U.S. Department of Justice 
Office of Community Oriented Policing Services 

Image of United States Department of Justice seal
Community Oriented Policing Services logo

COPS Manual 

Tribal Resources Grant Program 
Grant Owners Manual 
for FY 2000 

A step-by-step guide 
to assist law enforcement agencies 
in carrying out and reporting on 
their Tribal Resources Grant Program grant 


Tribal Resources Grant Program 2000 
Grant Owners Manual 

The following manual was created to assist Tribal Resources Grant Program (TRGP) grantees 
with administrative and financial matters associated with the grant. 


Contents 

Getting Started ................................................................................................................iii

Glossary of Terms ............................................................................................................v

NIJ Standards for Bullet Proof Vest .............................................................................x

I. Grant 
Acceptance, 
Terms, 
and 
Conditions .........................................................3 
The Award Page 
What is a Modified Award? 

Grant Conditions
Reasons for Grant Conditions
Review of Grant Conditions

Assurances & Certifications 

Accepting the Grant Award 
Who should sign the award for my agency? 
When do the grant materials need to be returned? 
What are the specific rules regarding Termination of Grant Funding? 
How are changes to the grant made? 
Extending the grant 
Modifying the grant 
Withdrawing from the Grant 
Other questions about accepting the grant 

II. Accessing 
Grant 
Funds.........................................................................................19 
Justification for Non-competitive Procurement 
Payment Methods 

PAPRS - Phone Activated Paperless Request System 
LOCES - Letter of Credit Electronic Certification System 

Setting up Your Account 
How do I fill out the payment enrollment forms? 
Do I need a Financial Status Report to open my account? 

Additional Payment Questions
Can we receive advances?
How often do we request reimbursement of costs?
Can we earn interest on our grant funds?

III. Meeting 
the 
Local 
Match .....................................................................................27

Matching Funds
What are some sources of matching funds?
When and how must the match be made?
Should I maintain records of the match?

Waivers 
Can the matching requirements be waived? 
How are waivers granted? 
How are we notified about whether we received a waiver or not? 
How do we appeal the denial of a waiver? 


Tribal Resources Grant Program Grant Owners Manual 

IV. Financial 
Record 
Maintenance ...........................................................................31

Accounting Systems
What records should be kept?
How long should documents be kept?
What if we have more than one grant?
Who may access our records?

V. Federal 
Audit 
Requirements ................................................................................35

Audit Requirements 
Who must have an audit? 
What is an organization-wide financial and compliance audit? 
What is a single audit? 
What is the purpose of an audit? 
What are the audit requirements? 

Audit Reporting Requirements 
What is the due date of audit reports? 
Where are the audit reports to be submitted? 
What if there are problems with our audit report? 
How are audit requirements monitored? 
How can our agency receive technical assistance with audit 
requirements? 
What are the consequences of not complying with audit 
requirements? 

VI. Reports.....................................................................................................................41

Program Progress Reports 
There are two types of program Progress Reports 
How often will Progress Reports be requested? 
What kind of information will these reports require? 

Financial Status Reports 
How will grant funds be monitored? 
How do I file Financial Status Reports under PAPRS? 
How do I file Financial Status Reports under LOCES? 

Cash Reconciliation Reports
How to Report Violations

VII. When 
The 
Grant 
Period 
Ends ..............................................................................45

Grant Close Out
Final Financial Status Report
When should all the grant monies be spent?
Final Progress Report

Conclusion......................................................................................................................46

Appendices .....................................................................................................................49 
Appendix A - List of Source Documents 
Appendix B - Assurances and Certifications 


Getting Started 

Congratulations on receiving a grant from the Office of Community Oriented Policing 
Services (COPS). You have received a grant under the COPS Tribal Resources Grant 
Program 2000, which provides funding directly to federally recognized Tribal jurisdictions with established law enforcement agencies for entry level salaries and benefits of new officers engaged in community policing, training, technology, and equipment for new and existing police officers, including uniforms basic issue equipment, 
and vehicles. The Tribal Resources Grant Program 2000 was designed to expand the 
implementation of community policing and meet the most serious needs of law 
enforcement in Tribal communities through a broadened comprehensive hiring program. It is intended to strengthen the overall law enforcement infastructure in Tribal 
communities. 

This Tribal Resources Grant Program Grant Owners Manual will assist you with the 
administrative and financial matters associated with your grant. It was developed by 
the COPS Office in conjunction with the Office of the Comptroller (Office of Justice 
Programs) to ensure that all COPS Tribal Resources Grant Program grantees clearly 
understand and meet the requirements of their grants. Please do not hesitate to call 
the COPS Office at 1-800-421-6770 if you need assistance with the implementation of 
your grant. 

Thank you for providing us with the opportunity to work in partnership with your 
community. 

For assistance, call the COPS Office 
at 1-800-421-6770. 


Glossary of Terms 

Authorized Official 

The authorized official is the individual in your organization who has final responsibility for all programmatic and financial decisions regarding this grant award. 

Career law enforcement officer 

A career law enforcement officer is an officer hired on a permanent basis who is 
authorized by law or by a state or local public agency to engage in or supervise the 
prevention, detection, or investigation of violations of criminal law. 

Catalog of Federal Domestic Assistance (CFDA) 

The CFDA is a governmentwide publication orchestrated by the General Services 
Administration. It is published annually. The CFDA contains a description and index 
of all forms of Federal assistance available from the Federal government. Each grant-
making agency is responsible for submitting descriptions of their programs. Each 
program is assigned a CFDA number by the editors of the catalog. The CFDA number is used by auditors in tracking grant revenues under the Single Audit Act and State 
Single Points of Contact in conducting the required intergovernmental reviews under 
Executive Order 12372 in those states that participate in that program. The COPS 
CFDA number is 16.710. 

Closeout 

At the end of your grant period, the COPS Office is responsible for the close out of 
your grant. To fulfill this requirement, we will determine that you, as well as the COPS 
Office, have completed all of the work required by the grant. 

Community Policing 

Community policing is a policing philosophy that promotes and supports organizational strategies to address the causes and reduce the fear of crime and social disorder through problem solving tactics and community-police partnerships. A fundamental shift from traditional, reactive policing, community policing stresses the prevention of crime before it occurs. Community policing is an integral part of combating crime and improving the quality of life in the nation's cities, towns, and rural 
areas. Core components of community policing include partnering with the community; problem solving; and transforming policing agencies to support and empower 
frontline officers, decentralize command and encourage innovative problem solving. 

It is expected that all federal funds received from the COPS Office will be applied 
directly to the implementation and promotion of the community policing philosophy 
in law enforcement. 

Under the Tribal Resources Grant Program, community policing training is mandatory and will be delivered by the Regional Community Policing Institutes under the aus


Tribal Resources Grant Program Grant Owners Manual 

pices of the COPS Office. Your agency will be contacted about such training in the near 
future. However, additional training and technical assistance is also offered by the 
Community Policing Consortium whose primary mission is to deliver community 
policing training and technical assistance to police departments and sheriffs' offices 
that are designated COPS grantees. Training sessions are held at the state/regional and 
county levels and use curricula reflecting the breadth of the Consortium's collective 
policing knowledge. For agencies that need overview training, the Consortium offers 
orientation to community policing as well as sheriff-specific sessions that address 
their unique issues and obstacles. Problem solving, developing strategies, personnel 
deployment, managing calls for service, building community partnerships/cultural 
diversity, and train the trainer workshops are available to agencies searching for more 
specific courses. 

You can reach the Consortium at 1-800-833-3085. Information about the Regional 
Community Policing Institutes may be obtained from the COPS Office internet web site 
at www.usdoj.gov/cops or by contacting COPS at 1-800-421-6770. 

COPS Office 

The Office of Community Oriented Policing Services (COPS) is your grantor agency 
for your Tribal Resources Grant Program grant. The COPS Office is responsible for 
administering your grant for the entire grant period. You can reach the COPS Office 
at 1-800-421-6770. 

Federally Recognized Tribe 

Federally Recognized Tribes are entities recognized and eligible for funding and services from the Bureau of Indian Affairs, U.S. Department of Interior. 

Grant Number 

This number is in the following format: 2000-HHWX-0000 for 3 year hiring grants 
and 2000-HEWX-0000 for 1 year equipment and training grants awarded in FY 
2000. It can be found in the upper, left-hand corner of your grant Award Page. It 
is assigned by the Office of the Comptroller and should be used when corresponding with that office. This will aid the Comptrollers staff in determining which grant 
you are referring. 

Matching Funds 

Under the COPS Tribal Resources Grant Program, unless a waiver has been granted 
because of severe fiscal distress, the COPS Office provides up to 75 percent of total 
project costs including entry level salaries and fringe benefits for new law enforcement officers over three years. The maximum that the COPS Office can pay per officer for that 3-year period is $75,000 for salary and benefits and 75 percent of project costs associated with, training, technology, equipment, and/or vehicles. COPS 
Tribal Resources Grant Program grantees are responsible for a cash match of at least 
25 percent of the total cost of allowable items. Local matching funds may not be taken 
from your agencys law enforcement budget, but must be additional funds made avail


Glossary of Terms 

able specifically to pay the local match. Bureau of Indian Affairs funding may be used 
for this purpose. 

Obligation of Funds 

Federal funds are considered obligated when the grant award document is signed 
by the director of the COPS Office or his designated official. Funds are reserved 
against the grant until all the grant monies are spent or refunded to the Federal government. Local funds are considered obligated when the salaries and benefits have 
been paid or will be paid for work performed by the officer(s) during a previous pay 
period or when the monies for the purchase of approved items (training, technology, 
equipment, and vehicles) have been spent. 

Office of the Comptroller/Financial Analyst 

The Office of the Comptroller (Office of Justice Programs) handles the financial and 
budgetary aspects of your grant. A financial analyst has been assigned to your state 
from that office to answer any financial questions that you may have about your grant. 
To identify your financial analyst, refer to the budget clearance memorandum 
enclosed in your award package. 

OJP EIN number 

This number is your agencys nine-digit Federal tax identification number as assigned to you by the IRS. In some cases, the EIN has been previously assigned to another 
agency within your jurisdiction. In that instance, a new vendor number will 
be assigned to you by the Office of the Comptroller. The newly assigned vendor number is to be used for administrative purposes only and should not be used for IRS purposes. 

ORI Number [Originating Agency Identifier] 

This number is assigned by the FBI, as a law enforcement identifier. The first two letters are your state abbreviation, the next three numbers are your countys code and 
the final two numbers identify your jurisdiction within your county. It can be found on 
your grant award document. It is also a shortened version of the law enforcement 
agency National Crime Information Center (NCIC) identifier. If your agency does not 
have an ORI number assigned by the FBI, the COPS Office assigns a non-official ORI 
code to use as an agency identifier (the last 2 digits will be Z if your code is a nonofficial ORI code). It can be found on your award document. When you contact the 
COPS Office with a question, you can use the ORI number or your grant number, and 
we will be able to assist you. 

The Public Safety Partnership and Community Policing Act of 1994 

The COPS Office is charged with fulfilling the mandates of this law. The purposes of 
the law are to make grants to States, units of local government, Indian tribal governments, other public and private entities, and multi-jurisdictional or regional consortia thereof to increase police presence, to expand and improve cooperative efforts 


Tribal Resources Grant Program Grant Owners Manual 

between law enforcement agencies and members of the community to address crime 
and disorder problems, and otherwise to enhance public safety. 

Supplanting 

For the purpose of your COPS grant, supplanting means replacing state, local, or 
Bureau of Indian Affairs funds which otherwise would have been spent on law 
enforcement purposes with Federal COPS funds. You are prohibited from supplanting throughout the 3-year grant period, which means that you may not use COPS funds 
to pay for any sworn officers (full-time, part-time, reserve, or other paid officer positions) who otherwise would have been employed or purchase anything with COPS 
funds that otherwise would have been purchased with state, local, or Bureau of Indian 
Affairs funds in the absence of the COPS program. COPS funds must instead be used 
to supplement your law enforcement budget. In assessing the presence of supplanting, throughout the grant period we will expect you to hire new officers at a level consistent with recent historical practice and to take positive and timely steps to fill all 
vacancies in your locally funded sworn personnel resulting from attrition. For further 
information, please review grant condition #3 and/or contact the COPS Office Legal 
Division at 202-514-3750. 

Technology 

Allowable technology items include computer hardware, software, mobile data computers, communication systems, dispatch systems, NIBRS compliant crime data systems, and installation and training costs associated with technologies. 

Training 

Allowable training includes basic law enforcement training, community policing training, grant management training (DOJ-OJP), and computer training and/or technical 
assistance for systems, hardware, and/or software. 

Uniforms and Basic Issue Equipment 

Allowable uniforms and basic issue equipment include standard attire, dress attire, 
outerwear, footwear, hats/caps/gloves, badges, primary issue handgun, holder, bulletproof vest, portable radio and holder, gun belt and accessories, pepper spray and 
holder, baton and baton holder, handcuffs and case/holder, manuals, reference 
books, notebooks, etc. 

Vehicles 

Allowable vehicles included standard police vehicles and basic vehicle accessories. 
Allowable vehicles may also include special conveyances such as motorcycles, snowmobiles, ATVs, or vehicles standard to the jurisdiction based on demonstrated need. 

Waivers 

A waiver of the 25 percent local match requirement is available to applicants that 
demonstrate severe fiscal distress resulting in an inability to provide adequate law 
enforcement services. Requests for a waiver are considered on a case by case basis 


Glossary of Terms 

and must be made at the time of the application. Waivers are covered in their entirety 
in the Guidelines for Waivers of Local Match in the Tribal Resources Grant Program 
Application Kit and Instructions. If a waiver was applied for at the time of application 
and denied, the decision can be appealed for a second review. Contact your grant advisor for further assistance. Waivers will not be considered if they were not submitted 
with the original TRGP 2000 application. 


Tribal Resources Grant Program Grant Owners Manual 

National Institute of Justice (NIJ) 

The following information was adapted from NIJ Guide 100-98, "Selection and 
Application Guide to Police Body Armor." The publication in its entirety may be 
requested from: 

National Institute of Standards and Technology 
Office of Law Enforcement Standards (OLES) 
Technology Building (225), Room A323 
Gaithersburg, MD 20899 

(301) 975-2757 

"NIJ's policy on body armor has always been that preserving the life of the police 
officer is the sole criteria on which to judge body armor effectiveness. At present, 
an officer may select a garment that corresponds to an appropriate threat level 
and be confident that armor in compliance with NIJ's standard will defeat the 
stated threat level." 

Type I (.22 LR; .38 Special) 

Type I body armor is light. This is the minimum level of protection every officer should
have and the armor should be routinely worn at all times while on duty. Type I body
armor was the armor issued during the NIJ demonstration project in the mid-1970's.
Most agencies today, however, because of increasing threats, opt for a higher level of
protection.

This armor protects against .22 Long Rifle High-Velocity lead bullets, with nominal
masses of 2.6 g (40gr), impacting at a velocity of 320 m/s (1,050 ft/s) or less, and
against .38 Special roundnose lead bullets, with nominal masses of 10.2 g (158 gr),
impacting at a velocity of 259 m/s (850 ft/s) or less. 
It also provides protection against most other .25 and .32 caliber handgun rounds.

Type II-A (Lower Velocity .357 Magnum; 9mm) 

Type II-A body armor is well suited for full-time use by police departments, particularly those seeking protection for their officers from lower velocity .357 Magnum and 
9mm ammunition. 

This armor protects against .357 Magnum jacketed soft-point bullets, with nominal 
masses of 10.2 g (158 gr), impacting at a velocity of 381 m/s (1,250 ft/s) or less, and 
against 9mm full-metal jacketed bullets, with nominal masses of 8.0 g (124 gr), 
impacting at a velocity of 332 m/s (1,175 ft/s). It also protects against such threats as 
.45 Auto., .38 Special +P, and some other factory loads in caliber .357 Magnum and 
9mm, as well as the Type I threats. 

Type II (Higher Velocity .357 Magnum; 9mm) 

Type II body armor is heavier and more bulky than either Types I or II-A. It is worn 
full-time by officers seeking protection against higher velocity .357 Magnum and 9mm 
ammunition. 


National Institute of Justice 

This armor protects against .357 Magnum jacketed soft-point bullets, with nominal 
masses of 10.2 g (158 gr), impacting at a velocity of 425 m/s (1,395 ft/s) or less, and 
against 9mm full-jacketed bullets, with nominal velocities of 358 m/s (1,175 ft/s). It 
also protects against most other factory loads in caliber .357 Magnum and 9mm, as 
well as the Type I and II-A threats. 

Type III-A (.44 Magnum; Submachine Gun 9mm) 

Type III-A body armor provides the highest level of protection currently available from 
concealable body armor and is generally suitable for routine wear in many situations. 
However, departments located in hot, humid climates may need to evaluate the use of 
Type III-A armor carefully. 

This armor protects against .44 Magnum lead semi-wadcutter bullets with gas checks, 
nominal masses of 15.55 g (240 gr), impacting at a velocity of 426 m/s (1,400 ft/s) 
or less. It also provides protection against most handgun threats, as well as the Type 
I, II-A and II threats. 

Type III (High-Powered Rifle) 

Type III body armor is clearly intended only for tactical situations when the threat 
warrants such protection, such as barricade confrontations involving sporting rifles. 

This armor, normally of hard or semi-rigid construction, protects against 7.62 mm 
full-metal jacketed bullets (U.S. military designation M80), with nominal masses of 

9.7 g (150 gr), impacting at a velocity of 838 m/s (2,750 ft/s) or less. It also provides 
protection against threats such as 223 Remington (5.56 mm FMJ), 30 Carbine FMJ, 
and 12-gauge rifled slug, as well as the Type I through III-A threats. 

Type IV (Armor-Piercing Rifle) 

Type IV body armor provides the highest level of protection currently available. 
Because this armor is intended to resist "armor piercing" bullets, it often uses ceramic materials. Such materials are brittle in nature and may provide only single-shot 
protection, since the ceramic tends to break up when struck. As with Type III armor, 
Type IV armor is clearly intended only for tactical situations when the threats warrant 
such protection. 

This armor protects against .30-06 caliber armor-piercing bullets (U.S. military designation AMP2), with nominal masses of 10.8 g (166 gr). Impacting at a velocity of 
868 m/s (2,850 ft/s) or less. It also provides at least single-hit protection against the 
Type I through III threats. 

Special Type 

A purchaser who has a special requirement for a level of protection other than one of 
the above standard threat levels should specify the exact test rounds and minimum 
impact velocities to be used and indicate that this standard shall govern in all other 
respects. 


Section 1

Tribal Resources Grant Program 
Grant Owners Manual 
Grant Acceptance, Terms, and Conditions 


Grant Acceptance, Terms, and Conditions 

I. Grant Acceptance, Terms, 
and Conditions 

In order to officially begin your grant, you will need to review the Award Page and 
Conditions, sign the new Award, and return it to: 

COPS Tribal Resources Grant Program 
Office of Community Oriented Policing Services 
1100 Vermont Ave., NW 
Washington, DC 20530 

(For overnight delivery, please use 20005 as the zip code.) 

You will be able to draw down grant funds after: 

1. 
The COPS Office approves your budget. 
2. 
You sign your Award Page and return it to the COPS Office. 
3. 
After steps one and two are completed, you may access your grant funds through 
the PAPRS or LOCES systems. The Accounting Division will forward information 
to you regarding how to access funds. 

See Section II, Accessing Grant Funds, for more information. 

The Award Page 

The Award Page is the one-page, double-sided document indicating your official grant 
funding amount, the award number, the award date, and the official grant period. 

The Award Page also contains preprinted information of your law enforcement and 
government officials names and addresses. If this information is incorrect or has 
changed, please correct it on the change of information sheet provided in the Award 
Packet. 

Your grant award number is in this format: 2000 HHWX 0000 for hiring awards 
and/or 2000 HEWX 0000 for equipment and training awards. It is used for financial 
purposes and should be referred to when you contact the Office of the Comptroller. 

Your ORI number begins with your state abbreviation followed by numbers and/or letters. This number is assigned by the Federal Bureau of Investigation for use in tracking information for the Uniform Crime Report (UCR). The COPS Office tracks grant 
information based upon this ORI number. If your agency does not report UCR data, 
you will not have an ORI number. In this case, the COPS office will assign you one 
(ending in ZZ) for identification purposes. 


Tribal Resources Grant Program Grant Owners Manual 

If you have any questions regarding your grant, please refer to your grant award number or your agencys ORI number when you contact your COPS Grant Program 
Specialist. 

What is a Modified Award? 

In a small number of cases, a Modified Award Page may be included in the award 
packet. The final grant amount on this document may differ from the estimated 
amount on your original Award Page because the final grant amount is based upon 
your final approved budget. If you are receiving a Modified Award, take careful note 
of the change between your estimated award amount on the original document and 
the actual amount on the Modified Award. If you have any questions about the modification, refer to your budget clearance memorandum included in the Award Packet. 
If you still have questions, please contact your financial analyst through the Justice 
Response Center at 1-800-421-6770. After you review and understand this document, 
please sign, make a copy for your records and mail the original back to the COPS 
Office with your payment selection sheet. 

Grant Conditions 

The grant conditions are the terms listed on the back of your Award Page. By accepting this grant, you are entering into an agreement with the U.S. Department of Justice, 
Office of Community Oriented Policing Services (COPS). As part of that agreement, 

you agree to these 12 grant conditions (and possibly additional conditions 
specific to your agency). The section that follows describes in detail each of the 
award conditions, their rationale and their implications. It also addresses many commonly asked questions. 

Reasons for Grant Conditions 

The grant requirements of your Tribal Resources Grant Program grant are established 
within: 

 
The Public Safety Partnership and Community Policing Act of 1994 under 
which the COPS Office was established; and 
 
Applicable rules, regulations, and policies issued by the Department of 
Justice, Office of Management and Budget (OMB), the General Accounting 
Office (GAO), and the United States Treasury. 

You may request copies of any source reference document from: 

Office of Administration 
Publication Unit, Room G 236 
New Executive Office Building 
Washington, DC 20503 


Grant Acceptance, Terms, and Conditions 

You may request COPS documents from either the COPS Office or the Office of the 
Comptroller. 

Review of Grant Conditions 

1. Allowable Costs 

A. Allowable Costs: Salaries and approved fringe benefits for sworn officers 

The funding under this project is for the payment of entry level SALARIES 
AND APPROVED FRINGE BENEFITS for three years for sworn entry-level 
career law enforcement officers, newly hired, lateral transfers, or rehired 
officers. Grant funds may not be applied to portions of salaries above entry 
level. Rather, such amounts must be provided for by the grant recipient. 
Overtime cannot be paid for with this funding. 

Why This Condition: The COPS Tribal Resources Grant Program is a program that 
can only fund entry-level salaries and benefits for the hiring or rehiring of career law 
enforcement officers under the personnel portion of the grant program. Rehires are 
officers who have recently been laid off because of local budget cuts or would be laid 
off if not for the COPS grant. 

What You Should Do: Salaries covered by COPS grants must be reasonable for the 
services rendered and paid to an officer appointed under the laws or rules governing 
hiring by your law enforcement agency. Salary payments must be based on payroll 
records supported by time and attendance records or the equivalent. The types of 
records you must keep to document that you are following this grant condition are 
described in Section IV of this manual. 

Fringe benefits may be paid if they are part of a reasonable compensation package 
offered to your employees and if they fall within the categories authorized by the COPS 
Office which include FICA, Social Security, health insurance, life insurance, vacation, 
sick leave, retirement, workers compensation, and unemployment insurance. 
Overtime and compensatory time costs are not allowed. However, if you train your 
officers prior to swearing them in, grant funds may be applied to salaries and benefits paid to the new officers during training. As long as you spend the funds on salary 
and benefits that you documented in your budget summary and that were approved 
by your financial analyst, this condition will be satisfied. 

B. Allowable Costs: Background Investigations 
(Federal share of funding cannot exceed $3,000 per officer position) 

Background investigations must be completed before reimbursements can be made 
and before any salaries awarded under the grant can be paid to new hires. 
Reimbursement requests for background investigations must be accompanied by a 
completed "certification form" which will be sent to all grantees who have been 
awarded new officer positions. The criteria to be followed for background investigations will also be sent to all new grantees at the time awards are made. Background 


Tribal Resources Grant Program Grant Owners Manual 

investigations may not be initiated prior to the official award start date of the grant 
period. 

C. Allowable Costs: Training 
(Federal share cannot exceed $1200 per department for each of the following 
trainings: mandatory community policing training, mandatory grant management 
training, and computer training. Federal share of basic law enforcement training 
cannot exceed $6000 per officer). 

Community policing training must be completed through one of the following training facilities sponsored by the COPS Office, Regional Community Policing Institute 
(RCPI), Community Policing Consortium, or the Federal Law Enforcement Training 
Center. 

D. Allowable Costs: Uniforms and Basic Issue Equipment 
(Federal share under this category cannot exceed $3,000 per officer position) 

 
Standard attire (uniform shirts, trousers, ties, belts) 
 
Dress attire (dress coat, dress shirts, dress pants, ties) 
 
Outerwear (raincoat, coat, jacket, reflective vest) 
 
Footwear (dress shoes, athletic shoes, boots) 
 
Hat/Caps/Gloves 
 
Identification badges/other insignia (name plates, etc.) 
 
Other standard issue apparel/uniform accessories 
(subject to approval)
Basic Issue Equipment 

 
Primary issue handgun 
 
Holster 
 
Body armor/vest 
 
Portable radio and holder 
 
Gun belt and belt accessories 
 
Pepper Spray and holder 
 
Baton and baton holder 
 
Handcuffs and case 
 
Manuals, reference books, notebooks, etc. 
 
Other miscellaneous items issued to police recruits (flashlight, templates, 
whistles, etc.) 

In addition, the funding under the Tribal Resources Grant Program is for payment of 
background investigations for sworn officers positions, equipment, training, vehicles, 
and technology that have been approved by the COPS Office. 

E. Allowable Costs: Technology 
(Federal share under this category cannot exceed $75,000 per item or group 
of like items) 


Grant Acceptance, Terms, and Conditions 

Allowable technology items include computer hardware, software, mobile 
data computers, communication systems, NCIC systems, dispatch systems, 
NIBRS compliant crime data systems, cameras, and cell phones. 

F. Allowable Costs: Police Vehicles 
(Federal share under this category cannot exceed $20,000 per car or 75% per 
most special vehicles ) 

Allowable items include: Police cars, basic vehicle accessory package, and 
special conveyances such as bicycles, motorcycles, snow machines, ATVs 
based on demonstrated need. 

G. Disallowable Costs 

This is not an inclusive list. The COPS Office reserves the right to deny funding for 
items that may not have been included in the Tribal Resources Grant Program application kit. You may not apply for these items under TRGP: 

 
Ammunition 
 
Civilian salaries and benefits 
 
Construction/renovation costs 
 
Crime mapping systems 
 
Dictation systems 
 
Dogs (K-9) 
 
GPS Systems 
 
Indirect costs 
 
Night Vision Equipment 
 
Office equipment (copiers, fax machines) 
 
Office furniture/supplies 
 
Office rental space 
 
Overtime hours for sworn officers or civilians 
 
Phone lines/utilities 
 
Radar equipment 
 
Salaries and benefits of existing employees 
 
Surveillance Equipment 
 
Televisions/VCR 
 
Vehicle leasing or rental agreements 
 
Vehicle parts, service, or maintenance 
 
Video Cameras (other than vehicle mounted)/film 

In addition, this program will not provide funding for any items or position(s) which 
are funded in the applicant agencys budget with other sources of funding (state, 
local, or BIA). You may apply only for otherwise unfunded positions or items to supplement your agencys law enforcement budget. 


Tribal Resources Grant Program Grant Owners Manual 

2. Fiscal Year and Cognizant Federal Agency 

Prior to drawing down funds for this award, the recipient must provide the 
Control Desk, Office of the Comptroller, with the recipient organizations 
fiscal year and the name of the recipient organizations Cognizant Federal 
Agency. 

Why This Condition: In order to ensure that your agency is in compliance with 
Federal audit requirements and OMB regulations, the Office of the Comptroller and 
the Cognizant Federal Agencies must coordinate tracking of all Federal funds awarded under grants. To accomplish this, we need your cooperation in gathering the information. 

What You Should Do: This information was requested in the application form you 
submitted for COPS Tribal Resources Grant Program. In most cases this condition has 
been satisfied. However, if you did not provide this information, your Cognizant 
Federal Agency is the Federal department or agency that provides you with the most 
Federal money. It may have been assigned to your jurisdiction previously. If this is 
your first Federal grant, your Cognizant Federal Agency is the U.S. Department of 
Justice. Please contact your grant grogram specialist if you have any questions about 
the identity of your Cognizant Federal Agency. 

3. Supplementing, Not Supplanting 

The COPS statute requires that grant funds may not be used to replace 
state, local, or Bureau of Indian Affairs funds that would not be made available in the absence of Federal COPS grant funding. This means that Tribal 
Resources Grant Program funds must be used to increase the amount of 
state, local, or Bureau of Indian Affairs funds otherwise budgeted for the 
grant purposes as of November 1, 1999, plus any additional state, local, or 
Bureau of Indian Affairs funds budgeted for these purposes after that date. 

Why This Condition: The Public Safety Partnership and Community Policing Act of 
1994 specifically states that Federal funds under the COPS programs may not be used 
to supplant existing local, state, or Bureau of Indian Affairs funds, which otherwise 
would have been made available for these purposes. 

What You Should Do: Tribal Resources Grant Program grantees may not use grant 
funds to pay for any sworn officer positions that the grantee has already committed to 
fund with state, local, or Bureau of Indian Affairs funds. Instead, the grant funds may 
be used only to hire and fund new, additional sworn officer positions after the official 
award start date to increase the grantees baseline of state, local, or Bureau of 
Indian Affairs positions. If a grantee committed to hire 10 new officer positions the 
grantee must hire those 10 officer positions with the committed Bureau of Indian 
Affairs funds and then also hire 5 additional officers with the grant funds. You may, 
however, transfer a veteran officer to community policing position and use COPS 
funds to hire a new officer to replace the redeployed veteran. 


Grant Acceptance, Terms, and Conditions 

Similarly, COPS Tribal Resources Grant Program funds must be used to purchase technology and equipment that is in addition to purchases that the grantee has obligated 
or funded to pay in the current budget. Funds currently allocated to purchase technology or equipment may not be reallocated to other purposes or refunded. 

In addition, a grantee may not reallocate state, local, or Bureau of Indian Affairs funds 
from one area with the law enforcement budget to another as a result of applying for 
or receiving Tribal Resources Grant Program funds. For example, grantees who have 
budgeted to pay for 10 new, additional officer positions may not reallocate those funds 
to pay for any other law enforcement cost as a result of applying for Tribal Resources 
Grant Program funds for additional officer positions. Grantees also may not reallocate 
funds from within their law enforcement budget to pay for the required local match 
to the Tribal Resources Grant Program grant, but must obtain other sources of local 
match funds in addition to the state, local, or Bureau of Indian Affairs funds which 
otherwise would be budgeted for law enforcement purposes. 

To meet this grant condition, you will need to ensure that: 

 
Each officer that you hire under the COPS Tribal Resources Grant Program 
2000 is newly hired after August 1, 2000 unless an exception is authorized 
in writing by the COPS Office. 
 
The officer(s) that you are hiring brings your force to a number over and 
above your budgeted (funded) sworn force as of November 1, 1999. 
 
During the life of your grant, you must continue to hire as many new, locally funded officers as you would have if you had not received your grant. (You 
may not cancel or postpone spending money in your budget that is committed to hiring other new officers.) 
 
You must take positive and timely steps to fill vacancies and locally funded 
sworn force positions that were created on or after your grant award date 
by retirement, resignation, or other reasons with new officers other than 
your COPS Tribal Resources Grant Program officer. Again, exceptions 
may be authorized by the COPS Office. 

A career law enforcement officer is an officer hired on a permanent basis who is 
authorized by law or by a state or local public agency to engage in or supervise the 
prevention, detection, or investigation of violations of criminal law. 

4. Retention 

Your agency is expected to implement its plan to retain the positions funded by the COPS Tribal Resources Grant Program at the conclusion of the 
grant. 

COPS funded positions must be retained over and above the previously locally funded 
number of positions in the law enforcement agency for at least one local budget cycle 
beyond the conclusion of Federal funding. These positions can be retained using state, 
local, other non-federal funding, or funding from the Bureau of Indian Affairs. 


Tribal Resources Grant Program Grant Owners Manual 

Why This Condition: The Public Safety Partnership and Community Policing Act of 
1994 envisions that positions for officers should be maintained by localities beyond 
the Federal funding period. The local match and the provision of a decreasing Federal 
share were established to enable communities to adequately plan for paying the 
salaries and benefits of the new officers without burdening them with the full cost of 
hiring a new officer. It is up to your agency to determine how the Federal share 
decreases from year to year. Please refer to your application budget information sheet 
that you provided to the COPS Office to review your Federal/local share plan. 

What You Should Do: Your retention plan should focus on maintaining the officer position rather than a specific officer beyond the life of the grant. If, for 
any reason, the officer originally filling the position funded by the COPS Tribal 
Resources Grant Program grant leaves your department, you are requested to fill the 
position with a new officer. 

5. Reports 

In order to assist the COPS Office in the monitoring of the award, your 
agency will be responsible for submitting annual Progress Reports and 
quarterly Financial Status Reports. 

Why This Condition: The Public Safety Partnership and Community Policing Act of 
1994 and other Federal regulations and policies require that financial assistance provided by the Federal government be monitored carefully to ensure the proper use of 
Federal funds. In addition, the COPS Office seeks to document, on a continuing basis, 
the progress of our programs and our grantees. 

What You Should Do: This grant condition is to make you aware of your responsibilities in assisting us with reporting requirements. These reports are discussed extensively in Section VI of this manual. To meet this condition, you will fill out one 
Program Progress Report per year and four Financial Status Reports per year. 

6. Extensions 

Requests for extensions, without additional funding, of the grant award 
period should be submitted in writing to your grant program specialist 
within 90 days of the official end date of the award. 

Why This Condition: Under Federal regulations, requests to extend the grant period require prior approval. Without an approved extension, your funding will be automatically stopped at the end of the grant period. 

What You Should Do: In an effort to reduce the number of extensions during the 
grant period, the COPS Office asks that you delay any request for an extension until 
90 days prior to the official end date of the award. When the COPS Office receives and 
approves your extension request, we will ensure that you have continued access to 
your grant monies. 


Grant Acceptance, Terms, and Conditions 

7. Evaluation 

The COPS Office may conduct national evaluations of the community policing activities of its grantees and other COPS-funded initiatives. The grantee 
agrees to cooperate with the evaluators. 

Why This Condition: The Public Safety Partnership and Community Policing Act of 
1994 states that evaluations of the program may be carried out or commissioned by 
the Attorney General for the furtherance of the purposes of the Act. The COPS Office 
plans to conduct evaluations to determine what programs are working, how programs 
may be improved, and why certain programs are working better than others. 

Specifically, the COPS Office may assess the way in which you implement your community policing program. In some jurisdictions, COPS staff or evaluators may study 
the effectiveness of funded programs, projects, and activities. Evaluators may collect 
information about the programs effect on crime, victims of crime, and the quality of 
life in communities. In addition, they may ask questions about how residents feel 
about community policing and how police feel about their work. This information will 
be useful to other communities and police agencies across the country. 

What You Should Do: When evaluations are undertaken, you may be contacted in 
writing with specific requests for information. In general, evaluators may need to 
speak with individuals in your department, observe activities of your department, and 
obtain written reports about and from your department. You will be asked to facilitate 
any site visits and information-gathering activities. In addition, you will be asked to 
provide accurate and timely information about your grant activities. 

8. Grant Owners Manual 

The grantee agrees to abide by the terms, conditions, and regulations as 
found in the COPS Tribal Resources Grant Program Grant Owners Manual 
(and the Uniform Administrative Requirements for Grants and Cooperative 
Agreements to State and Local Governments) 28 C.F.R Part 66. 

Why This Condition: This manual has been tailored to inform you of the policies, 
procedures, and regulations that apply to your grant. You will be responsible for the 
information and rules contained in this manual. More detailed guidance can be 
requested through your grant program specialist. 

What You Should Do: Please read the entire COPS Tribal Resources Grant Program 
Grant Owners Manual carefully prior to signing the grant Award Page. If you have any 
questions, please contact your grant program specialist. When you sign the Award 
Page, you should ensure that the proper reporting and financial systems are in place 
to satisfy the requirements. 


Tribal Resources Grant Program Grant Owners Manual 

9. Employment Eligibility 

The grantee agrees to complete and keep on file, as appropriate, an 
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. 

10. Contracts with Other Jurisdictions 

Tribes whose law enforcement services are provided by local policing agencies through a contract arrangement are not eligible under Tribal 
Resources Grant Program COPS program. In addition, technology and 
equipment that has been funded under this program cannot be utilized by 
other agencies unless it exclusively benefits the population that you serve. 
For example, if you receive funding for five computers, you cannot loan two 
computers to a neighboring county. 

11. Criminal Intelligence Systems 

If any part of the funded project is subject to the requirements of the 
Criminal Intelligence Systems Operating regulations, 28 C.F.R. Part 23, the 
grantee agrees to comply with this federal regulation and submit a system 
operating manual to the COPS Office for approval. 

Why This Condition: If your COPS Tribal Resources Grant Program grant provides 
funding to purchase, maintain, or enhance equipment (hardware or software) that 
will enable your agency to receive criminal intelligence information, store it, 
exchange it with other agencies, disseminate it or analyze it, then you may be operating an interagency criminal intelligence system subject to mandates of 28 C.F.R. Part 

23. This federal regulation exists to ensure that your agency operates and maintains 
such a system in compliance with the constitutional and privacy rights of individuals. 
28 C.F.R Part 23 also provides guidance that will assist you in understanding the 
applicability and operating principles of criminal intelligence systems. 

What You Should Do: If you think that your COPS Tribal Resources Grant Program 
grant may have provided funding for a system as described above, please take the following step: 

 Complete the self-certification form which will be sent to your agency 
under separate cover. 

The self-certification form will ask you to review 28 C.F.R. Part 23 and then please 
mark all boxes that apply to your situation. 

. 
If you conclude that Part 23 does not apply to your agency despite the 
receipt of COPS Tribal Resources Grant Program equipment grant funds, 
check the box, sign and return the enclosed Certification A: 
. 
If you conclude that Part 23 does apply to your agency, including the operating principles set forth in 28 C.F.R. Part 23.20, check the box and sign and 


Grant Acceptance, Terms, and Conditions 

return the enclosed Certification B: (If you choose Certification "B" then you 
must also choose one of the following three.) 

. 
If you conclude that Part 23 does apply to your agency and you have in place 
operating procedures that in your judgement comply with Part 23, including an operations manual governing all aspects of your Criminal Intelligence 
System. 
. 
If you conclude that Part 23 does apply to your agency and you have a 
Criminal Intelligence System operations manual in the development stage 
but not yet finalized. 
. 
If you determine that Part 23 does apply to you but your agency cannot in 
good faith comply at this time with the requirements of having in place the 
necessary procedures and safeguards for operating a Criminal Intelligence 
System, and you do not have in place or under development the required 
operations manual. 

12. Sole Source Justification 

Grantees who have been awarded funding for the procurement of an item 
in excess of $100,000 and who have already identified a vendor must provide a written sole source justification to the COPS Office prior to obligating, expending, or drawing down grant funds for that item. 

Why this condition: In general, grant recipients are required to procure funded 
items through open and free competition. However, in some instances, grantees may 
already have determined that competition is not feasible. 

What you should do: If you have received an award for an item or service in excess 
of $100,000, and have already identified a vendor through the solicitation of only one 
source, you must provide a written justification that explains why it is necessary to 
contract noncompetitively. 

The initial determination that competition is not feasible can be made if one of the following circumstances exists: 

1. 
The item or service is available only from a single source; 
2. 
A competitive solicitation would create an undesirable delay affecting 
the grantees ability to meet program requirements; or 
3. 
A number of sources were solicited but were considered inadequate. 

The COPS Office will review your request and the supporting information that you provide and will make a determination as to whether or not an exception can be granted 
to the general rule regarding competition. Please use the format described in 
Section 2, Assessing Grant Funds, when submitting your justification for noncompetitive procurement to your grant program specialist. 


Tribal Resources Grant Program Grant Owners Manual 

Assurances & Certifications 

In addition to the grant conditions, your agency remains bound by the signed 
Assurances and Certifications that it provided to the COPS Office upon application to 
the Tribal Resources Grant Program. 

Although the U.S. Department of Justice has made every effort to simplify the process 
for applying for and receiving grants, provisions of Federal law require us to seek 
your certification regarding certain matters. Most of these Assurances and 
Certifications apply to all grants provided by the Federal government. When you have 
completed your original application, the Assurances and Certifications that you agreed 
to by signing the application were included in the application kit. Another copy of the 
Assurances and Certifications is contained in Appendix B of this manual. If you have 
any questions about them, please contact your grant program specialist. 

Accepting the Grant Award 

After you have reviewed the conditions of the award and your agency agrees with those 
conditions, you are ready to accept the award. At the bottom of the Award Page are 
three signature lines. The Director of the COPS Office has signed the Award Page indicating approval of your grant, an obligation of Federal funds to your organization, and 
our commitment to the award. To officially begin the grant and to be able to draw 
down your funds, your law enforcement executive and government executive 
must sign the Award Page and return the original copy to: 

COPS Tribal Resources Grant Program 
Office of Community Oriented Policing Services 
1100 Vermont Ave., NW 
7th Floor 
Washington, DC 20530 

(For overnight delivery, please use 20005 as the zip code.) 

Faxed awards cannot be accepted. 

Who should sign the award for my agency? 

The law enforcement executive and government executive who have final responsibility for all programmatic and financial decisions regarding this grant award must sign 
the Award Page. The police chief or director of public safety is generally the law 
enforcement executive. The head of the tribal government is the government executive. If you have any questions as to who should sign the award, please contact your 
legal advisor. 

When do the grant materials need to be returned? 

You must return the signed Award Page within 90 days of your receipt of it. No funds 
may be released until we have received your signed Award Page, your budget has 
received final clearance, and any other relevant grant conditions particular to your 
agency have been satisfied. 


Grant Acceptance, Terms, and Conditions 

If you require an extension for accepting the award beyond the 90-day time frame 
from the postmark date, please request it in writing, stating the reason for the delay. 

What are the specific rules regarding termination of grant funding? 

The COPS Office has the right to sanction or to terminate your project when there is 
reason to believe through periodic monitoring or review that you: 

 
Are not substantially complying with the requirements of the Act, the guidelines or with other provisions of Federal law; 
 
Are failing to make satisfactory progress toward the goals or strategies in 
your application and information, as reflected by performance and status 
reports; 
 
Do not adhere to grant agreement requirements or conditions; 
 
Propose substantial plan changes to the extent that, if originally submitted, 
would have resulted in the application not being selected for funding; 
 
Do not submit reports (in a timely manner); 
 
File false certification in connection with an application, periodic report, or 
other document submitted to the COPS Office or to the Office of the 
Comptroller; or 
 
Provide other good cause for termination as determined by the 
COPS Office.

In these instances, we may: 

 
Temporarily withhold payments pending correction of the 
situation;
 
Disallow all or part of the cost of the activity or action not in 
compliance;
 
Wholly or partly suspend or terminate the current award; 
 
Require that some or all of the grant amounts be remitted to the 
U.S. Department of Justice; 

 
Condition a future grant or elect not to provide future grant funds until 
appropriate actions are taken to ensure compliance; 
 
Withhold further awards for the program; 
 
Recommend civil or criminal enforcement by other agencies; or 
 
Take other remedies that are legally available. 

In the event that sanctions are imposed or a grant is terminated, you will be notified 
in writing of our decision and the reason(s) for that decision. You also will receive 
reasonable time to either discontinue operations or seek support from other sources. 

How are changes to the grant made? 

You must seek prior approval if you plan to make grant changes relating to any of the 
following issues: 


Tribal Resources Grant Program Grant Owners Manual 

 
Changes in number of officers that will be hired under your 
COPS grant;
 
Extensions (allows you to lengthen the grant period to ensure three 
full years of COPS funding for positions, if applicable); 
 
Salary and benefit changes resulting in decrease of award amount; 
 
Major programmatic changes; 
 
Major budget changes (e.g., your department was awarded 4 
computers, but will purchase 5 with the same amount of money); or 
 
Changes in plans to retain positions following the expiration of the COPS 

Grant. 
In order to make one of these changes, you will need to submit your plans in writing 
to the COPS Office for prior approval. Please document your reasons for the proposed 
changes and add any other information that will assist us in reviewing the changes. 

Extending the grant 

No-cost time extensions will be given, if necessary, to grantees in order to complete 
grant requirements and draw down all grant funds. Extensions do not affect the 
amount of the grant, only the end date of the grant. If extensions to complete grant 
requirements are necessary, they may be requested 90 days before the end of the 
grant period. The COPS Office will send information to you regarding the criteria and 
procedure for an extension before the end of the initial grant period. 

Modifying the grant 

You must seek prior approval if you plan to make grant changes relating to any of the 
following issues: 

 
key personnel change(s); 
 
salary and benefit changes; 
 
major programmatic changes; 
 
major budget changes (e.g. your department was awarded 10 laptop 
computers, but will purchase 12 with the same amount of money). 

In order to make one of these changes, you are required to submit your plans in writing to the COPS Office for prior approval. Please document your reasons for the proposed changes and any information that will assist us in reviewing the changes. 

Withdrawing from the Grant 

The COPS Office allows grantees to request that their Tribal Resources Grant Program 
be withdrawn at any point during the grant period. However, if Federal funding has 
been drawn down grantees must comply with all COPS grant conditions such as the 
local match and the retention planning requirement. 

If you wish to withdraw from your Tribal Resources Grant Program you must submit 
your withdrawal request and the reason(s) for withdrawing in writing to the COPS 
Office for prior approval. Please provide any documentation or information that will 
assist us in reviewing your request. 


Grant 
Acceptance, 
Terms, 
and 
Conditions 

Other questions about accepting the grant 

If for any reason you have questions about accepting this grant, please contact your 
grant program specialist by calling 1-800-421-6770. 

If you have decided not to accept this grant, please send us a letter advising us of your 
decision. However, prior to deciding not to accept your COPS Tribal Resources Grant 
Program grant, please contact your grant program specialist to discuss other options. 
If, for example, between the time you submitted the application and received an 
award, the person you intended to hire has decided not to accept the position, you 
may request an extension of the grant period. 


Section 2

Tribal Resources Grant Program 
Grant Owners Manual 
Accessing Grant Funds 


Accessing Grant Funds 

II. Accessing Grant Funds 

Justification for Non-ccompetitive Procurement 

If you have any questions regarding the Federal Government requirements that guide 
procurement procedures, please call 1-800-421-6770. All grantees must follow the 
regulations listed in 28 C.F.R. 66.36 Procurement. If you have determined that noncompetitive procurement applies to your award, you must request, in writing, an 
exception to the general rule regarding competition using the following format: 

Paragraph 1  A brief description of the program and what is being contracted for 

Paragraph 2  Explanation of why it is necessary to contract noncompetitively, including the following: 

 
Expertise of the contractor 
 
Management 
 
Responsiveness 
 
Knowledge of the program 
 
Experience of contractor personnel 
 
Results of a market survey to determine competition availability or, if one was not conducted, explain why not 

Paragraph 3  Time Constraints 

 
When contractual coverage is required and why 
 
Impact on program if dates are not met 
 
How long it would take another contractor to reach the same 
level of competence (equate to dollars, if desired) 

Paragraph 4  Uniqueness 

Paragraph 5  Other points that should be covered to sell the case 

Paragraph 6  A declaration that this action is in the best interests of the agency 

Requests for noncompetitive procurement should be sent to: 

COPS Tribal Resources Grant Program Control Desk
Office of Community Oriented Policing Services (COPS)
1100 Vermont Avenue NW,
Washington, DC 20530


Tribal Resources Grant Program Grant Owners Manual 

This section provides information about how you receive funds and gives answers to 
payment related questions. If you are a new grantee to the COPS Office, you should 
receive a packet of financial related documents shortly after receipt of your award 
package. This packet will contain all of the information that you need to set up your 
payment method and a Financial Guide to assist you with financial management and 
grant administration. 

Payment Methods 

There are two methods of payment that you can use to access your grant funds: PAPRS 
and LOCES. In emergency situations, you may use a Revised H-3 (Request for 
Payment). Your use of the Revised H-3 must be cleared with an Office of the 
Comptroller Accountant prior to submission. 

The following explanation of payment methods will assist you in determining which 
payment method you would like to use in accessing your COPS grant funds. 

PAPRS - Phone Activated Paperless Request System 

PAPRS replaces the paper form H-3 (Request for Payment) requests by enabling 
grantees to use their touch-tone telephone to request funds. Approved payment 
requests will be automatically scheduled for payment by the U.S. Treasury. The system 
also provides online information to grantees about the status of their requests. 

If you do not have a touch-tone phone, please contact the Accounting Division 
helpline at 1-800-458-0786. 

How do we set up a PAPRS account? 

If you are a new grantee to the COPS Office, you should receive a packet of financial 
related documents shortly after receipt of your award package. This packet will contain all of the information that you need to set up your payment method. You will 
receive a PAPRS users manual under a separate cover from the Office of the 
Comptroller, Accounting Division. Once you receive your OJP Vendor Number (which 
may or may not be the same as your taxpayer identification number) and PIN number, you can follow the directions in the users manual to access your funds. 

LOCES - Letter of Credit Electronic Certification System 

LOCES is a modem communication system that allows recipients of COPS funds to 
electronically request payment from any of their grant funds and receive direct 
deposit to their bank accounts within 48 hours. You will need a computer with a dedicated modem. 

1. To make requests for payments through LOCES, you must have a personal computer operating DOS 3.1 or higher. We recommend a 28.8 baud modem. 


Accessing Grant Funds 

2. 
Complete and return the LOCES Automation Survey form. Upon receipt, your 
LOCES software will be customized for your use and forwarded to you. 
3. 
Complete an ACH Vendor/Miscellaneous Payment (SF 3881) enrollment form 
and forward to your bank. 

A complete LOCES form and manual package may be requested by contacting the 
Accounting Division helpline at 1-800-458-0786. In addition, the Accounting Division 
can provide technical assistance on using the LOCES system. 

What are the benefits of LOCES? 

The LOCES method is a completely computerized method of payment. It also allows 
you to file your quarterly Financial Status Reports (SF-269) electronically. 

Setting up Your Account 

How do I fill out the payment enrollment forms? 

In the packet of financial documents you received is an Automated Clearing 
House (ACH) Vendor/Miscellaneous Payment (SF 3881) enrollment form. The ACH 
Vendor/Miscellaneous Payment (SF 3881) enrollment form needs to be filled out 
regardless of the payment method. You must return this form to the Office of the 
Comptroller, U.S. Department of Justice, 1100 Vermont Avenue, NW, 2nd Floor, 
Washington, DC 20530, prior to trying to access your funds. The Agency 
Information section has been filled out by our Accounting Division. Your agency 
needs to fill out the Payee/Company Information section following the directions on 
the back of the form. You also need to provide the grant number (printed on the 
award page) on this form. Then you must have your financial institution complete the 
Financial Institution Information section and have the appropriate financial official 
sign the form. 

If you are already a COPS grantee, you should already have selected one of the two 
payment methods and filled out an ACH Vendor/Miscellaneous Payment (SF 3881) 
enrollment form. If you have any questions, please call the Accounting Division 
helpline at: 202-307-5909. 

Do I need a Financial Status Report to open my account? 

As part of Federal auditing requirements, your agency has to complete a Financial 
Status Report (Standard Form 269) quarterly. Payment requests will be denied if the 
current 269 is overdue. Please make blank copies of the form (both sides) provided in your award packet and retain them for future use. This form is a report of your 
expenditures for the grant. The Financial Status Report is due 45 days following the 
end of a calendar quarter (calendar quarters end March 31, June 30, September 30, 
and December 31). Even when you have not expended any funds during a quarter, 
the Financial Status Report should be submitted with zeros in the appropriate spaces. 

LOCES allows you to electronically 
request and receive grant funds. 


Tribal Resources Grant Program Grant Owners Manual 

When setting up your account, check to see when the last quarter ended and fill out 
a Financial Status Report to reflect the amount of your agencys expenditures for the 
grant during that quarter and submit the form along with the ACH Vendor form. For 
the rest of the year, please submit Financial Status Reports no later than May 15, 
August 15, November 15, and February 15. 

Completing the Financial Status Report does not mean that you will be reimbursed for 
the amount you show as being expended. You must still request payment through 
PAPRS or LOCES (see the section on payment methods). 

For more information, see the section of this manual entitled Reports. 

Additional Payment Questions 

Can we receive advances? 

Yes. If you receive funds through electronic transfer, the period allowed is 10 days in 
advance. If you receive funds by Treasury check, the period allowed is 28 days in 
advance. 

In general, the concept of minimum cash on hand applies to COPS grants. The minimum-cash-on-hand concept requires that you request funds based upon immediate 
cash disbursement needs. You should time your request for payment to ensure that 
Federal cash on hand is the minimum that you need to make your immediate salary 
and fringe benefit payments. There should be no excess Federal grant funds on hand, 
except for approved advances discussed above. 

The Federal Government has four basic rules regarding advances. Advances can be 
terminated if the grantee: 

 
Is unwilling or unable to attain project goals; 
 
Maintains excess cash on hand; 
 
Does not adhere to the terms and conditions of the grant; or 
 
Fails to submit reliable and timely reports. 

How often do we request reimbursement of costs? 

There are no definitive guidelines on how often you should request reimbursements. 
But only reimbursements for training, technology and equipment, actual salaries and 
benefits of COPS Tribal Resources Grant Program officer(s) can be made. 


Accessing Grant Funds 

Can we earn interest on our grant funds? 

You should minimize the time between your draw down of grant funds and your payment of grant costs. You need to account for interest earned on advance of Federal 
funds as follows: 

 
You may keep interest earned on all advances of Federal grant funds 
up to $250 per fiscal year; and 
 
Annually pay back interest earned (over and above $250 per fiscal 
year) on advances of Federal grant funds to the U.S. Department of 
Health and Human Services, Payment Management Systems, 
Rockville, MD 20852. 


Section 3

Tribal Resources Grant Program 
Grant Owners Manual 
Meeting the Local Match


Meeting the Local Match 

III. Meeting the Local Match 

The COPS Tribal Resources Grant Program provides up to 75 percent of the cost of 
allowable items. Grantees are responsible for at least 25 percent of the total cost of 
allowable items unless the requirement of a local match has been waived in whole or 
in part. The match must be a cash match and contributions may be applied at any time 
during the life of your grant, provided that the full matching share is obligated by the 
end of the grant period. The local match may not be paid from funds already budgeted for a specific law enforcement purpose. (You may not reallocate funds from within your law enforcement budget to pay the local match). The local match must be in 
addition to funds previously budgeted for specific law enforcement purposes. 

Matching Funds 

What are some sources of matching funds? 

Sources for match requirements may include: 

 
Program income funds from asset forfeitures; 
 
Funds from state or local government that are committed to matching funds 
for your program; 
 
Funds from Federal programs which specifically authorize use as 
matching funds, such as the Housing Community Development Act 
of 1974 or the Equitable Sharing Program or Bureau of Indian Affairs 
Funding; or 
 
Funds contributed by private sources. 

When and how must the match be made? 

Matching contributions may be applied at any time during the life of your grant provided that the full matching share is obligated by the end of the grant period. In addition, as a percentage of the total, the local share must increase every year 
during the grant period and the Federal share must decrease. This means that 
if you received $60,000 from the Federal government for your COPS Tribal Resources 
Grant Program officer, you could spend the Federal share at $38,000 for year one, 
$15,000 for year two, and $7,000 for year three and meet this requirement. If you 
have any questions about adjusting your match from what is stated in your budget, 
please contact your grant program specialist or financial analyst. 

Should I maintain records of the match? 

You should maintain records of your local share. These records should clearly show 
the source of the match, the amount of the match, and when the match was contributed. 


Tribal Resources Grant Program Grant Owners Manual 

Waivers of the local match are 
granted only in cases of severe 
fiscal distress. 

Waivers 

Can the matching requirement be waived? 

In order to maximize the number of communities that can take advantage of COPS 
grants, waivers of the local match are considered. Waiver requests will only be 
considered when a jurisdiction makes the request at the time of application. Applicants that are able to provide satisfactory documentation of severe fiscal 
distress are eligible for waivers. Except in extreme situations, requests for waivers 
after an award has been made will not be considered. 

How are waivers granted? 

It is the burden of the jurisdiction to demonstrate extreme fiscal distress at the time 
of application. Waivers fall under two categories: presumptive and case by case. If, 
at the time of application, the applicant is declared bankrupt by a court of law or 
placed in receivership by the state or Federal government, a presumptive waiver is 
granted. Case by case waivers are reviewed based on a demonstration of severe fiscal 
distress, including: 

 
Budgetary imbalance or expenditure cutbacks resulting in significant reductions in other services provided by the applicant; 
 
Significant lay-offs of personnel with the applicant department; 
 
Significant downgrading of applicants bond rating due to fiscal 
stress;
 
Location within an area in which a declaration of major disaster has been 
made pursuant to the Robert T. Stafford Disaster Relief and Emergency 
Assistance Act; or 
 
Other circumstances demonstrating severe fiscal distress. 

How are we notified about whether we received a waiver or not? 

The cover letter and financial clearance memo in your grant award package will indicate whether your request for a waiver was granted. If you received a waiver and have 
additional questions, please contact your grant program specialist. 

Please note that even if you did receive a waiver, you are still required to develop and 
implement your retention plan for the continuation of the funded activity following the 
conclusion of the Federal assistance. 

How do we appeal the denial of a waiver? 

If your waiver request was denied and you would like to appeal the decision, please 
make your appeal in writing to: 

U.S. Department of Justice 
Office of Community Oriented Policing Services (COPS) 
Attn: Assistant Director for Grants Administration 
1100 Vermont Avenue, NW 
Washington, DC 20530 

(For overnight delivery, please use 20005 as the zip code.) 


Section 4

Tribal Resources Grant Program 
Grant Owners Manual 
Financial Record Maintenance


Financial Record Maintenance 

IV. Financial Record Maintenance 

Under your COPS Tribal Resources Grant Program grant, you are required to establish and maintain accounting systems and financial records to accurately account for 
funds awarded and disbursed. These records need to include both Federal and 
matching funds. 

Accounting Systems 

You need to establish and maintain accounting systems and financial records to accurately account for funds awarded to you. These records should include both Federal 
funds and matching funds of state, local and private organizations. 

Your accounting system should: 

 
Present and itemize approved costs of training, equipment, technology, and 
salaries and benefits and show the actual costs of these items; 
 
Assure responsible use of grant funds; 
 
Assure that funds are spent in conformance with your grant 
conditions; and
 
Be able to provide the necessary information for periodic review 
and audit.

What records should be kept? 

Your fiscal control and accounting systems should enable you to make accurate, current, and complete disclosure of the financial activity under your COPS Tribal 
Resources Grant Program grant. Your accounting records should contain information 
showing expenditures under the grant and must be supported by items such as payrolls, time and attendance records, canceled checks, or similar documents. 

You must adequately safeguard grant funds and make sure that they are used for 
authorized purposes. You will be responsible for refunding expenditures disallowed 
by auditors. 

How long should documents be kept? 

All financial records, including payroll, time and attendance records, canceled 
checks, and similar documents associated with your COPS Tribal Resources Grant 
Program grant should be kept for at least three years from the grant closing audit 
report date. If any litigation, claim, negotiation, audit, or other action involving these 
records has been started before the end of the three year period, the records should 
be kept until completion of the action. These records should be easily located and 
should be properly protected against fire or other damage. 


Tribal Resources Grant Program Grant Owners Manual 

Records should be kept for at least 
three years from the grant closing 
audit report date. 

You should maintain your records so that you can identify them by grant year or by 
your fiscal year, whichever you find more convenient. 

What if we have more than one grant? 

If you have more than one Federal grant, funds received under one project may not 
be used to support another project. Your accounting systems and financial records 
must reflect expenditures for each project separately. 

Federal funds may be used to meet your match only if they are specifically approved 
by the COPS Office. If Federal funds are being used to meet your match, your accounting system should accurately document how the funds are being used and the programmatic intent of the match funds. 

Who may access our records? 

Authorized Federal representatives, including the representatives of the U.S. 
Department of Justice and the Comptroller General for the U.S., may access these 
records as long as they exist for the purposes of making audits, examinations, 
excerpts, or transcripts. 


Section 5

Tribal Resources Grant Program 
Grant Owners Manual 
Federal Audit Requirements


Federal Audit Requirements 

V. Federal Audit Requirements 

State and local governments previously subject to audit requirements under OMB 
Circular A-128 will be subject to audit requirements under revised OMB Circular A133, as amended. 

Audit Requirements 

Who must have an audit? 

State and local governments, nonprofit organizations, and institutions of higher education are governed by OMB Circular A-133, as amended. Whether an audit is 
required under this circular is dependent upon the amount of Federal funds that can 
be audited during the recipients fiscal year. If the organization receives $300,000 or 
more per year in Federal funds, the organization must have an organization-wide 
financial and compliance audit. 

State and local governments, nonprofit organizations, and institutions of higher education receiving less than $300,000 a year in Federal awards are exempt from Federal 
audit requirements, but records must be available for review by appropriate officials 
of the Federal grantor agency or subgranting entity. 

Commercial (for profit) organizations shall have financial and compliance audits performed by qualified individuals who are independent from those who authorized the 
expenditure of Federal funds. This audit must be performed in accordance with 
Government Auditing Standards. The audit thresholds contained in OMB Circular A133, as amended, apply. 

What is an organization-wide financial and compliance audit? 

An organization-wide financial and compliance audit is an audit conducted by an 
independent auditor covering the entire operations of the state and local government, 
nonprofit organization, and institution of higher education. At the option of a particular government entity, an organization-wide financial and compliance audit can be 
performed only on the specific departments or agencies that will receive, expend, or 
otherwise administer Federal funds during the fiscal year, rather than on the entire 
state or government entity. 

What is a single audit? 

The single audit is an audit made by an independent auditor covering the entire 
operations of the state or local government. At the option of that particular government, a single audit can be performed only on the specific departments or agencies 
that will receive, expend, or otherwise administer Federal monies during that year, 
rather than on the entire state or local government entity. 


Tribal Resources Grant Program Grant Owners Manual 

What is the purpose of an audit? 

Audits review your administration of grant funds, including your local cash match. 
Audits specifically determine whether: 

 
You have established an accounting system which will provide reasonable 
assurance that your organization is managing the COPS Tribal Resources 
Grant Program funds in compliance with the laws and regulations documented in this manual and in the assurances which were part of your application. 
Your accounting system must provide for adequate review and control by your 
authorized officials to provide accountability for grant draw-down amounts, 
grant payments for training, salaries and benefits, and purchases of technology and equipment, as well as matching fund payments and bank account balances; 
 
You or your financial manager have prepared financial statements that are 
accurate and in accordance with generally accepted accounting principles; 
 
You have prepared financial reports, including Financial Status Reports, cash 
reports, and claims for advances and reimbursements which contain accurate 
and reliable financial data, and are represented in accordance with the conditions of your COPS Tribal Resources Grant Program and the Tribal 
Resources Grant Program Grant Owners Manual; and 
 
You have spent the grant funds in accordance with the conditions of your 
Tribal Resources Grant Program grant and provisions for Federal law that may 
bear on your financial statements. 

What are the audit requirements? 

If an auditor becomes aware of any issues or illegal acts, the auditor is required to 
give prompt notice of the problem to the management official in your department. 
The management official is required to promptly notify your Cognizant Federal Agency 
of the issues or illegal acts and of the proposed and actual actions to solve the problem. 

The COPS Office must inform the appropriate officials, including state and local law 
enforcement agencies or prosecuting authorities, of any known violations of the law 
within their respective areas of jurisdiction. Your auditor may request from you the 
CFDA number for the Tribal Resources Grant Program. That number is 16.710. 

Audit Reporting Requirements 

What is the due date of audit reports? 

1) A grantee whose fiscal year begins before July 1, must submit an audit 
report within 13 months after the fiscal year ends.
2) A grantee whose fiscal year begins on or after July 1, must submit an audit 
report within 9 months after the fiscal year ends.


Federal Audit Requirements 

Where are the audit reports to be submitted? 

Audit reports are to be submitted to your Cognizant Federal Agency and to other 
Federal agencies that provide direct Federal funding to your organization. 

A Cognizant Federal Agency is generally the agency that provides you with the most 
Federal money. If this is the first Federal grant that your organization has received, 
the Department of Justice is your Cognizant Federal Agency. In that case, your audit 
reports should be sent to: 

Federal Audit Clearinghouse 
Bureau of the Census 
1201 10th Street 
Jeffersonville, IN 47132 

If this is not your first Federal grant, please check with your financial analyst or the 
auditor within your department to determine which agency is your Cognizant Federal 
Agency. 

What if there are problems with our audit report? 

Your management officials will need to develop recommendations for timely action 
that will resolve issues that the audit identifies. Prior to your audit, you must develop 
policies and procedures for action on audit recommendations. These policies and 
procedures should designate officials to be responsible for: 

 
Follow-up on audit findings; 
 
Maintaining a record of the actions taken on recommendations and 
time schedules; 
 
Responding to and acting on audit recommendations; and 
 
Submitting periodic reports to the Cognizant Federal Agency on 
recommendations and actions taken.

How are audit requirements monitored? 

The Office of the Comptroller, in coordination with the COPS Office, will track audit 
requirements. Audit reports will be tracked until all issues are resolved and the audit 
is closed. 

How can our agency receive technical assistance with audit requirements? 

The Office of Justice Programs, at the U.S. Department of Justice, is available to provide you with technical assistance in implementing audit requirements when the U.S. 


Tribal Resources Grant Program Grant Owners Manual 

Department of Justice is your assigned Cognizant Federal Agency. You may receive 
technical assistance on the following matters by contacting: 

Denise Christodoulopoulos 
OJP Audit Liason 
810 7th Street, NW 
Washington, DC 20531 

(202) 616-5968 

 
Review of audit arrangements; 
 
Review of audit programs or guides to be used for the conduct of the audit; 
and 
 
On-site assistance in performing the audit, when necessary, as a result of complex problems that may arise. 

What are the consequences of not complying with audit requirements? 

Future grants will not be awarded to any applicant who has an overdue audit report 
or an open audit report, if the grantee has not attempted to respond or has taken no 
action to resolve findings. You must be in compliance with the audit requirements to 
receive grant funds. Exceptions to this policy are by the recommendation of the Office 
of the Comptroller. 


Section 6

Tribal Resources Grant Program 
Grant Owners Manual 
Reports


Reports 

VI. Reports 

Periodically, you will be asked to provide two types of reports: Program Progress 
Reports and Financial Status Reports. Funds and future awards may be withheld if 
reports are not returned or are excessively late. 

Program Progress Reports 

There are two types of program Progress Reports: 

The Department Initial Report - This report is required only once during the life 
of the grant, and must be returned within 45 days of receipt. 

The Department Annual Report - This report is required once a year during the 
life of the grant. It will be mailed to the grantee and must be completed and returned 
within 45 days of its receipt. 

How often will Progress Reports be requested? 

The Department Annual Report will be requested once a year. The Department Initial 
Report is requested only once during the life of the grant. 

What kind of information will these reports require? 

These reports will request information about the status of your grant in terms of selection, hiring, or training; characteristics of the officers you have hired; descriptions of 
officer activities; purchase of equipment and technology; and general information 
about your department. You also will be asked about progress you have achieved in 
implementing community policing. 

Financial Status Reports 

How will grant funds be monitored? 

The Office of the Comptroller monitors the financial aspects of your grant through 
financial reports, meetings, telephone contacts, reports, audits, review of grant 
change requests, and special request submissions. In specific cases, information may 
be requested during an on-site visit. 

How do I file Financial Status Reports under PAPRS? 

Under the COPS PAPRS system, you are required to complete and return quarterly 
Financial Status Reports (SF-269) within 45 days after the end of the calendar quarter. The Financial Status Reports request information on your monies spent including 
amounts for Federal expenditures, local matching contributions and the unobligated 
balance of the award. 


Tribal Resources Grant Program Grant Owners Manual 

How do I file Financial Status Reports under LOCES? 

Under the LOCES payment method, you are required to complete and return quarterly Financial Status Reports (SF-269) within 45 days after the end of the calendar quarter. However, you have the option of completing those reports electronically each 
quarter. 

Cash Reconciliation Reports 

The Office of Comptroller, Accounting Division, will send you on a semiannual basis 
a Cash Reconciliation report. This report includes all cash activity related to your 
grant award during the period. You will need to verify the accuracy of that report. No 
response is necessary if the information reflected in the report is in agreement with 
your accounting records. If the information differs from your accounting records, 
please notify the Accounting Division in writing outlining the identified differences. 

How to Report Violations (Fraud, Waste, and Abuse) 

If you suspect any alleged violations, serious irregularities, or acts that may result in 
the use of public funds in a manner inconsistent with the Public Safety Partnership 
and Community Policing Act of 1994 or the purposes of this grant, please report such 
to the U.S. Department of Justice Inspector General Hotline at 1-800-869-4499. We 
would greatly appreciate your cooperation to help us ensure that these Federal grant 
funds are spent responsibly. 


Section 7

Tribal Resources Grant Program 
Grant Owners Manual 
When the Grant Period Ends


When the Grant Period Ends 

VII. When the Grant Period Ends 

Grant Close Out 

At the end of your grant period, the COPS Office is responsible for the close out of 
your grant. To fulfill this requirement, we must determine that you, as well as the COPS 
Office, have completed all of the work required of the grant. 

Within 90 days of the end of the grant period, you will be asked to submit 
final financial and program reports. These reports will be very similar to 
the reports discussed in Section VI. 

Final Financial Status Report 

The final Financial Status Report of your grant award is due within 90 days after the 
end of the grant period. (Example: If the training and equipment award period is 
August 1, 2000 to July 31, 2001, the final report is due by October 31, 2001) This 
final report should reflect the total amount of Federal expenditures, the total 
amount of matching contributions and, the amount of unobligated funds, if 
any. Any unobligated or unspent funds will be deobligated from the award amount. 

When should all of the grant monies be spent? 

Grant funds must be obligated by the end of the grant period. Obligated funds cover 
expenses that you have incurred but not yet paid. Grant funds that have been obligated will have 90 days after the end of the grant period in which to be expended. Any 
grant funds that you do not request payment for at the end of the 90 days will revert 
to the COPS Office. 

Final Progress Report 

Within 90 days of the end of your grant award period, the COPS Office will ask you to 
submit a final Progress Report. The final Progress Report and its instructions will be 
mailed to you in the third year of your grant. It will request information similar to the 
annual Progress Reports. 


Tribal Resources Grant Program Grant Owners Manual 

Conclusion 

We hope that this manual has assisted you with your grant questions. We welcome 
and encourage any comments you have regarding the COPS Tribal Resources Grant 
Program and the materials we are developing for its administration. If you have specific comments regarding this manual, please send them to: 

COPS Tribal Resources Grant Program 
Grant Owners Manual 
1100 Vermont Ave., NW 
Washington, DC 20530 

(For overnight delivery, please use 20005 as the zip code.) 

We will review these comments and make revisions as appropriate. 

If you have any questions about your grant, please call your grant program specialist 
at 1-800-421-6770. 


Section 8

Tribal Resources Grant Program 
Grant Owners Manual 
Appendices


Appendices 

Appendix A 

List of Source Documents Primary Sources: 

Public Safety Partnership and Community Policing Act of 1994, 42 U.S.C. 

U.S. Department of Justice, Office of Justice Programs, Financial and Administrative 
Guide for Grants, OJP M 7100.1D: May 15, 1990 

Additional Sources: 

Code of Federal Regulations (CFR) 
28 CFR Part 66 Uniform Administrative Requirements for Grants and Cooperative 
Agreements to State and Local Governments 

28 CFR Part 67 Government wide Requirements for Drug-Free 
Workplaces (Grants)

28 CFR Part 69 Government wide New Restrictions on Lobbying 
31 CFR Part 205 Treasury Department Regulations Implementing for Cash 
Management Improvement Act of 1990 

OMB Circular A-87 Cost Principles for State and Local Governments
OMB Circular A-33 Audits of Educational Institutions
Assurances for Universal Hiring (Included)
Executive Order 12547 "Non-Procurement Debarments and Suspension"
Executive Order 12372, 28 CFR, Part 30 "Intergovernmental Review of Federal

Programs"
OMB Circular A-129 Managing Federal Credit Programs
4 CFR Parts 101-105 Department of Justice/General Accounting Office, "Joint Federal

Claims Collections Standards"
5 CFR Part 1320 "Controlling the Paperwork Burden on the Public"
Executive Order 12291 "Regulations"
5 CFR Part 151 "Political Activities of State and Local Officials or Employees"


Tribal Resources Grant Program Grant Owners Manual 

Appendix B - Assurances 

Several provisions of Federal law and policy apply to all grant programs. We (the Office of Community Oriented Policing Services) need to secure your assurance that you (the applicant) will comply with these provisions. If you would like further information about any of the matters on which we seek your assurance, please contact us. 

By your authorized representatives signature, you assure us and certify to us that you will comply with all legal and administrative requirements that govern the applicant for acceptance and use of Federal grant funds. In particular, you assure us that: 

1. 
You have been legally and officially authorized by the appropriate governing body (for example, mayor or city council) to apply for this grant 
and that the persons signing the application and these assurances on your 
behalf are authorized to do so and to act on your behalf with respect to 
any issues that may arise during processing of this application. 
2. 
You will comply with the provisions of Federal law which limit certain 
political activities of your employees whose principal employment is in 
connection with an activity financed in whole or in part with this grant. 
These restrictions are set forth in 5 U.S.C.  1501, et seq. 
3. 
You will comply with the minimum wage and maximum hours provisions of the Federal Fair Labor Standards Act, if they apply to you. 
4. 
You will establish safeguards, if you have not done so already, to prohibit employees from using their positions for a purpose that is, or gives 
the appearance of being, motivated by a desire for private gain for themselves or others, particularly those with whom they have family, business 
or other ties. 
5. 
You will give the Department of Justice or the Comptroller General 
access to and the right to examine records and documents related to the 
grant. 
6. 
You will comply with all requirements imposed by the Department of 
Justice as a condition or administrative requirement of the grant; with the 
program guidelines; with the requirements of OMB Circulars A-87 (governing cost calculations) and A-128 or A-133 (governing audits); with the 
applicable provisions of the Omnibus Crime Control and Safe Streets Act 
of 1968, as amended; with 28 CFR Part 66 (Uniform Administrative 
Requirements); with the provisions of the current edition of the appropriate COPS grant owners manual; and with all other applicable laws, 
orders, regulations or circulars. 
7. 
You will, to the extent practicable and consistent with applicable law, 
seek, recruit and hire qualified members of racial and ethnic minority 
groups and qualified women in order to further effective law enforcement 
by increasing their ranks within the sworn positions in your agency. 
8. 
You will not, on the ground of race, color, religion, national origin, 
gender, disability or age, unlawfully exclude any person from participation in, deny the benefits of or employment to any person, or subject any 

person to discrimination in connection with any programs or activities 
funded in whole or in part with Federal funds. These civil rights requirements are found in the non-discrimination provisions of the Omnibus 
Crime Control and Safe Streets Act of 1968, as amended (42 U.S.C.  
3789(d)); Title VI of the Civil Rights Act of 1964, as amended (42 U.S.C. 
 2000d); the Indian Civil Rights Act (25 U.S.C.  1301-1303); Section 
504 of the Rehabilitation Act of 1973, as amended (29 U.S.C.  794); Title 
II, Subtitle A of the Americans with Disabilities Act (ADA) (42 U.S.C.  
12101, et seq.); the Age Discrimination Act of 1975 (42 U.S.C.  6101, et 
seq.); and Department of Justice Non-Discrimination Regulations contained in Title 28, Parts 35 and 42 (subparts C, D, E and G) of the Code 
of Federal Regulations. 

A. In the event that any court or administrative agency makes a finding of 
discrimination on grounds of race, color, religion, national origin, gender, disability or age against you after a due process hearing, you agree 
to forward a copy of the finding to the Office of Civil Rights, Office of 
Justice Programs, 810 7th Street, NW, Washington, DC 20531. 

B. If you are applying for a grant of $500,000 or more and Department 
regulations (28 CFR 42.301 et seq.) require you to submit an Equal 
Opportunity Employment Plan, you will do so at the time of this application, if you have not done so in the past. If you are applying for a grant of 
less than $500,000 and the regulations require you to maintain a Plan on 
file in your office, you will do so within 120 days of your grant award. 

9. 
You will insure that the facilities under your ownership, lease or 
supervision which shall be utilized in the accomplishment of the project 
are not listed on the Environmental Protection Agencys (EPA) list of 
Violating Facilities and that you will notify us if you are advised by the EPA 
indicating that a facility to be used in this grant is under consideration for 
listing by EPA. 
10. 
If your state has established a review and comment procedure under 
Executive Order 12372 and has selected this program for review, you 
have made this application available for review by the state Single Point of 
Contact. 
11. 
You will devise a plan to retain the increased hiring level with state 
and local funds after the conclusion of your grant. 

I hereby certify compliance with the above assurances that govern the application and use of Federal funds. 

Signature: ________________________________________________________________ Date: ______________________ 


Appendices 

Certifications

Regarding Lobbying; Debarment, Suspension and Other Responsibility Matters; Drug-Free Workplace Requirements Coordination 
with Affected Agencies; Non-Supplanting; and Retention. 

Although the Department of Justice has made every effort to simplify the application process, other provisions of Federal law require us to seek your certification regarding certain matters. Applicants should read the regulations cited below and the instructions for certification included in the regulations to understand the requirements and whether they apply to a particular applicant. Signature of this form provides for compliance with certification requirements under 
28 CFR Part 69, "New Restrictions on Lobbying," and 28 CFR Part 67, "Government-wide Debarment and Suspension (Nonprocurement) and Government-wide 
Requirements for Drug-Free Workplace (Grants)," and the coordination and non-supplanting requirements of the Public Safety Partnership and Community 
Policing Act of 1994. The certifications shall be treated as a material representation of fact upon which reliance will be placed when the Department of Justice 

determines to award the covered grant. 

1. Lobbying 

As required by Section 1352, Title 31 of the U.S. Code, and implemented 
at 28 CFR Part 69, for persons entering into a grant or cooperative agreement over $100,000, as defined at 28 CFR Part 69, the applicant certifies 
that: 

A. No Federal appropriated funds have been paid or will be paid, 
by or on behalf of the undersigned, 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 the making 
of any Federal grant; the entering into of any cooperative agreement; and the extension, continuation, renewal, amendment or 
modification of any Federal grant 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 grant or cooperative agreement, the undersigned shall complete and submit 
Standard Form  LLL, "Disclosure of Lobbying Activities," in 
accordance with its instructions; 

C. The undersigned shall require that the language of this certification be included in the award documents for all subawards at all 
tiers (including subgrants, contracts under grants and cooperative 
agreements, and subcontracts) and that all sub-recipients shall certify and disclose accordingly. 

2. Debarment, Suspension and Other Responsibility Matters 
(Direct Recipient) 

As required by Executive Order 12549, Debarment and Suspension, and 
implemented at 28 CFR Part 67, for prospective participants in primary 
covered transactions, as defined at 28 CFR Part 67, Section 67.510  

A. The applicant certifies that it and its principals: 

(i) Are not presently debarred, suspended, proposed for debarment, 
declared ineligible, sentenced to a denial of Federal benefits by a state or 
Federal court, or voluntarily excluded from covered transactions by any 
Federal department or agency; 

(ii) Have not within a three-year period preceding this application been 
convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing public (Federal, state or local) transaction 
or contract under a public transaction; violation of Federal or state 
antitrust statutes or commission of embezzlement, theft, forgery, bribery, 
falsification or destruction of records, making false statements, or receiving stolen property; 

(iii) Are not presently indicted for or otherwise criminally or civilly 
charged by a governmental entity (Federal, state or local) with commission of any of the offenses enumerated in paragraph (A)(ii) of this certification; and 

(iv) 
Have not within a three-year period preceding this application had 
one or more public transactions (Federal, state or local) terminated for 
cause or default; and 
B. 
Where the applicant is unable to certify to any of the statements in this 
certification, he or she shall attach an explanation to this application. 

3. Workplace (Grantees Other Than Individuals) 

As required by the Drug-Free Workplace Act of 1988, and implemented 
at 28 CFR Part 67, Subpart F, for grantees, as defined at 28 CFR Part 67, 
Sections 67.615 and 67.620  

A. The applicant certifies that it will, or will continue to, provide a drug-
free workplace by: 

(i) 
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; 
(ii) 
Establishing an on-going drug-free awareness program to 
inform employees about  
(a) 
The dangers of drug abuse in the workplace; 
(b) 
The grantee's policy of maintaining a drug-free workplace; 

(c) 
Any available drug counseling, rehabilitation and employee 
assistance programs; and 
(d) 
The penalties that may be imposed upon employees for drug-abuse 
violations occurring in the workplace; 


Tribal Resources Grant Program Grant Owners Manual 

(iii) 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 (i); 

(iv) 
Notifying the employee in the statement required by paragraph (i) 
that, as a condition of employment under the grant, the employee will  
(a) 
Abide by the terms of the statement; and 
(b) 
Notify the employer in writing of his or her conviction for a violation 
of a criminal drug statute occurring in the workplace no later than five 
calendar days after such conviction; 
(v) 
Notifying the agency, in writing, within 10 calendar days after receiving notice under subparagraph (iv)(b) from an employee or otherwise 
receiving actual notice of such conviction. Employers of convicted 
employees must provide notice, including position title, to: COPS Office, 
1100 Vermont Ave., NW, Washington, DC 20530. Notice shall include the 
identification number(s) of each affected grant; 
(vi) 
Taking one of the following actions, within 30 calendar days of 
receiving notice under subparagraph (iv)(b), with respect to any employee who is so convicted  
(a) 
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 
(b) 
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; 

(vii) 
Making a good faith effort to continue to maintain a drug-free workplace through implementation of paragraphs (i), (ii), (iii), (iv), (v) and 
(vi). 
B. 
The grantee may insert in the space provided below the site(s) for the 
performance of work done in connection with the specific grant: 
Place of performance (street address, city, county, state, zip code) 

Grantee Name and Address: 

Check . if there are workplaces on file that are not identified here. 
Section 67.630 of the regulations provides that a grantee that is a state 
may elect to make one certification in each Federal fiscal year, a copy of 
which should be included with each application for Department of Justice 
funding. States and state agencies may elect to use OJP Form 4061/7. 
Check . if the state has elected to complete OJP Form 4061/7. 

4. 
Coordination 
The Public Safety Partnership and Community Policing Act of 1994 
requires applicants to certify that there has been appropriate coordination with all agencies that may be affected by the applicant's grant proposal if approved. Affected agencies may include, among others, the 
Office of the United States Attorney, state or local prosecutors, or correctional agencies. The applicant certifies that there has been appropriate 
coordination with all affected agencies. 

5. 
Non-Supplanting 
The applicant hereby certifies that Federal funds will not be used to 
replace or supplant state or local funds, or funds supplied by the Bureau 
of Indian Affairs, that would, in the absence of Federal aid, be made available to or for law enforcement purposes. 

6. 
Retention 

The applicant hereby certifies that it understands that it must abide by its 
submitted plan to retain the additional civilian positions and redeployment levels at the conclusion of the grant period. 

Application No. and/or Project Name: ______________________________ Grantee IRS/ Vendor Number: ____________ 
Typed Name and Title of Law Enforcement Representative: __________________________________________________ 
Signature: __________________________________________________________ Date: ____________________ 

As the duly authorized representative of the governing body, I hereby certify that the I am binding the governing body to the 
above certifications, including the plan to retain. Elections of new officials will not relieve the governing body of its obligations under this grant. 

Typed Name and Title of Government Representative: ____________________________________________________ 
Signature:___________________________________________________________Date: ____________________ 


Image of United States Department of Justice seal

FOR MORE INFORMATION: 

U.S. Department of Justice 
Office of Community Oriented Policing Services 
1100 Vermont Avenue, NW 
Washington, D.C. 20530 

To obtain details on COPS programs, call the 
U.S. Department of Justice Response Center at 1.800.421.6770. 

Visit the COPS internet web site: 
www.usdoj.gov/cops 

Updated: October 05, 2000 
Created: July 21, 2000 
e092K0663