Any interested person may submit written comments concerning this proposed rulemaking. Written comments in response to this rulemaking must be received by the Department no later than 4:30 p.m. on December 6, 2023. Comments should be directed to:

Public Hearing

Public hearings at which persons may present their views orally or in writing will be held as follows:

Persons who wish to make oral comments at the public hearings may be asked to state their names for the record and to confine their remarks to the subject of this proposed rulemaking.

Any persons who intend to attend the public hearings and have special requirements, such as those related to hearing or mobility impairments, should contact the Department and advise of specific needs.

Review by Administrative Rules Review Committee

The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rulemaking by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rulemaking at its regular monthly meeting or at a special meeting. The Committee's meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6).

The following rulemaking action is proposed:

Item 1. Rescind 541—Chapter 11 and adopt the following new chapter in lieu thereof:

CHAPTER 11

GRANTS ENTERPRISE MANAGEMENT SYSTEM

541—11.1(8) Purpose. These rules are designed to establish a grants enterprise management system (GEMS) under Iowa Code sections 8.9 and 8.10. The primary goals of GEMS include:

1.Securing additional nonstate funding;

2.Fostering cooperation and coordination between state agencies;

3.Discouraging duplication of competitive grant application efforts;

4.Providing a mechanism for the timely exchange of information among state agencies on proposals potentially affecting the agencies; and

5.Providing policy makers, legislators and the citizens of Iowa with information on grant funds received and state agencies' competitive grant applications.

541—11.2(8) Definitions. As used in this chapter:

"Applicant agency" means the agency intending to apply for, or applying for, a competitive grant.

"Competitive grant application" means a grant application that is in competition with other applications for limited funds.

"Federal Executive Order 12372" means the federal executive order that provides for the establishment of a process for the coordination and review of proposed federal financial assistance. In the order, states are encouraged to develop their own processes, and federal agencies, to the extent permitted by law, utilize the state process.

"GEMS coordinator" means the person appointed by the director of the department of management to coordinate GEMS.

"I/3 grant tracking module" means Integrated Information for Iowa (I/3) and the portion of the I/3 cost accounting module designed to collect data on all nonstate funds received by state government agencies.

"Single point of contact" means the GEMS coordinator.

"State agency" means any department or agency of state government except the board of regents.

541—11.3(8) GEMS coordinator. The GEMS facilitator will coordinate all aspects of GEMS under Iowa Code sections 8.9 and 8.10. The GEMS coordinator will:

1.Identify and execute strategies to secure nonstate funds;

2.Ensure that all agencies utilize the Iowa grants database to track all competitive grant applications;

3.Ensure that all agencies utilize the I/3 grant tracking module for all grants received;

4.Operate as the state's single point of contact, pursuant to Federal Executive Order 12372;

5.Establish a grants network, representing all state agencies, to operate in an advisory capacity;

6.Assign a state application identifier (SAI) number at each stage of the application process: notification of intent, application submitted, and final status;

7.Review competitive grant applications of special significance, at the coordinator's discretion;

8.Serve as liaison with the state single point of contact in contiguous states;

9.In cooperation with other state agencies, monitor and refine the GEMS competitive grants review procedures;

10.Maintain a list of state agency grants coordinators;

11.Ensure, to the greatest degree practicable, that all GEMS competitive grants reviews are conducted in accordance with these rules;

12.Provide training and policy guidance; and

13.Provide status and results reports to appropriate contacts on an as-needed basis.

541—11.4(8) Grants network. The grants network includes representation from all state agencies. Agency representatives will serve as agency grants coordinators. All agency grants coordinators will work with the GEMS coordinator to implement Iowa Code section 8.10 and do the following:

1.Communicate relevant information to the GEMS coordinator;

2.Utilize the Iowa grants database to track all competitive grant applications;

3.Utilize the I/3 grant tracking module for all grants received;

4.Inform the Iowa office for state-federal relations of initiatives for which the agency is seeking federal funds; and

5.Participate in issue-specific federal legislation work groups.

541—11.5(8) GEMS competitive grants review system. The purpose of the GEMS competitive grants review system is to allow state government coordination and review of all competitive grant applications in order to avoid duplication and conflicts.

11.5(1) Agency competitive grants review coordinator. Agency grants coordinators will:

a. Serve as the agency's competitive grants review coordinator and as liaison between the agency and the GEMS coordinator for the GEMS competitive grants review process.

b. Assist in the evaluation of the GEMS competitive grants review process.

11.5(2) GEMS competitive grants review process. The following is a generalized summary of the GEMS competitive grants review process that will be followed by state agencies with respect to review of applications for competitive grants.

a. Step 1—intent to apply.

(1)The applicant agency will complete the intent to apply section of the Iowa grants database when the applicant agency identifies a competitive grant opportunity.

(2)Upon submission of the intent to apply, a notification will be sent to all state agencies.

(3)Any state agency, or the GEMS coordinator, may request a GEMS competitive grants review meeting to explore the project in greater detail, identify opportunities for collaboration and resolve possible conflicts.

(4)The applicant agency and the GEMS office will receive the agency request for a GEMS competitive grants review meeting within two working days of submission of the intent to apply notification.

(5)The GEMS review meeting will be held within 12 working days of submission of the intent to apply notification. The applicant agency will work with the GEMS office to schedule the meeting.

b. Step 2—application submitted.

(1)Upon completion of the GEMS competitive grants review process, but prior to submission of the grant application, the applicant agency will enter the grant application information in the application section of the Iowa grants database.

(2)When all necessary fields are completed, the Iowa grants database will automatically generate written confirmation of completion of the GEMS competitive grants review to the applicant agency.

(3)The applicant agency will keep a file copy of the confirmation. The applicant agency will include the written confirmation with all federal competitive grant applications pursuant to Federal Executive Order 12372.

c. Step 3—status.

(1)The applicant agency will enter the grant's status in the Iowa competitive grants database upon withdrawal of the application or notification of the receipt or denial of the grant.

(2)The GEMS office and the legislative services agency will be notified of the final grant status.

These rules are intended to implement Iowa Code sections 8.9 and 8.10.