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

Bernard K. Melekian, Director

www.cops.usdoj.gov

2012 COPS Tribal Resources 

Grant Program (TRGP) 

Grant Owner’s Manual
2012 COPS Tribal Resources Grant Program

Grant Owner’s Manual

Coordinated Tribal Assistance Solicitation 

Purpose Area #1: Public Safety and Community Policing

This manual was created to assist COPS Tribal Resources Grant Program (TRGP) grantees with the administrative 

and financial matters associated with the grant.

For more information about your Tribal Resources Grant Program grant, please contact your COPS Grant Program 

Specialist (GPS). If you do not know the name or telephone number of your COPS GPS, please contact the COPS 

Office Response Center at 800.421.6770.

U.S. Department of Justice

Office of Community Oriented Policing Services

145 N Street, N.E., 11th Floor

Washington, DC 20530

COPS Online: www.cops.usdoj.gov

September 2012
COPS Tribal Resources Grant Program (TRGP) Grant Owner's Manual

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CONTENTS

GETTING STARTED. 

I. GRANT ACCEPTANCE, TERMS, AND CONDITIONS. 

The Award Document. 

Grant Conditions. 

Reasons for Grant Conditions. 

Review of Grant Conditions. 

1. Grant Owner’s Manual. 

2. Assurances and Certifications. 

3. Allowable Costs. 

4. Supplementing, Not Supplanting. 

5. Extensions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .10

6. Modifications. 

7. Evaluations. 

8. Reports. 

9. Grant Monitoring Activities. 

10. Federal Civil Rights Laws. 

11. Equal Employment Opportunity Plan (EEOP). 

12. Community Policing. 

13. Contracts with Other Jurisdictions . 

14. False Statements . 

15. Duplicative Funding. 

16. Additional High-Risk Grantee Requirements. 

17. Central Contractor Registration and Universal Identifier Requirements. 

18. Reporting Sub-awards and Executive Compensation. 

19. Public Release Information. 

FOR TRGP-HIRING GRANTS ONLY . 

20. Retention . 

21. Employment Eligibility . 

FOR TRGP-EQUIPMENT/TRAINING GRANTS ONLY . 

22. Criminal Intelligence Systems . 

23. Sole Source Justification . 

What are the specific rules regarding termination of grant funding?. 

Accepting the Grant Award. 

Who should sign the Award Document for our agency?. 

When must the Award Document be returned?. .

II. PROCUREMENT PROCESS (FOR TRGP-EQUIPMENT/TRAINING GRANTS ONLY). 

What documentation must be submitted to the COPS Office for sole source review?. 

III. ACCESSING GRANT FUNDS. 

Payment Method. 

What method of payment is used?. 
COPS Tribal Resources Grant Program (TRGP) Grant Owner's Manual

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Setting Up Your Account. 

How do we set up a GPRS account?. 

How do we fill out the payment enrollment forms?. 

When should Federal Financial Reports be filed?. 

Additional Payment Questions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .32

Can we receive advances?. 

How often do we request reimbursement of costs?. 

Can we earn interest on our grant funds?. 

Matching Funds. 

IV. FINANCIAL RECORD MAINTENANCE. 

Accounting Systems and Records. 

What accounting systems are required?. 

What records must be kept?. 

How long must documents be kept?. 

What if we have more than one grant?. 

Who may access our records?. 

V. FEDERAL AUDIT REQUIREMENTS. 

Requirements and Audits. 

What are the regulations governing SAA requirements?. 

Who must have an SAA audit?. 

What is the role of the Office of the Inspector General (OIG)? . 

How are COPS grants selected for an OIG audit?. 

Typical Audit Findings. 

VI. REPORTS. 

Federal Financial Reports. 

How do we file Federal Financial Reports?. 

How will grant funds be monitored?. 

Program Progress Reports. 

 When will these reports be due? . 

What kind of information will these reports require?. 

Do we need to request a progress report?. 

Contact Points to Obtain Technical Assistance and Report Violations. 

VII. WHEN THE GRANT PERIOD HAS ENDED. 

Final Federal Financial Report (SF-425). 

When should all of the grant monies be spent? . 

Final Program Progress (Closeout) Report. 

Equipment Disposition . 

VIII. CONCLUSION. 

IX. GLOSSARY OF TERMS. 

APPENDIXES. 

Appendix A – List of Source Documents. 

Appendix B – Assurances and Certifications. 

Appendix C – Community Policing Defined. 

Appendix D – National Institute of Justice (NIJ) Bulletproof Vest Standards. 
COPS Tribal Resources Grant Program (TRGP) Grant Owner's Manual

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GETTING STARTED

Congratulations on receiving a grant from the U.S. Department of Justice, Office of Community Oriented 

Policing Services (COPS Office). The 2012 COPS Tribal Resources Grant Program (TRGP) provides funding 

directly to federally recognized tribal jurisdictions with established law enforcement agencies. TRGP 

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 program. 

In Fiscal Year 2012, the U.S. Department of Justice (DOJ) issued a single Coordinated Tribal Assistance 

Solicitation (CTAS) that encompasses the Department’s available tribal government-specific grant 

programs. CTAS enabled each tribe to submit a single application for available grant funding, according 

to the tribes’ needs. This coordinated process allowed DOJ to review a single application from a tribe, 

and it allowed the DOJ grant-making components to coordinate in making award decisions to address 

these public safety needs on a more comprehensive basis. 

The 2012 TRGP, which was also CTAS Purpose Area #1: Public Safety and Community Policing, consists 

of two types of grants. TRGP-Hiring grants are for entry-level salaries and benefits for newly-hired or 

rehired career law enforcement officers and the TRGP-Equipment/Training (TRGP-E/T) grants provide 

funding for background investigations, training, uniforms, basic issue equipment, technology, and 

vehicles for tribal law enforcement agencies. 

To support community policing, particularly the development of partnerships and problem solving, 

2012 TRGP grantees may be offered training and technical assistance by COPS Office training and 

technical assistance providers. Trainings will assist grantees in the advancement of community 

policing and may address specific public safety issues facing tribal communities. The COPS Office and/

or its technical assistance providers will notify TRGP grantees about training and technical assistance 

opportunities. Grantees are encouraged to participate in the training and technical assistance 

opportunities to further their public safety efforts.

This COPS TRGP Grant Owner’s Manual will assist your agency with the administrative and financial 

matters associated with managing your grant. It was developed by the COPS Office to ensure that all 

COPS TRGP grantees clearly understand and meet the requirements of their grant. Please review this 

manual carefully, as a failure to follow grant requirements may result in serious penalties. Please do 

not hesitate to call the COPS Office Response Center at 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.
COPS Tribal Resources Grant Program (TRGP) Grant Owner's Manual

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I. GRANT ACCEPTANCE, TERMS, AND CONDITIONS

To officially accept and begin your TRGP grant, your agency must review, sign, and return both sides 

of the Award Document and all award condition pages to the COPS Office by e-mail, fax, or standard 

mail within 90 days of the date shown on the award congratulatory letter. Stamps and/or electronic 

signatures will not be accepted.

Signed award documents may be returned to the COPS Office via one of the three options listed below:

Electronic Mail 

CTAS.TRGP@usdoj.gov

Fax

202.616.8650

Standard Mail 

U.S. Department of Justice

Office of Community Oriented Policing Services 

Attn: TRGP/CTAS Control Desk

145 N Street, N.E., 11th Floor

Washington, DC 20530

Your agency will not be able to draw down grant funds until the COPS Office receives your signed 

Award Document. For more information on drawing down grant funds, please see Section III, “Accessing 

Grant Funds.”

Your agency must also review, sign, and return, with its Award Document the relevant special condition 

certifying its compliance with 28 C.F.R. Part 23, Criminal Intelligence Systems. For additional information 

on this condition, please see Grant Condition #22. 

The Award Document

The Award Document is the document indicating your official grant funding amount, the grant number, 

the grant conditions, and the award start and end dates.

The Award Document is preprinted with your tribal government executive’s name and address. If this 

information is incorrect or has changed, please complete the Change of Information (COI) form online 

at www.cops.usdoj.gov through the Account Access option. If the government official has changed 

since the time of application, please have the current government executive for your tribe sign the 

Award Document. Please do not make corrections to the original Award Document (including the use of 

correction fluid). The COPS Office will not accept an altered Award Document. Once you have reviewed 

your Award Document, please sign it, make a copy of all pages of the document for your records, 

and e-mail, fax, or mail both sides of the signed award back to the COPS Office, along with all award 

condition pages, within 90 days of the date shown on the award congratulatory letter.

The award start date indicated on the Award Document means that your agency may be reimbursed 

for any allowable costs incurred on or after this date. The duration of the TRGP award is 36 months.

Your grant number is in the following format: 2012-HE-WX-0000 for TRGP-E/T awards and 2012-HHWX-0000 for TRGP-Hiring grants awarded in FY2012. The COPS Office tracks grant information based 

upon this number. Therefore, it is important to have your agency’s grant number (and/or your agency’s 

ORI number) readily available when corresponding with the COPS Office.
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Your ORI number begins with your state abbreviation followed by five numbers and/or letters 

(e.g., VA00000). This number is assigned by the Federal Bureau of Investigation (FBI) for use in tracking 

information for the Uniform Crime Report (UCR). The COPS Office tracks programmatic grant information 

based upon this ORI number. 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 (in such cases, the last two digits will 

be “ZZ”). If you have any questions regarding your grant, please refer to your grant award number or 

your agency’s ORI number when you contact the COPS Office.

Your Office of Justice Programs (OJP) vendor number, in most circumstances, is your agency’s nine- or 

thirteen-digit federal tax identification number assigned to you by the Internal Revenue Service. If your 

OJP vendor number differs from your tax identification number, the OJP vendor number is only to be 

used for administrative purposes in connection with this grant program, and should not be used for 

Internal Revenue Service purposes.

Grant Conditions

The grant conditions are listed on your agency’s Award Document. By accepting this grant, you are 

obtaining federal funds from the U.S. DOJ, Office of Community Oriented Policing Services (COPS 

Office). As part of that agreement, your agency acknowledges that it will comply with these conditions 

(and, if applicable, additional special conditions specific to your agency). The section that follows 

describes in detail each of the award conditions, the rationale, and the implications. It also addresses 

many frequently asked questions. If you have additional questions concerning any of these grant 

conditions, please contact your COPS GPS at 800.421.6770.

In limited circumstances, your award may be subject to special conditions that prevent your agency 

from drawing down or accessing grant funds until the special conditions are satisfied. Any special 

conditions will be included with your award package. However, if you have questions about the special 

conditions, please call your COPS Grant Program Specialist (GPS) at 800.421.6770.

Reasons for Grant Conditions

The requirements of your grant are established within:

•	 The Public Safety Partnership and Community Policing Act of 1994 which established the 

COPS Office.

•	 Applicable rules, regulations, and policies issued by the U.S. Department of Justice, Office of 

Management and Budget (OMB), the Government Accountability Office (GAO), and the United 

States Treasury.

•	 The specific TRGP programmatic requirements established by the COPS Office.

A list of source documents for this booklet is provided in Appendix A. You may request copies of any 

source reference document from:

Office of Administration, Publication Unit 

New Executive Office Building, Room G 236 

Washington, DC 20503

COPS-specific documents may be requested directly from the COPS Office.
COPS Tribal Resources Grant Program (TRGP) Grant Owner's Manual

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Review of Grant Conditions

By signing the Award Document to accept this TRGP grant, your agency agrees to abide by the 

following grant conditions:

1. Grant Owner’s Manual

The grantee agrees to comply with the terms and conditions in this 2012 COPS TRGP Owner’s Manual; 

COPS statute (42 U.S.C. §. 3796dd, et seq.); 28 C.F.R. Part 66 or 28 C.F.R. Part 70 as applicable (governing 

administrative requirements for grants and cooperative agreements); 2 C.F.R. Part 225 (OMB Circular 

A-87), 2 C.F.R. Part 220 (OMB Circular A-21), 2 C.F.R. Part 230 (OMB Circular A-122), and 48 C.F.R. Part 

31.000 et seq. (FAR 31.2) as applicable (governing cost principles); OMB Circular A-133 (governing audits); 

other representations made in the grant application for the COPS TRGP; and all other applicable program 

requirements, laws, orders, regulations, or circulars.

Why This Condition:

This manual has been designed to inform you of the requirements, laws, regulations, and policies 

that apply to your grant. Your agency will be responsible for the information and rules contained in 

this manual and for implementing your grant in compliance with the applicable terms, conditions, 

and regulations. More detailed guidance regarding any particular grant requirement or your agency’s 

specific circumstances can be requested through your COPS GPS.

What You Should Do:

Please read the entire TRGP Grant Owner’s Manual carefully prior to signing the grant Award Document. 

If you have any questions, please contact your COPS GPS. When accepting your grant award, you should 

ensure that the proper reporting and financial systems are in place to satisfy the grant requirements.

2. Assurances and Certifications

The grantee acknowledges its agreement to comply with the Assurances and Certifications forms that were 

signed as part of its grant application.

Why This Condition:

Although the COPS Office has made every effort to simplify the process of applying for and receiving 

grants, several provisions of federal law require us to seek your assurances and certification regarding 

certain matters. Most of the assurances and certifications apply to all federal grant programs. 

What You Should Do:

Applicants to COPS grant programs are required to sign the Assurances and Certifications forms at the 

time of application. Signing these documents assures the COPS Office that you have read, understood, 

and accepted the grant terms and conditions outlined in the Assurances and Certifications. Your 

agency is required to keep Assurances and Certifications forms that were signed as part of its grant 

application. Please read these documents carefully as signatures on these documents are treated as a 

material representation of fact upon which reliance will be placed when the U.S. Department of Justice 

determines whether to award the covered grant. Additional copies of the Assurances and Certifications 

forms are contained in Appendix B of this manual. If you have any questions about the Assurances and 

Certifications, please contact your COPS GPS at 800.421.6770.
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3. Allowable Costs

The funding under this project is for the payment of approved costs to meet the most serious needs of law 

enforcement in tribal communities. The allowable costs for which your agency’s grant has been approved 

are limited to those listed on the Financial Clearance Memorandum (FCM) and Final Funding Memorandum 

(FFM), which are included in your agency’s award package. 

The FFM specifies the exact items that your agency is allowed to fund with your TRGP grant. The FCM 

specifies the overall amount approved for each budget request category. Both documents describe any costs 

which have been disallowed after review of your proposed budget. Your agency may not use TRGP grant 

funds for any costs that are not identified as allowable in the FFM and FCM.

Why This Condition:

TRGP-Equipment/Training may only be used for the purchase of equipment, technology, training, 

uniforms, and other items approved by the COPS Office as reflected in the FFM. The COPS TRGP funds 

the purchase of items that have a link to the implementation or enhancement of community policing 

initiatives in your agency. 

To be eligible for payment under this grant, the purchase of approved items must be made after the 

grant award start date and comply with the guidelines described in Section III, “Accessing Grant Funds,” 

of this manual. Section IV, “Financial Record Maintenance,” outlines the types of records you must keep 

to document that you followed this grant condition. Purchases must also reflect the costs that were 

approved as shown in the FFM.

TRGP-Hiring funds may only be used to pay entry-level salaries and fringe benefits for 36 months for 

career law enforcement officers hired and/or rehired on or after the award start date. You may use the 

TRGP grant to hire and/or rehire experienced officers, but grant funding must be limited to paying your 

agency’s entry-level salary and fringe benefits; any costs higher than entry-level must be paid by your 

agency with local funds. 

TRGP-Hiring grant funding may also be used to pay the approved entry-level salaries and fringe 

benefits of newly hired officer recruits while they are in basic academy training prior to swearing them 

in, if it is your agency’s standard practice to pay recruits while in training.

What You Should Do:

All grantees should keep and maintain the most recent, approved version of 2012 TRGP application, 

which will contain the approved costs for this grant. Refer to your FCM and FFM for the list of approved 

allowable costs. As long as funds are spent during the grant period on the approved salaries/benefits 

(as applicable), equipment, technology, training, or other costs that were documented in your 

application’s budget summary and were approved through the issuance of the FCM and FFM, this grant 

condition will be satisfied. 

Salaries covered by TRGP-Hiring must be based on your agency’s standard entry-level salary and 

fringe benefits package under the laws or rules that govern hiring by your agency. Salary and fringe 

benefits payments must be based on payroll records supported by time and attendance records or 

their equivalent. Examples of the types of records your agency must keep to document allowable costs 

are described in Section IV of this manual. Any additional costs above the approved entry-level salaries 

and fringe benefits are the responsibility of the grantee agency. Civilian positions, overtime, training, 

weapons, communication equipment, and vehicles cannot be funded with your TRGP-Hiring grant.
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For TRGP-Hiring Grants

Allowable Costs: Approved Salary and Benefits 

The FCM, included in your award package, specifies the amount of COPS TRGP-Hiring funds awarded 

to your agency for officer salaries and approved benefits. Please note that the salary and benefit costs 

requested in your original application may have been updated or corrected from the original version 

submitted to COPS. You should carefully review your FFM, which is also included in your award package. 

The FFM contains the final officer salary and fringe benefit categories and amounts for which your 

agency was approved. You will note that some costs may have been adjusted or removed. Your agency 

may only be reimbursed for the approved cost categories that are documented within the FFM, up 

to the amounts specified in the FCM. Your agency may not use TRGP funds for any costs that are not 

identified as allowable in the FFM.

Only actual allowable costs incurred during the grant award period will be eligible for reimbursement 

and drawdown. If your agency experiences any cost savings over the course of the grant (for example, 

your grant application overestimated the total entry-level officer salary and fringe benefits package), 

your agency may not use that excess funding to extend the length of the grant beyond 36 months. Any 

funds remaining after an agency has drawn down for the costs of salaries and fringe benefits incurred 

during the 36-month funding period for each awarded position will be deobligated during the closeout 

process, and should not be spent by your agency.

For TRGP-Equipment/Training (E/T) Grants

A. Allowable Costs: Background Investigations 

Based on the FFM, grantees may have been awarded funding for background investigations for newly 

hired officer positions if other funding (state, local, or BIA) was not budgeted for the same background 

investigations. Background investigations must be completed before expenses incurred in connection 

with such investigations can be reimbursed. Funded background investigations may not be initiated 

prior to the official award start date of the grant period.

B. Allowable Costs: Training 

Based on the FFM, grantees may have been awarded funding for otherwise unfunded expenses associated 

with sending recruits to a state academy that will train and certify tribal police officers, to the BIA Indian Police 

Academy in Artesia, New Mexico, or to basic training from an established academy that trains Indian police 

officers, such as the Navajo Nation’s Academy. Basic law enforcement training is encouraged for existing 

police officers who have not received it, depending on the needs of your department and the availability of 

funding. Grant funding may only be used for one cycle of basic training per officer. The grantee agency will be 

responsible for any additional costs associated with an officer not completing basic training on the first attempt.

TRGP funds may also pay for community policing and problem-solving training; specialized law 

enforcement training in such topics as counterterrorism, family violence, crime prevention and 

detection; and training related to Indian Country jurisdictional issues. Only requests for training by 

recognized training providers such as the Federal Law Enforcement Training Center, the FBI, the BIA 

Indian Police Academy, a state police academy, COPS Regional Community Policing Institutes, or a tribal 

community college will be considered. In addition, funding may be used to attend training conferences 

such as the National Native American Law Enforcement Association’s annual training conference, or any 

COPS-sponsored conference. 
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Funding for community policing or other law enforcement training will only cover travel, lodging, 

and per diem for each representative to and from the training site (if training is conducted more than 

50 miles from your agency headquarters). State academy training costs include training instruction 

fees, academy tuition, course fees, textbooks, manuals, supplies, and travel in connection with the 

training (transportation, lodging, per diem, etc.) if the training is located more than 50 miles from the 

job site. If your state academy does not charge for the training, your department will be reimbursed 

only for travel in connection with the training. Departments that send officers to the BIA Indian Police 

Academy will be reimbursed for travel costs only, as there is no cost for tuition at the BIA Indian Police 

Academy for tribal officers.

TRGP-E/T funds may pay for computer training for systems, hardware, or software that grantees 

already own, but may not be utilizing to the fullest extent due to of a lack of training. Applicants 

must demonstrate that the training enhances law enforcement activities, particularly in support of 

community policing. TRGP-E/T funding may only be used for training costs not already funded in the 

applicant’s budget with state, local, or BIA funds. 

In addition, TRGP-E/T funding may be used for offsite training required to increase tribal capacity to 

operate a crime information gathering system compatible with the FBI Uniform Crime Reporting System. 

C. Allowable Costs: Uniforms and Basic Issue Equipment 

Any bulletproof vest purchased under TRGP-E/T must meet National Institute of Justice standards, as 

shown on the list of acceptable vests included in Appendix D of this manual.

D. Allowable Costs: Technology 

To be eligible for payment under this grant, the purchase of equipment and technology must occur 

on or after the award start date, the items must be those specifically applied for and approved by 

the COPS Office, and they must meet the guidelines described in 28 C.F.R. Part 66 or 28 C.F.R. Part 

70, as applicable. Equipment or technology purchased on or after the award start date must be in 

addition to purchases that the grantee is obligated or funded to make in its current budget. Funds 

currently allocated to purchase equipment or technology may not be reallocated to other purposes or 

reimbursed upon the award of your agency’s TRGP-E/T grant.

E. Allowable Costs: Police Vehicles 

Allowable items include police cars, basic vehicle accessory packages, and special conveyances such as 

sport utility vehicles, bicycles, motorcycles, snowmobiles, and ATVs. The items must be those specifically 

applied for and approved by the COPS Office. 

F. Allowable Costs: Travel

Travel costs for transportation, lodging, subsistence, and related items are allowable under your 

agency’s TRGP-E/T grant if specifically approved by the COPS Office. For grantees subject to 2 C.F.R. 

Part 220 (OMB Circular A-21) Cost Principles for Educational Institutions; 2 C.F.R. Part 225 (OMB Circular 

A-87) Cost Principles for State, Local and Indian Tribal Governments; or 2 C.F.R. Part 230 (OMB Circular 

A-122) Cost Principles for Non-Profit Organizations, travel costs incurred directly by the grantee or costs 

incurred for project-related non-grantee travel will be reimbursed based upon the grantee’s written 

institutional travel policy (if available) and if the costs are reasonable and allocable under the project. In 

the absence of an acceptable and available institutional travel policy, allowable per diem travel costs for 

lodging, meals, and incidentals will be reimbursed based on the established GSA per diem rates for the 

relevant geographic area. These rates can be found at www.gsa.gov. Allowable airfare travel costs will 

be reimbursed based upon the lowest discount commercial airfare, the federal government contract 

airfare, if authorized and available, or standard coach airfare.
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For grantees subject to 48 C.F.R. Part 31.000, et seq. (FAR-31.2) Cost Principles for Commercial 

Organizations, travel costs incurred directly by the grantee will be reimbursed if the costs are reasonable 

and allocable under the project. Travel costs for lodging, meals, and incidental expenses may be 

reimbursed based upon per diem, actual expenses, or a combination of these methods, as long as the 

reimbursement rate does not exceed established GSA per diem rates as set forth in the Federal Travel 

Regulation. Transportation costs may be reimbursed based on mileage rates, actual costs incurred, or a 

combination of these methods. Allowable airfare travel costs will be reimbursed based upon standard 

coach fare, unless otherwise authorized in advance by the COPS Office.

The COPS TRGP-E/T will fund grant-related travel costs for the grantee agency or other (non-grantee) 

individuals to attend training and technical assistance conferences, seminars, or classes, or to visit a 

site specified in the application. Allowable expenses for grant-related lodging, meals, and incidental 

expenses that were included in the application have been approved by the COPS Office as part of the 

TRGP-E/T award and final budget. Your agency should keep timely and accurate records of all travel 

expenses. If at any time these costs change, you should immediately contact your COPS GPS to obtain a 

grant modification.

G. Allowable Costs: Supplies

All supplies must be solely used for the project identified in your project proposal. Reimbursements 

for office supplies that are consumed by routine administrative purposes instead of project-related 

activities are prohibited. Items must meet the guidelines described in 28 C.F.R. 66.33 or 28 C.F.R. 70.35, as 

applicable.

H. Allowable Costs: Contracts/Consultants

Compensation for individual consultant services procured under a COPS grant must be reasonable and 

allocable in accordance with OMB cost principles, and consistent with that paid for similar services in the 

marketplace. Unless otherwise approved by the COPS Office, consultant rates will be based on the salary 

a consultant receives from his or her primary employer, as applicable, up to $550 per day. For consultant 

or contractor rates which exceed $550 per day, the COPS Office requires written justification if the 

consultants or contractors are hired through a noncompetitive bidding process, and grantees must 

receive COPS Office approval of those rates before drawing down grant funds. Determinations will be 

made on a case-by-case basis.

I. Allowable Costs: Other Costs

The purchases of project-related expenditures that do not conform to any other category descriptions 

specified above were included in this section of your FFM and FCM. In addition, items that have a direct 

correlation to the overall success of a grantee’s project objectives and are necessary for the project to 

reach full implementation are considered on a case-by-case basis by the COPS Office.

Requests may be made only for items or positions that are not otherwise budgeted with state, local, or 

BIA funds, and would not be funded in the absence of the TRGP grant.

For TRGP-Hiring Grants and TRGP-E/T Grants

Allowable Costs: Indirect Costs

Indirect Costs are costs that are incurred for common or joint purposes and are not readily assignable 

to a particular project, but are necessary to the operation of the agency and the performance of the 

project. Examples of indirect costs include those incurred for facility operation and maintenance, 

depreciation, and administrative salaries. Indirect Costs must adhere to the standards set forth in 

the applicable Office of Management and Budget (OMB) Costs Principles for your entity, 2 C.F.R. Part 

225, Appendix E (state, local, and Indian tribal governments), 2 C.F.R. Part 230, Appendix A (nonprofit 

organizations), or 2 C.F.R. Part 220, Appendix A (educational institutions). 
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Indirect cost rates are federally negotiated and approved rates that are based on audited and 

documented expenses that are approved to be included within an indirect cost rate. It is important that 

your agency carefully track and update its indirect cost rate during the COPS grant award period.

The grantee understands that if it submitted an expired indirect cost rate agreement at the time of 

application, it will be unable to recover federal funds for indirect costs until the COPS Office receives a 

current indirect cost rate agreement covering the award period. A special condition may be added to 

the award prohibiting the obligation, expenditure, or drawdown of funds reimbursement for indirect 

costs until an indirect cost rate has been approved by your cognizant federal agency and submitted to 

the COPS Office. 

If your agency’s approved indirect cost rate expires during the grant award period, a current approved 

rate must be submitted to the COPS Office in order to continue to the drawdown grant funding for 

indirect costs. Your agency must advise the COPS Office in writing of any changes to your approved 

indirect cost rate during the grant award period and must request a budget modification with the COPS 

Office to reflect any rate change. 

In addition, before the COPS Office officially closes-out your agency’s grant award, your agency must 

reconcile any changes between your approved final indirect cost rate and approved provisional indirect 

cost rate and if necessary, repay the COPS Office for any indirect cost rate overpayment. If your agency 

draws down excess COPS grant funding for indirect costs, please return the overpayment to the COPS 

Office and submit a revised Federal Financial Report (SF-425).

See the COPS website for a fact sheet on indirect costs. www.cops.usdoj.gov/Default.asp?Item=2489

4. Supplementing, Not Supplanting

State, local, and tribal governments must use TRGP grant funds to supplement, and not supplant, state, local, 

or BIA funds that are already committed or otherwise would have been committed for grant purposes (hiring, 

training, purchases, and/or activities) during the grant period. In other words, grantees may not use COPS 

funds to supplant (replace) state, local, or BIA funds that would have been dedicated to the COPS-funded 

item(s) in the absence of the COPS grant.

Why This Condition:

The COPS statutory nonsupplanting requirement mandates that grant funds may not be used to replace 

state or local funds (or, for tribal grantees, BIA funds) that would, in the absence of federal aid, be made 

available for the grant purposes.

What You Should Do:

TRGP-E/T and TRGP-Hiring grantees may not use grant funds to pay for any item or cost funded under 

the grant (equipment, personnel, training, etc.) if that item or cost was otherwise budgeted with state, 

local, or BIA funds, or committed to the grantee’s budget. 

In addition, grantees may not reallocate state, local, or BIA funds from one area within the law 

enforcement budget to another as a result of receiving TRGP grant funds. For example, grantees who 

have budgeted funds to pay for new computer equipment may not reallocate those funds to pay for 

any other law enforcement cost as a result of receiving TRGP-E/T grant funds for the same computer 

equipment.
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TRGP-Hiring – To meet this grant condition, you must ensure that:

•	 If your agency is redeploying a current employee to perform the work duties of the TRGP-Hiring 

position, the redeployed position must be paid with local funds. The COPS grant funds may be 

used to backfill the resulting vacancy with newly-hired personnel for an equivalent amount of 

time. Each individual employed under the TRGP-Hiring grant must be newly hired on or after the 

grant award start date, unless an exception is authorized in writing by the COPS Office. 

•	 Any officer your agency hires not only brings your force to a number over and above the number 

of funded positions that you had on the date of your Coordinated Tribal Assistance Solicitation 

(CTAS), including funded but vacant positions, but over and above the number of locally-funded 

officer positions during the grant award period.

•	 During the life of your grant, your agency must continue to hire as many new, locally-funded 

officers as you would have if you had not received your grant. Your agency may not cancel or 

postpone spending money in its budget that is committed to hiring other new officers.

•	 Your agency must take active and timely steps to fill any vacancies that were created on or after 

the date of your grant application by retirement, resignation, or other reasons with new officers in 

addition to your TRGP-Hiring grant-funded positions.

TRGP Equipment and Training – To meet this grant condition, you must ensure that:

•	 Equipment and technology must be purchased on or after the award start date (unless an 

exception is authorized in writing by the COPS Office) and must be in addition to purchases that 

the grantee has obligated funding in the current budget to make. Funds currently allocated to 

purchase equipment or technology may not be reallocated to other purposes or reimbursed upon 

the award of a TRGP-E/T grant. Example: Grantees who have budgeted local funds to pay for a new 

computer system may not reallocate those funds to pay for any other law enforcement cost as a 

result of receiving TRGP-E/T funds for the same computer system.

•	 Any training covered by TRGP-E/T funds is in addition to the number of hours of training already 

provided by your agency. Funds currently allocated for training may not be reallocated to other 

purposes.

Note: This grant condition applies to all state or locally-funded agencies working in partnership with 

your agency under this grant. Your agency is responsible for ensuring that any partner agencies use 

COPS funds only to supplement, not supplant, their state, local, or BIA funding as described in this 

condition.

5. Extensions

Your agency may request an extension of the grant award period to receive additional time to implement 

your grant program. Such extensions do not provide additional funding. Only those grantees that can 

provide a reasonable justification for delays will be granted no-cost extensions. Extension requests must be 

received prior to the end date of the award.

Why This Condition:

Under federal regulations, requests to extend the grant award period require prior written approval 

from the COPS Office. Without an approved extension, your agency is not permitted to draw down 

federal funding for costs incurred beyond the official grant award end date. However, if justified, the 

COPS Office may accommodate reasonable requests for no-cost time extensions to fully implement the 

COPS grant.
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What You Should Do:

The COPS Office will contact your agency during the last quarter of the grant award period to determine 

whether a no-cost time extension is needed. Requests to extend the grant award period must be received 

by the COPS Office before the official grant award end date. Failure to submit a request for a no-cost time 

extension by the end date will result in the immediate deobligation of any remaining grant funds.

TRGP-Hiring grantees that have excess funds remaining at the end of the grant due to salary and 

fringe benefits costs that were lower than anticipated cannot extend the 36-month funding period for 

the purpose of expending those excess funds. Grantees are entitled to a maximum of 36 months of 

federal funding based on the approved salary and fringe benefits costs in the FCM. The COPS Office will 

deobligate any remaining grant funds during the closeout process. If you have any additional questions 

regarding a no-cost time extension, please contact your COPS Grant Program Specialist (GPS).

6. Modifications

Occasionally, a change in an agency’s fiscal or law enforcement situation necessitates a change in its TRGP 

award. Grant modifications under TRGP are evaluated on a case-by-case basis. All modification requests 

involving the purchase of new budget items must be approved, in writing, by the COPS Office prior to their 

implementation. In addition, please be aware that the COPS Office will not approve any modification request 

that results in an increase of federal funds.

Why This Condition:

The COPS Office realizes that agencies may need to reprogram grant funds. Acceptable examples of 

such award modifications include purchasing additional equipment using cost-savings from approved 

items, or purchasing a different type of equipment due to changing needs. Under federal regulations, 

you may expend grant funds only as approved in the FCM and FFM. Any requests to change or alter 

grant awards require written approval from the COPS Office prior to their implementation. Without 

prior written approval, you must continue to implement your grant as it was originally awarded and 

accepted by your agency. Please be advised that reprogramming requests for unallowable costs will not 

be approved (e.g., construction).

What You Should Do:

If you wish to modify your grant award, you are required to submit your plan in writing to the COPS 

Office for approval. Grantees must request a modification to the award by submitting a letter on official 

letterhead that includes:

•	 ORI number

•	 Grant number

•	 Details of the original award

•	 A description of the proposed changes, including each new item proposed for purchase, its 

purpose, and how it relates to the overall project 

•	 Revised budget worksheets that reflect all changes

Please contact your COPS GPS for Modified Budget Detail Worksheets and further direction on any 

additional requirements that may apply to your modification request. The COPS Office will then 

evaluate your request and notify your agency, in writing, of the decision.
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7. Evaluations

The COPS Office may conduct monitoring or sponsor national evaluations of the COPS TRGP. The grantee 

agrees to cooperate with the monitors and 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 conducts evaluations to determine what programs are working, 

how programs may be improved, and why certain programs are more successful than others. 

Specifically, the COPS Office may assess the way in which your agency implements its grant. 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 the challenges 

encountered during project implementation, 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 agency or department, 

observe activities, and obtain written reports about and from your agency or 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. You should fully comply with any 

requests regarding these evaluations.

8. Reports

To assist the COPS Office in the monitoring of your award, your agency will be responsible for submitting 

periodic programmatic progress reports and quarterly financial 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 grantees.

What You Should Do:

This grant condition is designed to make your agency aware of reporting requirements associated 

with TRGP grants. Quarterly programmatic progress reports and a final programmatic closeout report will 

be required to be submitted directly to the COPS Office through the Account Access portion of the COPS 

Office website at www.cops.usdoj.gov. Your agency is also required to submit quarterly Federal Financial 

Reports using Standard Form 425 (SF-425) within 30 days after the end of each calendar quarter. A final 

SF-425 will be due within 90 days after the end of the grant period. This report reflects the actual cumulative 

federal monies spent, unliquidated obligations incurred, and the unobligated balance of federal funds. 

Agencies with more than one delinquent programmatic and/or financial report submission per fiscal year 

may be subject to delays in receiving reimbursement for allowable expenses and may be required to receive 

technical assistance to improve compliance with reporting. These reports are discussed in greater detail in 

Section VI, “Reports,” of this manual. All reports should be submitted within the deadlines given to avoid 

suspension or possible termination of grant funds or other remedial actions.
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9. Grant Monitoring Activities

Federal law requires that law enforcement agencies receiving federal funding from the COPS Office must be 

monitored to ensure compliance with their grant conditions and other applicable statutory regulations. The 

COPS Office is also interested in tracking the progress of our programs and the advancement of community 

policing. Both aspects of grant implementation—compliance and programmatic benefits—are part of the 

monitoring process coordinated by the U.S. Department of Justice. Grant monitoring activities conducted by 

the COPS Office include site visits, office-based grant reviews, alleged noncompliance reviews, financial and 

programmatic reporting, and audit resolution. As a COPS TRGP grantee, you agree to cooperate with and 

respond to any requests for information pertaining to your grant.

Why This Condition:

The Public Safety Partnership and Community Policing Act of 1994, states that each grant program 

must contain a monitoring component. The COPS Office actively monitors how grantees are adhering 

to COPS grant requirements.

What You Should Do:

Your agency may be required to accommodate routine and non-routine efforts by the COPS Office, 

or an entity designated by the COPS Office, to examine your agency’s use of federal funds, both 

programmatically and financially. The most common ways are:

1. Site Visits—The COPS Office conducts grantee site visits to ensure compliance with grant terms 

and conditions. These visits also provide firsthand observation of the grantee’s community 

policing strategies. Promising practices identified during site visits are documented and may be 

shared with the law enforcement community. Technical assistance and follow-up are conducted 

to address potential and actual vulnerabilities. The purpose of site visits is therefore three-fold: 

review community policing activities, ensure grantee compliance, and provide customer service 

and technical assistance. If selected, you will be notified in writing in advance of any on-site 

review of your COPS grants. This review is generally performed over a one or more day period 

and also provides an opportunity for agency representatives to seek assistance on any grant 

implementation issues. Your agency will be notified in writing of the results and any action required 

to remedy identified grant violations.

2. Office-Based Grant Reviews (OBGRs)—In lieu of a site visit, certain grants are selected for a review 

conducted at the COPS Office. If selected, your agency will be contacted at the start of this review 

and our staff will work with your agency to correct any grant problems or deficiencies through 

telephone, e-mail, fax, and/or written correspondence with your agency.

3. Complaints—The COPS Office responds to complaints from citizens, labor associations, media, and 

other sources. Written complaints or allegations are reviewed by the COPS Office Grant Monitoring 

Division, and may result in a review of your agency’s grants to determine compliance with grant 

conditions.

Grantees are responsible for remedying any grant noncompliance issues identified through these or 

other monitoring or auditing activities. Remedies for noncompliance may include, but are not limited 

to: suspending grant funding, repaying misused grant funds, voluntary withdrawal from or involuntary 

termination of remaining grant funds, and bars from receiving future COPS grants. To avoid findings of 

noncompliance, grantees are strongly encouraged to contact the COPS Office at any time during the 

life of a COPS grant with questions concerning grant requirements and also to maintain all relevant 

documentation that may demonstrate grant compliance. For more information, please contact the 

COPS Office Grant Monitoring Division at 800.421.6770 or at AskCopsRC@usdoj.gov.
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10. Federal Civil Rights Laws

As a condition of receipt of federal financial assistance, you acknowledge and agree that you will not (and 

will require any subgrantees, contractors, successors, transferees, and assignees not to), on the ground of 

race, color, religion, national origin (which includes providing limited English proficient persons meaningful 

access to your programs), sex, 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 Title VI of the Civil Rights Act of 1964, as amended (42 U.S.C. 

§ 2000d); the Omnibus Crime Control and Safe Streets Act of 1968, as amended (42 U.S.C. § 3789d); Section 

504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. § 794); the Age Discrimination Act of 1975 (42 

U.S.C. §6101, et seq.); Title IX of the Education Amendments of 1972, as amended (20 U.S.C. 1681 et seq.); and 

the corresponding DOJ regulations implementing those statutes at 28 C.F.R. part 42 (subparts C, D, E, G, and 

I). You also agree to comply with Executive Order 13279 Equal Treatment for Faith-Based Organizations and 

its implementing regulations at 28 C.F.R. Part 38, which requires equal treatment of religious organizations 

in the funding process and nondiscrimination of beneficiaries by Faith-Based Organizations on the basis of 

belief or non-belief. 

Why This Condition:

In establishing financial assistance programs, Congress linked the receipt of federal funding to 

compliance with federal civil rights laws. As a result, grantees are required to comply with the civil rights 

requirements found in the non-discrimination provisions referenced above. A hold may be placed on 

your award if it is deemed that your agency is not in compliance with federal civil rights laws and/or 

is not cooperating with an ongoing federal civil rights investigation. If a hold is placed on your award, 

you will not be able to obligate or draw down federal funds under your agency’s COPS grant award 

until you comply with federal civil rights laws and/or cooperate with any ongoing federal civil rights 

investigation.

What You Should Do:

As a recipient of federal financial assistance from the COPS Office, you are required to comply with the 

applicable federal civil rights laws and to collect data and information sufficient to permit effective 

enforcement of such laws and to cooperate with any federal civil rights investigation, which includes 

providing access to records, accounts, documents, information, facilities, and staff.

11. Equal Employment Opportunity Plan (EEOP)

All recipients of funding from the COPS Office must comply with the federal regulations pertaining to the 

development and implementation of an Equal Employment Opportunity Plan (28 C.F.R. Part 42 subpart E).

Why This Condition:

It is the experience of the Justice Department in implementing its responsibilities under the Omnibus 

Crime Control and Safe Streets Act of 1968 (Safe Streets Act), the statute that established the COPS 

Office, that “the full and equal participation of women and minority individuals in employment 

opportunities in the criminal justice system is a necessary component to the Safe Streets Act’s program 

to reduce crime and delinquency in the United States” 28 C.F.R. § 42.301. The Equal Employment 

Opportunity Plan (EEOP) does not impose quotas or hiring requirements on recipients of federal funds. 

What You Should Do:

The obligations to comply with the EEOP requirement differ depending on your organization’s legal 

status, the number of its employees, and the amount of the award.
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If your organization received an award for less than $25,000; or if your organization has less than 50 

employees, regardless of the amount of the award; or if your organization is a medical institution, 

educational institution, nonprofit organization, or Indian tribe, then your organization is exempt from the 

EEOP requirement. However, your organization must complete Section A of the Certification Form, which 

explains that your organization is eligible for this exemption, and then return the form to the Office for 

Civil Rights (OCR), Office of Justice Programs, U.S. Department of Justice, 810 7th Street, N.W., Washington, 

DC 20531. The Certification Form can be found at www.ojp.usdoj.gov/about/ocr/eeop.htm. Recipients 

that are exempt from the EEOP requirement are still responsible for complying with all applicable federal 

civil rights laws that prohibit recipients from discriminating in employment or in the delivery of services 

or benefits.

If your organization is a governmental agency or a business and has received a single award 

between $25,000 and $500,000 and has 50 or more employees (counting both full- and part-time 

employees but excluding political appointees), then your organization has to prepare an EEOP 

Short Form, but it does not have to submit the EEOP Short Form to the OCR for review. Instead, 

your organization has to maintain the EEOP Short Form on file and make it available to the OCR for 

review on request. For assistance in developing an EEOP Short Form, please consult OCR’s website 

at www.ojp.usdoj.gov/about/ocr/eeop.htm. You may also request technical assistance from an EEOP 

specialist at the OCR by calling 202.307.0690. In addition, your organization has to complete Section 

B of the Certification Form, which explains that your organization is eligible for the exemption from 

the submission requirement, and your organization must return the form to the OCR at the above 

address. The Certification Form can be found at www.ojp.usdoj.gov/about/ocr/eeop.htm.

If your organization is a governmental agency or a business and has received a single award for $500,000 

or more and has 50 or more employees (counting both full- and part-time employees but excluding 

political appointees), then it has to prepare an EEOP Short Form and submit it for review to the OCR at the 

above address within 60 days of the notification of the award. For assistance in developing an EEOP Short 

Form, please consult OCR’s website at www.ojp.usdoj.gov/about/ocr/eeop.htm. You may also request 

technical assistance from an EEOP specialist at the OCR by calling 202.307.0690.

12. Community Policing

Community policing activities to be initiated or enhanced by your agency were identified and described in 

your grant application. All equipment, technology, training, and/or sworn officer positions awarded under 

the TRGP grant must be linked to the implementation or enhancement of community policing. 

The COPS Office defines community policing as a philosophy that promotes organizational strategies, 

which support the systematic use of partnerships and problem-solving techniques, to proactively 

address the immediate conditions that give rise to public safety issues such as crime, social disorder, and 

fear of crime. TRGP grants must be used to initiate or enhance community policing activities. All newly 

hired, additional, or rehired officers (or an equal number of redeployed veteran officers) funded under 

TRGP-Hiring must engage in community policing activities.

Why This Condition: 

COPS grants are designed to increase community policing capacity and crime prevention efforts. This 

is achieved through problem-solving tactics and community policing partnerships. It enhances police 

professionalism by providing officers with the skills and motivation to act in innovative ways to solve 

community crime-related problems. Your organization may be monitored or audited to ensure that it 

is initiating or enhancing community policing in accordance with your proposed plan. The COPS Office 

may also use this information to understand the needs of the field, and potentially provide for training, 

technical assistance, problem solving, and community policing implementation tools. 
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What You Should Do: 

Community policing activities to be implemented or enhanced by your agency were identified in 

your grant application. Your community policing needs may change during the life of your grant, and 

minor changes to this plan may be made without prior approval of the COPS Office. If your agency’s 

community policing plan changes significantly, however, you must submit those changes in writing 

to the COPS Office for approval. Changes are “significant” if they deviate from the range of possible 

community policing activities identified and approved in the original community policing plan 

submitted with your application.

13. Contracts with Other Jurisdictions 

Equipment, technology, training, vehicles, and/or sworn law enforcement officer positions awarded may only 

be used for law enforcement activities or services that exclusively benefit your agency and the population 

that it serves. The items funded under the TRGP grant cannot be utilized by other agencies unless the items 

would exclusively benefit the population that your agency serves.

Why This Condition: 

The TRGP was created under a Congressional appropriation specifically designated for tribal law 

enforcement agencies to improve public safety in Indian communities. The TRGP-E/T and TRGP-Hiring 

grant funding is intended to benefit the communities within the grantee’s primary law enforcement 

jurisdiction. Therefore, the grantee must use the TRGP grant funding to benefit its own population 

exclusively.

What You Should Do: 

Your law enforcement agency should avoid any agreements with other jurisdictions to share officer 

positions, or other awarded equipment, technology, and/or vehicles, unless the agreement complies with 

the requirement that COPS-funded items must exclusively benefit the grantee service population. For 

example, if your jurisdiction has both a tribal police department and a BIA department, items funded under 

the grant might be able to be utilized by the BIA department as long as this would result in an exclusive 

benefit to the population that you serve. You may not, however, allow officers, equipment, technology, 

or vehicles funded under the grant to be utilized by any agency or transferred to any agency that does not 

exclusively benefit the population that you serve. For example, you cannot, during the grant term, loan two of 

your awarded computers to a neighbouring county’s sheriff’s department.

Officers funded under TRGP-Hiring cannot provide contract law enforcement services to other agencies 

unless they will directly benefit the grantee’s jurisdiction. For example, your agency cannot use an 

officer funded under TRGP-Hiring to provide contract law enforcement services to a neighboring 

county, but can use the officer to provide direct law enforcement services to the population within your 

agency’s own jurisdiction.

Before you enter into any agreement with another law enforcement agency, you should contact your 

COPS Grant Program Specialist (GPS) at 800.421.6770 for additional guidance.
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14. False Statements 

False statements or claims made in connection with COPS grants may result in fines, imprisonment, or 

debarment from participating in federal grants or contracts, and/or any other remedy available by law.

Why This Condition:

This condition advises recipients of the consequences of submitting false claims or statements on 

applications, financial and programmatic reports, or other grant documents.

What You Should Do:

Ensure that all documentation related to your agency’s receipt and use of grant funding (grant 

applications, progress reports, Federal Financial Reports, etc.) is true and accurate.

15. Duplicative Funding

The recipient understands and agrees to notify the COPS Office if it receives, from any other source, funding 

for the same item or service also funded under this award.

Why This Condition:

This grant was awarded to your agency to address its law enforcement needs that are not funded with 

other funds, including federal, state, local, tribal, or BIA funds. Consequently, your agency may not use 

this funding for items or services that you already have funding for from other sources.

What You Should Do:

If your agency receives funding from another source for the same item(s) or services(s) also funded 

under this award, please contact your COPS GPS at 800.421.6770. If necessary, the COPS Office will 

work with your agency to reprogram funding for items or services that are allowable under this grant 

program.

16. Additional High-Risk Grantee Requirements

The recipient agrees to comply with any additional requirements that may be imposed during the grant 

performance period if the awarding agency determines that the recipient is a high-risk grantee (28 C.F.R. 

Parts 66 and 70). 

Why This Condition: 

The Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local 

Governments, 28 C.F.R. 66.12, and for Institutions of Higher Education, Hospitals and Other Non-Profit 

Organizations, 28 C.F.R. 70.14, provide that a grantee or applicant may be considered “high risk” if the 

Department of Justice determines that there is unsatisfactory performance, financial or administrative 

instability, nonconformity with award terms and conditions, or other lack of responsibility. In such 

cases, the Department of Justice may impose special conditions or restrictions that may include 

requiring the production of documentation, financial grant administration training, on-site monitoring, 

prior approval for expenditure of funds, quarterly progress reports, separate bank accounts, or other 

requirements. 

What You Should Do: 

In order to obtain a COPS grant, recipients must agree to comply with any additional requirements 

that may be imposed during the grant performance period if the awarding agency determines that the 

recipient is a high-risk grantee.
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17. Central Contractor Registration and Universal Identifier 

Requirements

At the end of July 2012, the Central Contractor Registration (CCR) system went away. The Central 

Contractor Registration (CCR), along with Federal Agency Registration, the Online Representations 

and Certifications Application (ORCA), and the Excluded Parties List System (EPLS), were migrated 

into the new System for Award Management, or SAM. For additional information, please click on the 

attached link: https://www.sam.gov/portal/public/SAM/.

The Office of Management and Budget requires federal agencies to include the following standard award 

term in all grants and cooperative agreements made on or after October 1, 2010:

A. Requirement for Central Contractor Registration (CCR)

Unless you are exempted from this requirement under 2 C.F.R. 25.110, you as the recipient must 

maintain the currency of your information in the CCR until you submit the final financial report 

required under this award or receive the final payment, whichever is later. This requires that you 

review and update the information at least annually after the initial registration, and more frequently 

if required by changes in your information or another award term.

B. Requirement for Data Universal Numbering System (DUNS) Numbers

If you are authorized to make subawards under this award, you:

1. Must notify potential subrecipients that no entity (see definition in paragraph C of this award 

term) may receive a subaward from you unless the entity has provided its DUNS number to you.

2. May not make a subaward to an entity unless the entity has provided its DUNS number to you.

C. Definitions

For purposes of this award term:

1. Central Contractor Registration (CCR) means the federal repository into which an entity must 

provide information required for the conduct of business as a recipient. Additional information 

about registration procedures may be found at the CCR website (currently at www.ccr.gov).

2. Data Universal Numbering System (DUNS) number means the nine- or thirteen-digit number 

established and assigned by Dun and Bradstreet, Inc. (D&B) to uniquely identify business 

entities. A DUNS number may be obtained from D&B by telephone (currently 866.705.5711) or 

visit the Internet at http://fedgov.dnb.com/webform.

3. Entity, as it is used in this award term, means all of the following, as defined at 2 C.F.R. part 25, 

subpart C:

a. A governmental organization, which is a state, local government, or Indian Tribe;

b. A foreign public entity;

c. A domestic or foreign nonprofit organization;

d. A domestic or foreign for-profit organization; and

e. A federal agency, but only as a subrecipient under an award or subaward to a non-federal 

entity.

4. Subaward:

a. This term means a legal instrument to provide support for the performance of any portion 

of the substantive project or program for which you received this award and that you as the 

recipient award to an eligible subrecipient.

b. The term does not include your procurement of property and services needed to carry out the 

project or program (for further explanation, see Sec. __.210 of the attachment to OMB Circular 

A-133, “Audits of States, Local Governments, and Non-Profit Organizations”).

c. A subaward may be provided through any legal agreement, including an agreement that you 

consider a contract.
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5. Subrecipient means an entity that:

a. Receives a subaward from you under this award; and

b. Is accountable to you for the use of the federal funds provided by the subaward.

Why This Condition:

The purpose of this standard award term is to ensure government-wide uniformity in establishing the 

DUNS number as the universal identifier for federal financial assistance applicants, as well as recipients 

and their direct subrecipients (if applicable), and to establish the CCR as the repository for standard 

information about applicants and recipients.

What You Should Do:

At the time of grant application, your agency was required to provide its DUNS number and be 

registered in the CCR database. 

Your agency should continue to use the same DUNS number provided in your grant application and 

update, as needed, the information associated with that DUNS number. If your agency is authorized 

to make subawards under its award, your agency may make subawards only to entities that have 

DUNS numbers. For more information about your DUNS number, please contact D&B using the tollfree number 866.705.5711 or visit http://fedgov.dnb.com/webform.Your agency must maintain active 

registration and current information in the CCR until you submit the final financial report or receive 

the final payment under your award, whichever is later. Your agency must review and update its CCR 

information at least once per year to maintain an active registration status. For more information about 

CCR registration, please visit www.ccr.gov.

18. Reporting Sub-awards and Executive Compensation

 The Office of Management and Budget requires federal agencies to include the following standard award 

term in all grants and cooperative agreements made on or after October 1, 2010: 

Reporting Subawards and Executive Compensation.

a. Reporting of first-tier subawards.

1. Applicability. Unless you are exempt as provided in paragraph d. of this award term, you 

must report each action that obligates $25,000 or more in federal funds that does not include 

Recovery funds (as defined in section 1512(a)(2) of the American Recovery and Reinvestment 

Act of 2009, Pub. L. 111–5) for a subaward to an entity (see definitions in paragraph e. of this 

award term).

2. Where and when to report.

i. You must report each obligating action described in paragraph a.1. of this award term to 

www.fsrs.gov.0 

ii. For subaward information, report no later than the end of the month following the month in 

which the obligation was made. (For example, if the obligation was made on November 7, 2012, 

the obligation must be reported by no later than December 31, 2012.)

3. What to report. You must report the information about each obligating action that the 

submission instructions specify. The submission instructions are posted at www.fsrs.gov

b. Reporting Total Compensation of Recipient Executives.

1. Applicability and what to report. You must report total compensation for each of your five most 

highly compensated executives for the preceding completed fiscal year, if—

i. the total federal funding authorized to date under this award is $25,000 or more;
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ii. in the preceding fiscal year, you received—

(A) 80 percent or more of your annual gross revenues from federal procurement contracts (and 

subcontracts) and federal financial assistance subject to the Transparency Act, as defined at 2 

C.F.R. 170.320 (and subawards); and

(B) $25,000,000 or more in annual gross revenues from federal procurement contracts (and 

subcontracts) and federal financial assistance subject to the Transparency Act, as defined at 2 

C.F.R. 170.320 (and subawards); and

iii. The public does not have access to information about the compensation of the executives 

through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 

(15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. (To determine 

if the public has access to the compensation information, see the U.S. Security and Exchange 

Commission total compensation filings at www.sec.gov/answers/execomp.htm.)

2. Where and when to report. You must report executive total compensation described in 

paragraph b.1. of this award term:

i. As part of your registration profile at www.ccr.gov.

ii. By the end of the month following the month in which this award is made, and annually 

thereafter.

c. Reporting of Total Compensation of Subrecipient Executives.

1. Applicability and what to report. Unless you are exempt as provided in paragraph d. of this 

award term, for each first-tier subrecipient under this award, you shall report the names and 

total compensation of each of the subrecipient’s five most highly compensated executives for 

the subrecipient’s preceding completed fiscal year, if—

i. in the subrecipient’s preceding fiscal year, the subrecipient received—

(A) 80 percent or more of its annual gross revenues from federal procurement contracts (and 

subcontracts) and federal financial assistance subject to the Transparency Act, as defined at 2 

C.F.R. 170.320 (and subawards); and

(B) $25,000,000 or more in annual gross revenues from federal procurement contracts 

(and subcontracts), and federal financial assistance subject to the Transparency Act (and 

subawards); and

ii. The public does not have access to information about the compensation of the executives 

through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 

(15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. (To determine 

if the public has access to the compensation information, see the U.S. Security and Exchange 

Commission total compensation filings at www.sec.gov/answers/execomp.htm.)

2. Where and when to report. You must report subrecipient executive total compensation 

described in paragraph c.1. of this award term:

i. To the recipient.

ii. By the end of the month following the month during which you make the subaward.

For example, if a subaward is obligated on any date during the month of October of a given 

year (i.e., between October 1 and 31), you must report any required compensation information 

of the subrecipient by November 30 of that year.

d. Exemptions

If, in the previous tax year, you had gross income, from all sources, under $300,000, you are exempt 

from the requirements to report:

i. Subawards, and

ii. The total compensation of the five most highly compensated executives of any subrecipient.
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e. Definitions. For purposes of this award term:

1. Entity means all of the following, as defined in 2 C.F.R. part 25:

i. A governmental organization, which is a state, local government, or Indian tribe;

ii. A foreign public entity;

iii. A domestic or foreign nonprofit organization;

iv. A domestic or foreign for-profit organization;

v. A federal agency, but only as a subrecipient under an award or subaward to a non-federal 

entity.

2. Executive means officers, managing partners, or any other employees in management 

positions.

3. Subaward:

i. This term means a legal instrument to provide support for the performance of any portion 

of the substantive project or program for which you received this award and that you as the 

recipient award to an eligible subrecipient.

ii. The term does not include your procurement of property and services needed to carry out the 

project or program (for further explanation, see Sec. __.210 of the attachment to OMB Circular 

A–133, “Audits of States, Local Governments, and Non-Profit Organizations”).

iii. A subaward may be provided through any legal agreement, including an agreement that you 

or a subrecipient considers a contract.

4. Subrecipient means an entity that:

i. Receives a subaward from you (the recipient) under this award; and

ii. Is accountable to you for the use of the federal funds provided by the subaward.

5. Total compensation means the cash and noncash dollar value earned by the executive during 

the recipient’s or subrecipient’s preceding fiscal year and includes the following (for more 

information see 17 C.F.R. 229.402(c)(2)):

i. Salary and bonus.

ii. Awards of stock, stock options, and stock appreciation rights. Use the dollar amount recognized 

for financial statement reporting purposes with respect to the fiscal year in accordance with the 

Statement of Financial Accounting Standards No. 123 (Revised 2004) (FAS 123R), Shared Based 

Payments.

iii. Earnings for services under non-equity incentive plans. This does not include group life, health, 

hospitalization or medical reimbursement plans that do not discriminate in favor of executives, 

and are available generally to all salaried employees.

iv. Change in pension value. This is the change in present value of defined benefit and actuarial 

pension plans.

v. Above-market earnings on deferred compensation which is not tax-qualified.

vi. Other compensation, if the aggregate value of all such other compensation (e.g., severance, 

termination payments, value of life insurance paid on behalf of the employee, perquisites or 

property) for the executive exceeds $10,000.

Why This Condition:

To further federal spending transparency, the Federal Funding Accountability and Transparency Act 

of 2006 (FFATA) requires, among other things, that information on federal awards (federal financial 

assistance and expenditures) be made available to the public via a single, searchable website, 

which is www.USASpending.gov. Grantees are responsible for reporting their applicable executive 

compensation and subaward information and the award term provides guidance to report the related 

information, as required by FFATA.
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What You Should Do:

At the time of grant application, your agency was asked to ensure that it has the necessary processes 

and systems in place to comply with the applicable subaward and executive compensation reporting 

requirements should it receive funding. If your agency received awards of $25,000 or more, you are 

required to report award information on any first-tier subawards totaling $25,000 or more, and, in 

certain cases, to report information on the names and total compensation of the five most highly 

compensated executives of the recipient and first-tier subrecipients. The FFATA Sub-award Reporting 

System (FSRS), accessible via the website at www.fsrs.gov, is the reporting tool that your agency will 

use to capture and report subaward information and any executive compensation data required by 

FFATA. The subaward information entered in FSRS will then be displayed on www.USASpending.gov

associated with your agency’s award, furthering federal spending transparency.

For additional information regarding the executive compensation and subaward reporting 

requirements, please see Vol. 75, No. 177 (September 14, 2010) of the Federal Register, 

www.gpo.gov/fdsys/pkg/FR-2010-09-14/pdf/2010-22705.pdf 

19. Public Release Information

The grantee agrees to submit one copy of all reports and proposed publications resulting from this award 

20 days prior to public release. Any publications (written, curricula, visual, sound, or websites) or computer 

programs, whether or not published at government expense, shall contain the following statement: “This 

project was supported by Grant Number 2012-XX-XX-XXXX awarded by the Office of Community Oriented 

Policing Services, U.S. Department of Justice. The opinions contained herein are those of the author(s) and do 

not necessarily represent the official position or policies of the U.S. Department of Justice. References to specific 

agencies, companies, products, or services should not be considered an endorsement by the author(s) or the 

U.S. Department of Justice. Rather, the references are illustrations to supplement discussion of the issues.

Why This Condition:

The COPS Office wants to ensure the quality, objectivity, utility, and integrity of information in funded 

projects that are disseminated to the public. However, award-funded reports and publications are not 

official federal documents and should not be construed to reflect the official policy or position of the DOJ.

In addition, the COPS Office reserves a royalty-free, nonexclusive, and irrevocable license to reproduce, 

publish, or otherwise use and to authorize others to use, for federal government purposes, the 

following: (1) the copyright in any work developed under this award, sub-award, or contract, and (2) any 

copyright to which an award recipient, sub-awardee, or a contractor purchases ownership with support 

from this award.

What You Should Do:

Ensure that all publications (where applicable) relating to your COPS award contain the required 

statement listed above.

In addition, the grantee is responsible for acquiring the rights, and ensuring that its subcontractors/

authors acquire the rights, to copyrighted material for inclusion in DOJ publications or other products 

or deliverables that are developed under this cooperative agreement, including the payment of 

required fees. All licensing, publishing, or similar agreements with a copyright holder, publisher, 

or other relevant party shall include provisions giving the Federal Government a royalty-free, nonexclusive, and irrevocable license to reproduce, publish, or otherwise use, and to authorize others to 

use, the publication for federal government purposes.
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FOR TRGP-HIRING GRANTS ONLY 

(See condition #20 – Retention and #21 – Employment Eligibility)

20. Retention 

(For Hiring grants only)

At the time of grant application, your agency committed to retaining all sworn officer positions awarded 

under the TRGP Hiring grant with state and/or local funds for a minimum of 12 months following the 

conclusion of 36 months of federal funding for each position, over and above the number of locally-funded 

sworn officer positions that would have existed in the absence of the grant. Your agency cannot satisfy the 

retention requirement by using TRGP funded positions to fill locally-funded vacancies resulting from attrition.

Why This Condition:

The retention requirement ensures that the increased officer staffing level under the TRGP Hiring grant 

continues with state and/or local funds for a minimum of 12 months after federal funding ends.

What You Should Do:

At the time of grant application, your agency was required to affirm that it plans to retain all sworn 

officer positions awarded under the TRGP Hiring grant and identify the planned source(s) of retention 

funding. Your agency committed to retaining each awarded position for at least 12 months following 

the conclusion of 36 months of federal funding for that position. The retention period begins for an 

awarded officer position once that position has completed the 36-month implementation period. If 

an agency is awarded several officer positions, the retention period for each individual officer position 

begins upon completion of 36 months of funding for that position (not based on the cumulative grant 

award end date). 

The retained TRGP funded position(s) must be added to your agency’s law enforcement budget with 

state and/or local funds at the conclusion of grant funding, over and above the number of locallyfunded sworn officer positions that would have existed in the absence of the grant. Absorbing 

TRGP-funded positions through attrition (rather than adding the extra positions to your budget with 

additional funding) does not meet the retention requirement.

Your agency should maintain documentation demonstrating when the 36-month grant funding period 

expired for each awarded position and that each retained position was above and beyond the number 

of officer positions that your agency would have otherwise funded with state and/or local funds. We 

understand that your agency’s identified source(s) of retention funding may change during the life 

of the grant, so your agency should maintain documentation of any changes in the event of an audit, 

monitoring, or other evaluation of your grant compliance.

Please note that your agency is required to retain the officer position(s) awarded under the TRGP Hiring 

grant and not the specific officer(s) hired to fill the grant position(s). If a position funded by the TRGP 

Hiring grant becomes vacant during the retention period, your agency is required to take active and 

timely steps consistent with your agency’s hiring policies and procedures to fill the position with a new 

officer to complete the remainder of the 12-month retention period. Your agency should maintain 

documentation demonstrating that you did not delay filling the position and that the steps your agency 

took to fill the position were consistent with your hiring policies and procedures.

At the conclusion of federal funding, agencies that fail to retain the sworn officer positions awarded 
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under the TRGP Hiring grant may be ineligible to receive future COPS grants for a period of 1 to 3 years. 

If your agency is unable to retain any of the awarded officer positions, you should contact your COPS 

GPS for further review.

21. Employment Eligibility 

(For Hiring Grants only)

The grantee agrees to complete and keep on file, as appropriate, a Bureau of Citizenship and Immigration 

Services 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 and can be found at 

www.uscis.gov/files/form/i-9.pdf.

Why This Condition:

Under federal immigration law, all employers are required to take certain steps to ensure that persons 

that are hired are legally permitted to work in the United States. The Bureau of Citizenship and 

Immigration Services Employment Eligibility Verification Form (I-9) outlines the types of documents that 

an employer should review to confirm that a new hire is eligible for employment.

What You Should Do:

You do not need to submit any documentation to the COPS Office to satisfy this condition. Rather, you 

should complete and maintain the I-9 forms for all new employees under the guidelines set forth by the 

Bureau of Citizenship and Immigration Services. For further information about this requirement, you 

may contact the Bureau’s Office of Business Liaison at 800.357.2099 or the National Customer Service 

Center at 800.375.5283.

FOR TRGP-EQUIPMENT/TRAINING GRANTS ONLY 

(See condition #22 – Criminal Intelligence Systems and #23 – Sole Source Justification)

22. Criminal Intelligence Systems 

(For Equipment/Training grants only)

Grantees using TRGP funds to operate an interjurisdictional criminal intelligence system must comply with 

operating principles of 28 C.F.R. Part 23. The grantee acknowledges that it has completed, signed, and 

submitted with its grant award the relevant Special Condition certifying its compliance with 28 C.F.R. Part 23.

Why This Condition:

If your agency receives funding for equipment or technology that will be used to operate an 

interjurisdictional criminal intelligence system, you must comply with the operating principles found 

at 28 C.F.R. Part 23. An “interjurisdictional criminal intelligence system” is generally defined as a system 

which receives, stores, analyzes, and exchanges or disseminates data regarding ongoing pre-arrest 

criminal activities (examples of such activities include, but are not limited to, loan sharking, drug or 

stolen property trafficking, gambling, extortion, smuggling, bribery, and public corruption) and shares 

this data with other law enforcement jurisdictions. 28 C.F.R. Part 23 contains operating principles 

for these interjurisdictional criminal intelligence systems which protect individual privacy and 

constitutional rights.
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If your agency will use TRGP grant funds simply to operate a single agency database (or other unrelated 

forms of technology) and will not share criminal intelligence data with other jurisdictions, 28 C.F.R. Part 

23 does not apply to this grant.

What You Should Do:

All COPS grant recipients are required to agree to the Criminal Intelligence Systems/28 C.F.R. Part 23 

Compliance Special Condition as part of their award package so the COPS Office can track which agencies 

intend to use their grant funds to operate interjurisdictional criminal intelligence systems. If your agency 

intends to use grant funds to operate an interjurisdictional criminal intelligence system, you should 

indicate this on the Criminal Intelligence Systems 28 C.F.R. Part 23 Compliance form that was included 

with your grant award package, and certify and submit this form along with your signed grant Award 

Document as your agency’s agreement to comply with the operating principles found at 28 C.F.R. Part 

23. Your agency now must comply with 28 C.F.R. Part 23 in operating the interjurisdictional criminal 

intelligence system funded through your COPS grant.

23. Sole Source Justification 

(For Equipment/Training grants only)

TRGP-Equipment/Training grantees who have been awarded funding for the procurement of an item (or 

group of items) or service in excess of $100,000, and who plan to seek approval for use of a noncompetitive 

procurement process must provide a written sole source justification to the COPS Office for approval 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 have already determined that competition is not feasible.

What You Should Do:

If you have received an award for an item (or group of items) or service in excess of $100,000 and have 

already determined that the award of a contract through a competitive process is infeasible, 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:

•	 The item (or group of items) or service is available only from a single source;

•	 Public exigency or emergency for the requirement will not permit a delay resulting from 

competitive solicitation; or

•	 Competition is determined inadequate after solicitation of a number of sources.

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. If submitting a sole source justification request to the COPS Office, please use the format 

described in Section II, “Procurement Process.”
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What are the specific rules regarding termination of grant funding?

The COPS Office has the right to sanction or terminate your agency’s project when there is reason to 

believe that your agency:

•	 Is not substantially complying with the grant requirements or other applicable provisions of 

federal law;

•	 Is failing to make satisfactory progress toward the goals or strategies outlined in its application;

•	 Is not adhering to grant requirements or conditions;

•	 Is proposing substantial plan changes to the extent that, if originally submitted, would have 

resulted in the application being denied funding;

•	 Is not submitting financial or programmatic reports in a timely manner;

•	 Is filing false statements or certifications in connection with an application, periodic report, or 

other grant-related documents; and/or

•	 Is providing other good cause for sanctions or termination as determined by the COPS Office.

In these instances, the COPS Office may:

•	 Temporarily withhold payments pending correction of the situation by your agency;

•	 Disallow all or part of the cost of the activity or action not in compliance;

•	 Wholly or partly suspend or terminate your grant;

•	 Require that some or all of the grant funds be remitted to the U.S. Department of Justice;

•	 Condition a future grant or elect not to provide future grant funds to your agency until appropriate 

actions are taken to ensure compliance;

•	 Withhold or bar your agency from obtaining future awards;

•	 Recommend civil or criminal enforcement by other agencies; and/or

•	 Take other remedies that may be legally available.

In the event that sanctions are imposed or your grant is terminated, your agency will be notified in 

writing of our decision and the reason(s) for that decision.

Accepting the Grant Award

After you have reviewed the conditions of your TRGP award and your agency agrees with these 

conditions, you are ready to accept the award. The Director of the COPS Office has signed the Award 

Document indicating approval of your grant, an obligation of federal funds to your organization, and 

our commitment to the award. As stated at the beginning of this section, to officially begin your grant 

and draw down your funds, the authorized official (see Section IX, “Glossary of Terms”) must sign the 

Award Document and return both sides to the COPS Office, along with all award condition pages, via 

one of the three options listed below:

Electronic Mail 

CTAS.TRGP@usdoj.gov

Fax

202.616.8650

Standard Mail 

U.S. Department of Justice

Office of Community Oriented Policing Services 

Attn: TRGP Control Desk

145 N Street, N.E., 11th Floor

Washington, DC 20530
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Who should sign the Award Document for our agency?

The “authorized official” is the government executive who has ultimate and final responsibility for 

all programmatic and financial decisions regarding this grant as the representative of the legal 

grantee. COPS grants require the top government executive (e.g., Tribal Chairman, President, Chief, or 

equivalent) to sign the Award Document. Typically, this is the same executive named on your agency’s 

2012 TRGP application. (If this individual has changed, please complete a Change of Information 

form online at www.cops.usdoj.gov through the Account Access option.) If you have any questions 

as to who should sign the award, please contact your jurisdiction’s local legal advisor. Stamps and/or 

electronic signatures will not be accepted.

When must the Award Document be returned?

Please return the signed Award Document within 90 days of the date on the award congratulatory 

letter. Grant funds will not be released until we have received your agency’s signed Award Document, 

your budget has received final clearance, and any other relevant grant conditions particular to your 

agency have been satisfied. Failure to submit your signed Award Document within the 90-day award 

acceptance period may result in your grant award being withdrawn and the funds deobligated without 

additional notification. To ensure that we receive your signed award document in a timely manner, we 

encourage you to consider submitting your signed award to the COPS Office by e-mail or fax. If your 

agency requires an extension for accepting the award beyond the 90-day acceptance timeframe, please 

submit a written request to your COPS GPS. Be sure to explain the circumstances that prevent your 

agency from returning the Award Document within the 90-day period, and identify the date by which 

the Award Document will be signed and mailed to the COPS Office. The COPS Office will review such 

requests on a case-by-case basis. The COPS Office reserves the right to deny requests to extend the 90-

day award acceptance period.
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II. PROCUREMENT PROCESS (FOR TRGP-EQUIPMENT/TRAINING 

GRANTS ONLY)

In general, grant recipients are required to procure funded items through open and free competition 

when feasible. For the purchase of equipment, technology, or services under a COPS grant award, 

grant recipients must follow their own policies and procedures on procurement as long as those 

requirements conform to the federal procurement requirements set forth in 28 C.F.R. § 66.36 and 28 

C.F.R. § 70 (as applicable).

As described in Grant Condition #23 grantees are required to submit a sole source justification 

(SSJ) request if competitive bidding will not be possible and the threshold of $100,000 for goods or 

services to be procured through a sole source is met. The COPS Office will review your request and 

supporting information to determine whether an exception can be granted to the general rule of open 

competition. Written approval from the COPS Office for the use of a sole source must be received prior 

to purchasing items or services, obligating funding for a contract, or entering into a contract with grant 

funds. All grantees are expected to review and abide by 28 C.F.R. Part 66.36 Procurement (or 28 C.F.R. 

Part 70.40 - 70.48 for institutions of higher education, hospitals, and other non-profit organizations) in 

determining if an SSJ must be completed. Please contact your COPS Grant Program Specialist (GPS) at 

800.421.6770 for further assistance with this federal regulation.

A sole source justification request should be submitted if a grant recipient determines that the 

award of a contract through a competitive process is infeasible, and if one or more of the following 

circumstances apply:

1. The item (or group of items) or service is available only from one source; 

2. The public exigency or emergency for the item/service will not permit a delay resulting from 

competitive solicitation; or

3. Competition is determined inadequate after solicitation of a number of sources.

What documentation must be submitted to the COPS Office for sole 

source review?

Requests for sole source procurements of equipment, technology, or services in excess of $100,000 

must be submitted to the COPS Office in writing, confirming that the award of the contract through full 

and open competition is infeasible. Please note that a justification must be submitted for each vendor 

providing goods or services in excess of $100,000.

To ensure that all of the necessary information is included and submitted to the COPS Office, the 

following checklist can be used when preparing your agency’s sole source request:

Letterhead – The sole source request must be signed by an authorized representative and submitted on 

grantee department letterhead, and must include the agency ORI and the grant number for which the 

approval is being sought. The request should also include the following information:

Section I. Description of Project – A brief description of the project, the amount to be designated for 

the sole source procurement, and the purpose of the contract.
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Section II. Reason for Request

1. An explanation as to why full and open competition is infeasible (e.g., why it is necessary to 

contract in a noncompetitive manner), and 

2. Which one (or more) of the three required categories identified below applies to the requested sole 

source procurement transaction(s).

•	 The item/service is available only from one source;

•	 The public exigency or emergency for the requirement will not permit a delay resulting from 

competitive solicitation; and/or

•	 Competition is determined inadequate after solicitation of a number of sources.

Section III. Supporting Documentation – The information below should support the applicable 

category(ies) identified in Section II.

1. If the item/service is available only from one source, please include the following:

•	 Uniqueness of items/services to be procured from the proposed contractor or vendor 

(compatibility, patent issues, etc.);

•	 How the agency determined that the item/service is only available from one source (e.g., 

market survey results, independent agency research, patented or proprietary system);

•	 Explanation of need for contractor’s expertise linked to the current project (e.g., knowledge of 

project management, responsiveness, experience of contractor personnel, prior work on earlier 

phases of project); and/or

•	 Any additional information that would support the case.

2. If the public exigency or emergency for the requirement will not permit a delay resulting from 

competitive solicitation, please include the following:

•	 Explanation of the specific public emergency;

•	 Impact on project if deadline/dates are not met;

•	 When the contractual coverage is required by your department and why; and/or

•	 Any additional information that would support the case.

3. If competition is determined inadequate after solicitation of a number of sources, please include 

the following:

•	 Results of a market survey to determine competition availability;

•	 If no survey is conducted, please explain why not; and/or

•	 Any additional information that would support the case.
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Section IV. Best Interest Statement – A statement declaring that this action/choice is in the best 

interest of the agency.

Failure to provide all of the necessary information will delay the processing of your request. Your agency 

will be contacted if any of the identified information is missing or if additional supporting documentation 

is required. The COPS Office will notify your agency in writing after completion of the review.

Please be advised that conflicts of interest are prohibited under the procurement standards set forth in 

28 C.F.R. § 66 and 28 C.F.R. § 70.

Contact COPS

If you have any questions regarding the federal requirements that guide procurement procedures, 

please contact your COPS Grant Program Specialist or program point of contact.

For more information about COPS Office programs and resources, please call the COPS Office Response 

Center at 800.421.6770, or visit COPS Online at www.cops.usdoj.gov.
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III. ACCESSING GRANT FUNDS

This section provides answers to payment-related questions, including all the information needed to set 

up your payments. For assistance with financial management and grant administration, please contact 

the COPS Office Response Center at 800.421.6770 or visit our website at www.cops.usdoj.gov.

Payment Method

What method of payment is used?

There is currently one method of payment available for accessing federal grant funds—the Grant 

Payment Request System (GPRS). GPRS is a web-based system that enables grantees to use a secure 

Internet connection to request funds. Approved payment requests will automatically be scheduled for 

payment by the U.S. Treasury Department. A grantee will be able to review previous requests made 

since 2007. For more information on the GPRS please go to 

www.ojp.usdoj.gov/about/offices/ocfogprs.htm to view the User Guide.

Setting Up Your Account

How do we set up a GPRS account?

If you are a new grantee to the COPS Office, your law enforcement executive and/or government 

executive should receive notification about GPRS shortly after COPS receives your original signed 

Award Document. This notification will contain all of the information that your agency needs to set 

up the GPRS payment method. If your law enforcement executive and/or government executive do 

not perform draw down requests for your agency, your grant administrator will need to go online 

to https://grants.ojp.usdoj.gov/gprs/login to log in and register to become a Drawdown Specialist. 

You will receive, via e-mail, a temporary password and information on how to use GPRS. Please note 

that part of the verification process may involve outreach to your law enforcement executive and/

or government executive or other financial points of contact to validate information provided by the 

Drawdown Specialist.

If you are already registered in GPRS, and would like to add a newly awarded grant to the existing 

username, please contact the COPS GPRS Registration Team via e-mail at COPSGPRSRegistration@usdoj.

gov and provide the following information:

•	 User name

•	 First/Last name

•	 Vendor Number

•	 Grant numbers to be added 

How do we fill out the payment enrollment forms?

If you are a new grantee to the COPS Office, your agency will need to complete an Automated Clearing 

House (ACH) Vendor/Miscellaneous Payment (SF-3881) enrollment form. This form can be found on the 

COPS website at the following address: www.cops.usdoj.gov/Default.asp?Item=100. 

Prior to accessing your grant funds, your agency must mail the original form to:

Office of Justice Programs

Office of the Chief Financial Officer 

810 7th Street, N.W.

Washington, DC 20531
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Your agency must complete the “Payee/Company Information” section following the directions on 

the back of the form and also provide the grant number (printed on the Award Document). Next, 

your financial institution must 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 filled out an ACH enrollment form. Therefore, 

your agency will not be required to submit a new ACH enrollment form for the newly awarded grant as 

long as your OJP vendor number has not changed. If you have any questions, or wish to verify your ACH 

enrollment form information, please call the COPS Office Response Center at 800.421.6770.

When should Federal Financial Reports be filed?

After your agency returns the signed Award Document to the COPS Office, under current regulations, 

you are required to submit quarterly Federal Financial Reports (FFRs) using a Standard Form 425 (SF425). This report reflects the actual monies spent and unliquidated obligations incurred by your agency. 

You will not be able to make draw downs from your grant account if the SF-425 for the most recent 

reporting quarter is not on file with the COPS Office by the deadline date. Grantees are encouraged to 

submit their SF-425 reports via the Internet at www.cops.usdoj.gov.

For more information on how to complete and where to submit your quarterly SF-425, see Section VI of 

this Grant Owner’s Manual titled “Reports.”

Filing the FFR (SF-425) identifies your federal and local expenditures made during that calendar quarter. 

However, to receive actual payment, you must request it through GPRS. 

Additional Payment Questions

Can we receive advances?

Yes. If you receive funds through electronic transfer, the period allowed is 10 days in advance. In 

general, the concept of “minimum cash on hand” applies to COPS grants. This concept requires that 

your agency 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.

There should be no excess federal grant funds on hand, except for advances not exceeding 10 days, as 

noted 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/or timely reports. 

How often do we request reimbursement of costs?

There are no limitations on how often your agency may request reimbursements. However, 

reimbursement is only for costs that were approved in the FCM. As a general guideline, most agencies 

request reimbursement on a monthly or quarterly basis. Also, please note that a date range can only be 

used once.
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Can we earn interest on our grant funds?

Your agency should minimize the time between your draw down of grant funds and your payment of 

grant costs to avoid earning excess interest on your grant funds. You must account for interest earned 

on advances of federal funds as follows:

•	 Local units of government may keep interest earned on all advances of federal funds up to 

$100 per federal fiscal year in the aggregate. Interest earned in excess of $100 must be remitted 

promptly, but at least quarterly, to the U.S. Department of Health and Human Services, Payment 

Management Systems, P.O. Box 6021, Rockville, MD 20852.

•	 Except as provided in 28 C.F.R. 70.22(l), nonprofit organizations may keep interest earned on all 

advances of federal funds up to $250 per federal fiscal year in the aggregate. Interest earned in 

excess of $250 must be remitted annually to the U.S. Department of Health and Human Services, 

Payment Management Systems, P.O. Box 6021, Rockville, MD 20852.

•	 Please notify COPS Financial Division when any interest that is earned is remitted to Department of 

Health and Human Services, Payment Management Systems, P.O. Box 6021, Rockville, MD 20852.

•	 State governments, including any agency or instrumentality of a state, should follow the provisions 

of the Intergovernmental Cooperation Act (31 U.S.C. 6501 et. seq.) pertaining to the disposition of 

interest earned on federal funds.

Matching Funds

Under the 2012 COPS TRGP Programs, no local match is required. The COPS Office is funding 100 

percent of the allowable items approved in your FCM. [Any costs higher than entry-level must be paid 

by your agency with local funds.] Please note: If the total cost exceeds the approved budget, then the 

addition expenditures are encouraged to be reported on the SF-425 as recipient share of expenditures.
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IV. FINANCIAL RECORD MAINTENANCE

Your agency is required to establish and maintain accounting systems and financial records to 

accurately account for grant funds awarded and disbursed. These records must include both federal 

funds and any local funds contributed to this project.

Accounting Systems and Records

Under the COPS TRGP grant, your agency is required to establish and maintain accounting systems and 

financial records to accurately account for funds awarded and disbursed. These records must include 

both federal funds and any local funds contributed to this project.

What accounting systems are required?

Your agency needs to establish and maintain accounting systems and financial records to accurately 

account for the funds awarded.

Your accounting system should:

•	 Present and itemize actual expenditures of funded items;

•	 Demonstrate that funds are spent in compliance with your grant conditions; and

•	 Be able to provide the necessary information for periodic financial review and audit.

What records must be kept?

Your agency’s fiscal control and accounting systems should enable you to make accurate, current, and 

complete disclosure of the financial activity under your grant. Your accounting records should contain 

information showing expenditures under the grant and must be supported by items such as canceled 

checks, purchase orders, or similar documents.

Your agency must adequately safeguard grant funds and make sure that they are used for authorized 

purposes only. Your agency will be responsible for refunding any unallowable expenses.

How long must documents be kept?

All financial records, including canceled checks, purchase orders, and similar documents associated 

with your grant should be kept for at least 3 years from the date COPS officially closes the grant. If any 

litigation, claim, negotiation, audit, or other action involving these records has been started before 

the end of the 3-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. Failure to 

maintain adequate records to document grant expenditures may result in a requirement to repay all 

federal funds that cannot be supported with appropriate records.

Your agency should maintain records so that you can identify them by grant year or by fiscal year, 

whichever you find more convenient.

What if we have more than one grant?

If your agency has more than one COPS grant or a grant from another federal agency, funds received 

under one project may not be used to support another project without specific written authorization 

from COPS, or in the case of a grant from another agency, from both awarding agencies. Your 

accounting systems and financial records must reflect expenditures for each project separately.

Who may access our records?

Authorized federal representatives, including representatives from the U.S. Department of Justice, the 

Comptroller General of the United States, the COPS Office, and any entity designated by the COPS Office 

may access these records for the purposes of conducting audits, site visits, or other examinations.

Records must be kept for at least 3 years from the date that the COPS Office has officially closed your 

agency’s grant.
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V. FEDERAL AUDIT REQUIREMENTS

In addition to oversight by the COPS Office, your grant may be subject to an audit by independent 

examiners. The two primary types of audit are Single Audit Act (SAA) audits and Department of Justice 

(DOJ) Office of the Inspector General (OIG) audits.

Requirements and Audits

What are the regulations governing SAA requirements?

The Single Audit Act of 1984 established uniform guidelines for state and local governments receiving 

federal financial assistance. The 1984 Act was amended in July 1996 and revised again June 27, 2003 and 

June 26, 2007, and is effective for fiscal years after December 31, 2003, to reflect revised audit criteria 

and reporting requirements. The Office of Management and Budget Circular A-133 (OMB A-133), Audits 

of States, Local Governments and Non-Profit Organizations, provides additional guidelines regarding 

the implementation of SAA requirements.

Who must have an SAA audit?

Each non-federal entity that expends a total amount of federal awards equal to or in excess of $500,000 

in a fiscal year is required to have a Single Audit conducted, except when it elects to have a programspecific audit conducted. An auditee may be a recipient, a sub-recipient, and/or a vendor. Specifically, 

“Federal awards expended as a recipient or a subrecipient would be subject to audit under A-133, 

Subpart B, Section 210.”

 SAA audits are conducted annually unless a state or local government is required by constitution 

or statute, in effect on January 1, 1987, to undergo audits less frequently than annually. The primary 

objective of an SAA audit is to express opinions on the grantee’s financial statements, internal controls, 

major and non-major grant programs, and compliance with government laws and regulations. Single 

Audits may also address specific compliance issues with respect to COPS grant requirements.

Failure to have an audit performed may result in sanctions imposed by federal agencies for 

noncompliance with OMB Circular A-133. These sanctions under A-133, Section 225 could include 

the following: (A) withholding a percentage of federal awards until a required audit is completed 

satisfactorily; (B) withholding or disallowing overhead costs; (C) suspending your award until the audit is 

performed; or (D) terminating your award.

Your Single Audit Act reports should not be sent to the COPS Office. If the U.S. Department of Justice is 

your Cognizant Federal Agency (see Section IX, “Glossary of Terms”), they should be sent to the Federal 

Audit Clearinghouse at:

Federal Audit Clearinghouse 

Bureau of Census

1201 E. 10th Street

Jeffersonville, IN 47132

The U.S. Department of Justice, Office of Justice Programs (OJP) serves as the liaison between grantees 

and auditors in the conduct of SAA audits. Questions and comments regarding SAA audits may be 

directed to the COPS Office Response Center at 800.421.6770.
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What is the role of the Office of the Inspector General (OIG)? 

The OIG is a separate component of the U.S. Department of Justice and is independent of the COPS 

Office. The primary objective of OIG audits is to assess compliance with grant conditions. OIG audits 

are designed to promote economy, efficiency, and effectiveness in the administration of grants by 

evaluating compliance with laws, regulations, policies, and procedures governing the operations 

encompassed in the scope of the audit.

How are COPS grants selected for an OIG audit?

The OIG may conduct a COPS grant audit in response to a referral that the OIG believes warrants 

further evaluation. The OIG also surveys DOJ agencies on an annual basis to solicit input on suggested 

audit areas for the upcoming fiscal year. In most instances, however, the OIG selects grants based 

on a number of factors, including the geographical distribution of grants awarded, award amount, 

population served, and type of grant (both active and expired). As such, the fact that your grant has 

been selected for an OIG audit is not necessarily indicative of a suspected concern or problem area.

The COPS Audit Liaison Division serves as the liaison between grantees and the OIG’s Audit Division, 

which conducts the audit. After the OIG notifies the COPS Office of upcoming audits to be conducted, 

the COPS Audit Liaison Division will send out a notification letter to the grantee outlining the scope 

of each audit and the anticipated audit timeframe. This notification letter also advises grantees of the 

supporting documentation required and information necessary for the OIG during their scheduled 

field work, and provides a COPS point of contact to address questions and concerns. If you have any 

questions regarding an OIG audit, please contact the COPS Audit Liaison Division at 800.421.6770. 

Questions and comments regarding the administration of your COPS grant, not specifically related to an 

audit, should be referred to your COPS Grant Program Specialist.

Typical Audit Findings

The OIG has typically reported the following audit findings pertaining to grants as a result of lack of 

proper documentation, poor business practices, or inadequate accounting and record keeping systems:

•	 Unallowable costs – Grantee incurred costs which were not approved in the original budget, were 

in excess of the approved budget, or were charged to the grant after the expiration date and a 

grant extension was not obtained.

•	 Unsupported costs – Specific grant expenditures and reimbursements could not be supported by 

adequate documentation, or grant expenditures were in excess of actual grant costs.

•	 Lack of complete/timely programmatic and financial reporting – Grantee failed to submit 

required programmatic and financial reports in a timely manner and/or had inadequate record 

keeping systems.

•	 Failure to retain – Grantee lacked documentation to support retention planning efforts during 

the grant period and/or failed to demonstrate an increase in the baseline of locally-funded sworn 

officer positions at the conclusion of the 36 months of federal funding, over and above what the 

grantee would have funded in absence of the grant.

•	 Supplanting – Grantee could not document efforts to backfill vacant local sworn officer positions, 

or grantee could not explain reductions in local law enforcement budget during the grant award 

period.

•	 Lack of adequate community policing – Grantee had difficulty demonstrating community 

policing activities.
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•	 Funds to better use – Funds could be used more efficiently based on management actions 

such as: a) reductions in outlays; b) deobligation of funds; c) withdrawal; d) costs not incurred 

by implementing recommended improvements; or e) any other savings which are specifically 

identified.

•	 Questioned costs – Costs that are questioned by the auditor because of an audit finding which 

resulted from a violation or possible violation of a provision of law, regulation, grant terms and 

conditions, or other document governing the use of federal funds; or because costs incurred 

appear unreasonable and do not reflect the actions a prudent person would take under the 

same circumstances; or because costs at the time of the audit are not supported by adequate 

documentation.

After the final OIG audit report has been issued, the COPS Audit Liaison Division will continue working 

as the liaison between your agency and the OIG to obtain closure on any audit findings. COPS will 

issue a closure letter once all audit recommendations have been closed by the OIG. You must keep all 

documentation related to the audit for a period of 3 years following the audit’s closure.
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VI. REPORTS

As part of the TRGP program, your agency will be required to submit quarterly FFRs as well as program 

progress reports. Awarded agencies should be prepared to track and report TRGP grant funding 

separately from other funding sources (including other COPS and federal grants) to ensure accurate 

financial and programmatic reporting on a timely basis. Your agency should ensure that you have 

financial internal controls in place to monitor the use of TRGP grant funding and ensure that its use 

is consistent with the grant terms and conditions. Good practices in this area would include written 

accounting practices, an accounting system that tracks all drawdowns and grant expenditures, and the 

ability to track when approved purchases are made. Failure to submit complete reports, or submit them 

in a timely manner, may result in the suspension and possible termination of your agency’s COPS grant 

funding or other remedial actions. 

Federal Financial Reports

Your agency is required to submit quarterly FFRs using SF-425 within 30 days after the end of each 

calendar quarter. A final SF-425 will be due within 90 days after the end of the grant period. This 

report reflects the actual cumulative federal monies spent, unliquidated obligations incurred, and the 

unobligated balance of federal funds.

How do we file Federal Financial Reports?

All COPS grantees are required to submit quarterly FFRs using the SF-425.

SF-425s for COPS grants must be submitted every quarter and no later than 30 days after the last day of 

each reporting quarter, as detailed below:

Reporting Quarters SF-425 Due Date

January 1 – March 31 April 30

April 1 – June 30 July 30

July 1 – September 30 October 30

October 1 – December 31 January 30

Grantees are strongly encouraged to submit the quarterly SF-425 online. Visit the COPS website at 

www.cops.usdoj.gov and select the Account Access link in the upper right corner to log in, complete, 

and submit reports online. The online SF-425 requires the same reporting information as the paper 

version. The use of this online application enables authorized users to view past SF-425s, and allows 

them to file or amend the SF-425 for the current quarter. 

For your first SF-425 submission, determine when the most recent SF-425 reporting quarter ended and 

complete an SF-425 to cover the period from the award start date of your grant to that particular end 

date. You are required to submit an SF-425 even if you have not spent any money or incurred any costs 

during a reporting period. The due dates for online filing of SF-425s are the same as for the submission 

of paper copies.

Example:

If your award start date is 02-01-12 and the current date is 04-15-12, then your first SF-425 would be due 

no later than 04-30-12 and would cover the period 02-01-12 (award start date) through 03-31-12 (end 

of the most recent reporting quarter). This SF-425 must be on file with the COPS Office so that you can 

successfully complete a drawdown of funds through GPRS.
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Grantees who do not submit SF-425s by the due date will be unable to draw down funds. The payment 

system contains a function which checks for SF-425 delinquency and will reject a drawdown attempt 

if the SF-425 is not up to date. Subsequent e-mail, fax, and/or hard copy reminders may be sent to the 

grantee if the SF-425 is delinquent.

For general information concerning online filing of SF-425 reports, go to 

www.cops.usdoj.gov/RIC/ResourceDetail.aspx?RID=547 or contact the COPS Office Response Center by 

phone at 800.421.6770 or by e-mail at AskCopsRC@usdoj.gov.

If you need assistance in completing the SF-425, please contact the COPS Office Response Center at 

800.421.6770, by e-mail at AskCopsRC@usdoj.gov, or review the “Helpful Hints Guide for Completing the 

Federal Financial Report (SF-425)” at www.cops.usdoj.gov/RIC/ResourceDetail.aspx?RID=545.

How will grant funds be monitored?

The COPS Office and designated representatives from the Office of the Chief Financial Officer, Office of 

Justice Programs monitor the financial aspects of your agency’s grant through financial reports, on-site 

visits, office based grant reviews, meetings, telephone contacts, reports, audits, reviews of grant change 

requests, and special request submissions.

Program Progress Reports

Quarterly programmatic progress reports and a final programmatic closeout report will be required 

to be submitted directly to the COPS Office through the Account Access portion of the COPS Office 

website at www.cops.usdoj.gov.

 When will these reports be due? 

The quarterly reports submitted to the COPS Office will be due no later than 30 days after the calendar 

quarter ends.

Reporting Quarters Program Progress 

Report Date Due

January 1 – March 31 April 30

April 1 – June 30 July 30

July 1 – September 30 October 30

October 1 – December 31 January 30

What kind of information will these reports require?

Quarterly reports for TRGP-Hiring will request information about the status of your agency’s hiring and/

or rehiring of additional career law enforcement officers and your grant-related community policing 

activities. The TRGP-E/T progress reports will request information about the status of your grant in terms 

of the purchase of equipment and services, as well as general information about your department.

Do we need to request a progress report?

No. The COPS Office will notify your agency directly when the report is due. A notification for submitting 

your quarterly Program Progress Report to the COPS Office will be sent in January/April/July/October, 

covering activities for the preceding calendar quarter. Notification for submitting your final Program 

Progress Report will be sent to your agency in the month following your grant end date. 
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How do we file progress reports? 

All grantees will be required to submit their quarterly COPS Office reports through the COPS Account 

Access site at www.cops.usdoj.gov. If your agency has any questions regarding the submission of these 

required reports, please call the COPS Progress Report Team at 800.659.7379.

Will the data that I submit be publicly available? 

Reports submitted to the COPS Office may be reported publicly in response to a Freedom of Information 

Act request. 

How can I complete a COPS progress report online? 

Please access the COPS Office website at www.cops.usdoj.gov and click on Account Access at the top 

right-hand side of the page. Once you are logged in, select “Applications” from the Agency Portal Menu, 

click on the “Progress Report” icon and follow the instructions to complete your report.

If you do not have login access, you should contact your agency portal administrator to setup an 

account for you. 

If you have a registered account, but do not remember your password you may reset your password by 

going to the agency portal homepage, in Account Access enter your e-mail address, click on the “Forgot 

Password” link. For additional assistance, you may contact the COPS Office Response Center by phone at 

800.421.6770 or send an e-mail to AskCopsRC@usdoj.gov.

How do I obtain access to complete the COPS progress report? 

If you do not have your user name and/or password, please contact the COPS Office Response Center 

by phone at 800.421.6770 (from Monday through Friday between 9:00 AM and 5:00 PM Eastern Time) or 

e-mail the Response Center at AskCopsRC@usdoj.gov.

What if I make a mistake or need to modify my progress report 

after it is submitted? 

Grantees may need to make a change or may be asked by a subsequent COPS reviewer to make a 

correction to a submission. The recipient can update the submission by logging on to the COPS website 

or by calling the COPS Progress Report Team at 800.659.7379. 

Contact Points to Obtain Technical Assistance and Report Violations

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 may be reported to the U.S. Department of Justice. Furthermore, the COPS Office 

welcomes the opportunity to provide assistance regarding the implementation of grant provisions to 

help ensure that federal grant funds are spent responsibly. As such, the following contacts are provided 

to address noncompliance and technical assistance issues:

•	 If you suspect violations of a criminal nature, please contact the U.S. Department of Justice, Office of 

the Inspector General (OIG) at OIG.hotline@usdoj.gov, www.justice.gov/oig/FOIA/hotline_plus.htm

or 800.869.4499. 

•	 If you suspect grant violations (not criminal in nature) related to the grant conditions listed in this 

manual, please contact the COPS Grant Monitoring Division at 202.514.9202.

•	 If you have any questions and/or need assistance regarding your grant, please contact your COPS 

Grant Program Specialist at 800.421.6770.
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VII. WHEN THE GRANT PERIOD HAS ENDED

At the end of your agency’s TRGP grant period, the COPS Office is responsible for the “closeout” of your 

grant. As part of this process, the COPS Office requires documentation demonstrating that your agency 

has met all of the programmatic and financial requirements of the grant. 

After the end of the grant period, your agency will be asked to submit a final FFR and any applicable 

final program reports. 

Final Federal Financial Report (SF-425)

The final FFR (SF-425) for your grant is due to the COPS Office no later than 90 days after the end of the 

grant period. The final report should reflect the total amount of federal expenditures and the amount 

of unobligated funds, if any. Additionally, it should reconcile with the amount of funds drawn down by 

your agency. 

When should all of the grant monies be spent? 

Grant funds reflecting allowable project costs must be obligated before the end of the grant period. 

Obligated funds cover monies spent and expenses for all approved items in the FCM that your agency 

has incurred but not yet paid. Your agency has up to 90 days after the end of the grant period to request 

reimbursement for funds obligated. 

Please be advised that 28 C.F.R. 66.50(c) requires grantees to submit final SF-425s and to draw down the final 

reimbursement for expended funds within 90 days after the expiration of the grant. In addition, be advised 

that failure to complete the draw down of funds within the 90-day period following award expiration will 

result in the forfeiture of the remaining eligible balance. 

It is possible that your agency may have excess grant funds remaining in your account following the 

grant period due to an overestimate of item costs during the grant period. Your agency should review 

its records carefully to ensure that it draws down and expends only the amount required for actual 

costs incurred during the grant period. Any excess unobligated or unspent funds should remain in your 

account, and will be deobligated during the closeout process.

Final Program Progress (Closeout) Report

After your grant period has ended, your agency may be sent a final progress or closeout report from 

the COPS Office and asked to complete it. This report will serve as your agency’s final programmatic 

report on the grant, and the information your agency provides in this report will be used to make a final 

assessment of your grant progress.

Equipment Disposition 

Each grantee must use any equipment funded through a COPS award for approved grant-related 

purposes and must retain the equipment for the life of the grant. After the conclusion of the grant period, 

property records must be maintained by the grantee. The records should include a description of the 

property; a serial number or other identification number; the source of the property; the name of the 

person or entity that holds the title; the acquisition date and cost of the property; the percentage of 

federal participation in the cost of the property; the location, use, and condition of the property; and any 

ultimate disposition data, including the date of disposal and sale price of the property. A control system 

must be developed to ensure adequate safeguards to prevent loss, damage, or theft of the property.
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When the grant has expired and original or replacement equipment obtained under the grant is no 

longer needed for the original project or for other activities currently or previously supported by a 

federal agency, disposition of the equipment shall be made as follows:

•	 Items of equipment with a current per-unit fair market value of less than $5,000 may be retained, 

sold, or otherwise disposed of with no further obligation to the awarding agency.

•	 Items of equipment with a current per-unit fair market value in excess of $5,000 may be retained 

or sold and the awarding agency shall have a right to an amount calculated by multiplying the 

current market value or proceeds from sale by the awarding agency’s share of the equipment.

For more information, please see 28 C.F.R. Part 66.32 or 28 C.F.R. Part 70.34, as applicable.
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VIII. CONCLUSION

We hope that this manual has assisted you and your agency with your grant questions. We welcome and 

encourage any comments you have regarding the COPS TRGP and the materials we have developed for 

its administration. If you have specific comments regarding this manual, please send them to:

U.S. Department of Justice

Office of Community Oriented Policing Services 

Attn: TRGP/CTAS Control Desk

145 N Street, N.E., 11th Floor

Washington, DC 20530

If you have any questions about your grant, please call your COPS Grant Program Specialist or the COPS 

Office Response Center at 800.421.6770.
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IX. GLOSSARY OF TERMS

Allowable Costs

TRGP-Equipment/Training – Allowable costs are expenses that may be funded by this grant program. 

COPS TRGP provides funding for equipment, services, and technology purchased on or after the award 

start date. Upon review of your submitted budget, any unallowable costs were removed. The FCM that 

was included in your award package outlined your allowable costs and noted any relevant revisions that 

were made to your original budget submission.

TRGP-Hiring – Allowable costs are costs that will be paid for by this grant program. The only allowable 

costs under TRGP-Hiring are the approved full-time, entry-level salaries and fringe benefits of sworn 

career law enforcement officers hired or rehired on or after the grant award start date. TRGP-Hiring 

grant funds may be used to hire or rehire experienced officers, but any costs higher than entry-level 

must be paid by your agency with local funds. Grant funding must be limited to your agency’s entrylevel sworn officer salary and benefits. Upon review of your submitted budget, any unallowable costs 

were removed. The FCM, which was included in your award package, specifies the amount of TRGPHiring funds awarded to your agency for officer salaries and approved benefits, and it identifies the 

final officer salary and fringe benefit categories and amounts for which your agency was approved. 

Approved entry-level salaries and benefits paid during basic academy training are allowable when it is the 

agency’s policy to pay all newly hired officers during this training.

Audit

Work done by auditors, including both the OIG and state or local auditors, to examine financial 

statements and to review: (a) compliance with laws and regulations; (b) economy and efficiency of 

operations; (c) effectiveness in achieving program results; and (d) allowability of costs claimed against 

the award.

Authorized Official

The authorized official is the individual in your organization who has final authority and responsibility 

for all programmatic and financial decisions regarding this grant award. At the time of grant application, 

your agency listed the government executive (usually the Tribal Chief, Chairman, President, etc.) for your 

agency. This executive is listed on your Award Document and is understood to be your authorized official. 

If any of the executive information is incorrect, please submit the correct information to the COPS Office 

by completing an official Change of Information form available online at www.cops.usdoj.gov.

Automated Booking System

An automated booking system captures arrestee fingerprints and photographic information 

electronically and often has the ability to transfer that information to a departmental or statewide 

database.

Automated Fingerprint Identification System (AFIS)

An AFIS system is a highly specialized biometrics system that compares a single fingerprint image with 

a database of fingerprint images. Fingerprint images are collected from crime scenes or are taken from 

criminal suspects when they are arrested. Fingerprint images may be captured by placing a finger on a 

scanner or by electronically scanning inked impressions on paper.

Award Start Date

This is the date on or after which your agency is authorized to purchase any allowable equipment, 

services, or other costs that were approved by the COPS Office. The award start date is found on your 

grant Award Document. Grantees may not expend funds prior to this date without written approval from 

the COPS Office.
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Career Law Enforcement Officer

The COPS statute defines a “career law enforcement officer” as a person hired on a permanent basis 

who is authorized by law, or by a state or local public agency, to engage in or oversee the prevention, 

detection, or investigation of violations of criminal laws.

Catalog of Federal Domestic Assistance (CFDA)

The CFDA is an annual government-wide publication that contains a description and index of all forms 

of federal assistance. Each program is assigned a “CFDA number,” which is used by auditors to track 

grant revenues under the Single Audit Act. It is also used in participating states by State Single Points of 

Contact in conducting the required intergovernmental reviews under Executive Order 12372. The CFDA 

number for the COPS TRGP grant is 16.710.

Central Contractor Registration (CCR)

Institutions receiving any type of award from the federal government must register with the CCR.

At the end of July 2012, the Central Contractor Registration (CCR) system went away. The Central 

Contractor Registration (CCR), along with Federal Agency Registration, the Online Representations 

and Certifications Application (ORCA), and the Excluded Parties List System (EPLS), were migrated 

into the new System for Award Management, or SAM. For additional information, please click on the 

attached link: https://www.sam.gov/portal/public/SAM/.

Closeout

This is the process in which the awarding agency, the COPS Office, determines that all applicable 

administrative actions and all required work and conditions of the award have been completed and met 

by the recipient and awarding agency.

Cognizant Federal Agency

Your Cognizant Federal Agency is generally the federal agency that provides your agency with the 

most federal money. The Office of Management and Budget (OMB) may have already assigned your 

Cognizant Federal Agency to you. If this is the first federal grant that your organization has received, the 

U.S. Department of Justice (DOJ) is your Cognizant Federal Agency.

Community Policing

Community policing is a philosophy that promotes organizational strategies, which support the 

systematic use of partnerships and problem-solving techniques, to proactively address the immediate 

conditions that give rise to public safety issues such as crime, social disorder, and fear of crime. 

Computer Aided Dispatch (CAD) System

Computer database that can track calls for service, maintain status of units available, provide various 

reports, produce address histories, and support electronic mail. With the installation of integrated CAD 

systems, officers are able to receive calls for service on their mobile data terminals rather than over the 

radio. Radios can then be used only for serious emergencies.

Consortium

A consortium is a group of two or more governmental entities that agree to form a partnership to 

provide law enforcement services to their constituent communities.

COPS Office Finance Staff

The COPS Office Finance Staff handles your agency’s financial and budgetary needs related to this grant. 

A staff accountant has been assigned to your state and is available to answer any questions that you 

may have concerning the financial aspects of your grant. To identify your staff accountant, please call 

the COPS Office Response Center at 800.421.6770, or visit the COPS website at www.cops.usdoj.gov.

COPS Office

The Office of Community Oriented Policing Services (COPS Office) is the division of the U.S. Department of 

Justice that is the “grantor agency” for your grant. The COPS Office is responsible for assisting your agency 

with the administration and maintenance of your grant for the entire grant period. You can reach the 

COPS Office at 800.421.6770.
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Data Universal Numbering System (DUNS) Number

Since FY2004, the Office of Management and Budget (OMB) has required all agencies applying for 

federal funding to obtain this number prior to application. The DUNS number is a unique nine or 

thirteen-digit identification number that is assigned upon request to agencies by Dun & Bradstreet 

(D&B). This number will be used by the federal government to better track grant recipient information 

throughout the grant cycle and to provide consistent name and address data for electronic grant 

application systems. To obtain a DUNS number, visit the Dun & Bradstreet website at www.dnb.com or 

call 866.705.5711.

Employer Identification Number (EIN)/OJP Vendor Number

This number is usually your agency’s nine-digit federal tax identification number as assigned to you by 

the Internal Revenue Service (IRS). Your accounting/bookkeeping department should have this number. 

In some cases, the EIN has been previously assigned to another agency within your jurisdiction. In this 

instance, a new vendor number will be assigned to you by the Office of the Chief Financial Officer. The 

newly assigned number is to be used for COPS administrative purposes only and should not be used for 

IRS purposes.

Federally Recognized Tribe 

Tribal entities that are recognized and eligible for funding and services from the BIA by virtue of their 

status as Indian tribes. They are acknowledged to have the immunities and privileges available to other 

federally acknowledged Indian tribes by virtue of their government-to-government relationship with 

the United States as well as the responsibilities, power, limitation, and obligations of such tribes. Only 

federally recognized tribes are eligible to apply for COPS grant funds. For further information, contact: 

BIA, Division of Tribal Government Services, MS-4631-MIB, 1849 C Street, N.W., Washington, DC 20240, 

202.208.2475.

Gas Mask

A gas mask is connected to a chemical air filter and is used to protect the face and lungs from toxic 

gases.

Global Positioning System (GPS) 

Global Positioning Systems are a series of 24 geosynchronous satellites that continuously transmit 

their position. Each system is used in personal tracking, navigation, and automatic vehicle location 

technologies.

Grant Monitoring Specialist

COPS Grant Monitoring Specialists are trained and available to assist you in addressing any compliancerelated questions regarding your grant. Grant Monitoring Specialists plan and conduct site visits and 

office-based grant reviews. During the life of your grant, you may be selected for a monitoring site 

visit to assess your compliance with the terms and agreements of the grant program, to review your 

community policing initiatives, and to provide technical and administrative support for your grant 

award. Please contact the COPS Office Response Center at 800.421.6770 if you have any compliancerelated questions.

Grant Number

The grant number identifies your agency’s specific TRGP grant, and can be found on your grant Award 

Document. This number should be used as a reference when corresponding with the COPS Office. Your 

grant number is in the following format: 2012-HE-WX-0000 for TRGP-E/T grants and 2012-HH-WX-0000 for 

TRGP-Hiring grants awarded in FY2012. The COPS Office tracks grant information based upon this number.
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Grant Program Specialist

COPS Grant Program Specialists are trained to assist you with implementing and maintaining your 

grant. A Grant Program Specialist is assigned to your state, and is available to answer any questions 

that you may have concerning the administrative aspects of your grant. Your Grant Program Specialist 

can assist you with such matters as requesting an extension on your grant or modifying the grant 

award. To obtain the name and phone number of your Grant Program Specialist, please contact the 

COPS Office Response Center at 800.421.6770 or refer to the COPS website, www.cops.usdoj.gov.

Indirect Costs 

Indirect Costs are costs that are incurred for common or joint purposes and are not readily assignable 

to a particular project, but are necessary to the operation of the agency and the performance of the 

project. Examples of indirect costs include those incurred for facility operation and maintenance, 

depreciation, and administrative salaries. Indirect Costs must adhere to the standards set forth in 

the applicable Office of Management and Budget (OMB) Costs Principles for your entity, 2 C.F.R. Part 

225, Appendix E (state, local, and Indian tribal governments), 2 C.F.R. Part 230, Appendix A (nonprofit 

organizations), or 2 C.F.R. Part 220, Appendix A (educational institutions). See the COPS website for a 

factsheet on indirect costs. www.cops.usdoj.gov/Default.asp?Item=2489

Interoperable Communications 

Communications interoperability refers to the ability of emergency response officials to share 

information via voice and data signals on demand, in real time, when needed, and as authorized. 

Interoperable communications policies, procedures, and technology are used to increase voice and 

data information sharing among the law enforcement, fire service, and emergency medical service 

communities.

Local Budget Cycle

Your agency’s fiscal year: some common examples include January 1 to December 31, October 1 to 

September 30, and July 1 to June 30. Some local budget cycles may extend up to 24 months.

Matching Funds

What a locality must contribute as a cash match toward total allowable project costs over the life of the 

program. There is no matching fund requirement for the TRGP program (although higher than entrylevel costs for hired or rehired officers must be paid with local funds). 

Mobile Data Computer/Laptop

A Mobile Data Computer (MDC) is a computer terminal mounted in a vehicle that is linked via wireless 

communication to a network that is often integrated with a CAD system. MDCs enable officers to 

complete previously handwritten reports on a computer. This often eliminates the need to enter 

duplicate information on multiple reports.

National Incident-Based Reporting System (NIBRS)

A comprehensive reporting database. Agencies provide individual records for eight index crimes and 

38 other offenses.

Obligation of Funds

The COPS Office obligates federal funds when the grant Award Document is signed by the COPS Director 

or his/her designated official. For the grantee, grant funds are obligated when monies are spent or orders 

are placed for approved items under your grant. The term “encumbrance” is often used at the local and 

state levels to describe this type of transaction. Liquidated obligations are considered cash outlays or 

monies actually spent. Unliquidated obligations are obligations incurred and recorded but not yet paid 

(accrual basis of accounting) or not yet recorded and not yet paid (cash basis of accounting).
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Originating Agency Identifier (ORI) Number

This number is assigned by the FBI, and it is your agency’s unique identifier. The first two letters are your 

state abbreviation, the next three numbers are your county’s code, and the final two numbers identify 

your jurisdiction within your county. 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 (in such cases, the last two 

digits will be “ZZ”). It can be found on your grant Award Document. When you contact the COPS Office 

with a question, please reference your ORI number (and/or your grant number).

Primary Law Enforcement Authority 

An agency with primary law enforcement authority is the agency that is the first responder to calls for 

service, and has ultimate and final responsibility for the prevention, detection, and/or investigation of 

violations of criminal laws within its jurisdiction.

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:

•	 Increase the number of community policing officers on the beat

•	 Provide additional and more effective training to law enforcement officers to enhance their 

problem-solving, service, and other skills needed in interacting with members of the community

•	 Encourage the development and implementation of innovative programs to permit members of 

the community to assist law enforcement agencies in the prevention of crime

•	 Encourage the development of new technologies to assist law enforcement agencies in reorienting 

the emphasis of their activities from reacting to crime to preventing crime

Retention Period

After 36 months of COPS funding, TRGP-Hiring grantees are required to retain each additional COPSfunded position awarded using local, state, or other sources of non-COPS funds. Each awarded position 

must be retained for at least 12 months following the conclusion of the 36 months of federal funding for 

that position. This time span is referred to as the “retention period.” 

Supplanting

For the purposes of your COPS grant, supplanting means replacing state, local, or BIA funds which 

otherwise would have been spent on law enforcement purposes with federal COPS funds. State, local, 

and tribal governments are prohibited from supplanting throughout the grant period. This means that 

your agency may not use COPS funds to pay for any equipment/technology, services, or other items 

which, in the absence of the COPS program, would otherwise have been funded with state and/or local 

funds, or funds supplied by the BIA. COPS funds must instead be used to supplement, or increase, your 

law enforcement budget. For additional information on supplanting, please review Grant Condition #4 

in this manual.
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APPENDIXES

Appendix A – List of Source Documents

A. Primary Sources

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

B. Secondary Sources

Code of Federal Regulations (CFR)/Office of Management and Budget (OMB):

4 C.F.R. Parts 101-105, Department of Justice/Government Accountability Office, “Joint Federal 

Claims Collections Standards”

5 C.F.R. Part 1320, “Controlling the Paperwork Burden on the Public”

5 C.F.R. Part 151, “Political Activities of State and Local Officials or Employees”

28 C.F.R. Part 23, “Criminal Intelligence Systems Operating Policies”

28 C.F.R. Part 61, “Procedures for Implementing the National Environmental Policy Act”

28 C.F.R. Part 66, “Uniform Administrative Requirements for Grants and Cooperative Agreements to 

State and Local Governments”

28 C.F.R. Part 67, “Government-wide Requirements for Drug-Free Workplaces (Grants)”

28 C.F.R. Part 69, “Government-wide New Restrictions on Lobbying”

28 C.F.R. Part 70, “Uniform Administrative Requirements for Grants and Agreements with Institutions 

of Higher Education, Hospitals, and Other Non-Profit Organizations”

31 C.F.R. Part 205, “Treasury Department Regulations Implementing for Cash Management 

Improvement Act of 1990”

2 C.F.R. Part 220 (OMB Circular A-21), “Cost Principles for Educational Institutions”

OMB Circular A-33, “Audits of Educational Institutions”

2 C.F.R. Part 225 (OMB Circular A-87), “Cost Principles for State and Local Governments”

2 C.F.R. Part 230 (OMB Circular A-122), “Cost Principles for Non-Profit Organizations”

OMB Circular A-129, “Managing Federal Credit Programs”

OMB Circular A-133, “Audits of States, Local Governments, and Non-Profit Organizations”

48 C.F.R. Part 31.000, et seq. (FAR-31.2), “Cost Principles for Commercial Organizations”

Executive Orders:

Executive Order 12291, “Regulations”

Executive Order 12372, 28 C.F.R. Part 30, “Intergovernmental Review of Federal Programs”

Executive Order 12547, “Non-Procurement Debarments and Suspension”
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Appendix B – Assurances and Certifications

Standard Assurances

By submission of these assurances by an authorized representative, the Applicant hereby assures 

and certifies compliance with all applicable Federal statutes, regulations, policies, guidelines, and 

requirements, including 2 C.F.R. Part 220 [OMB Circular A-21], 2 C.F.R. Part 225 [OMB Circular A-87], 2 

C.F.R. Part 230 [OMB Circular A-122], OMB Circular A- 133; Ex. Order 13043 (seat belt policies); and 28 

C.F.R. pts. 66 or 70 (administrative requirements for grants and cooperative agreements).

The applicant also specifically assures and certifies that: 

1. It has the legal authority to apply for federal assistance, the institutional, managerial, and financial 

capability (including funds sufficient to pay any required non-federal share of project cost) to ensure 

proper planning, management, and completion of the project described in this application and that 

the persons signing the application and these assurances are authorized to do so and to act on its 

behalf with respect to any issues that may arise during the processing of this application.

2. It will establish safeguards to prohibit employees from using their positions for a purpose that 

constitutes or presents the appearance of personal or organizational conflict of interest, or personal 

gain particularly related to those with whom they have family, business or other ties. 

3. It will give the Department of Justice or the Comptroller General, through any authorized 

representative, access to and the right to examine all paper or electronic records related to the 

financial assistance. 

4. It will comply with all lawful requirements imposed by the awarding agency, specifically including 

any applicable regulations, such as 28 C.F.R. pts. 18, 22, 23, 30, 35, 38, 42, 46, 61, 63, and 66 or 70 

(whichever is applicable); the award term in 2 C.F.R. § 175.15(b); 48 CFR Part 31.000, et seq. (FAR 

31) (governing cost principles), the current edition of the OJP Financial Guide, and the COPS Grant 

Owner’s Manual as applicable. 

5. It will assist the awarding agency (if necessary) in assuring compliance with section 106 of the 

National Historic Preservation Act of 1966 (16 U.S.C. § 470), Ex. Order 11593 (identification and 

protection of historic properties), the Archeological and Historical Preservation Act of 1974 (16 U.S.C. 

§ 469 a-1 et seq.), and the National Environmental Policy Act of 1969 (42 U.S.C. § 4321). 

6. It will comply (and will require any subgrantees or contractors to comply) with any applicable 

statutorily-imposed nondiscrimination requirements, which may include the Omnibus Crime Control 

and Safe Streets Act of 1968 (42 U.S.C. § 3789d); the Victims of Crime Act (42 U.S.C. §10604(e)); The 

Juvenile Justice and Delinquency Prevention Act of 2002 (42 U.S.C. § 5672(b)); the Civil Rights Act of 

1964 (42 U.S.C. § 2000d); the Indian Civil Rights Act (25 U.S.C. §§ 1301-1303); the Rehabilitation Act of 

1973 (29 U.S.C. §794); the Americans with Disabilities Act of 1990 (42 U.S.C.§ 12131-34); the Education 

Amendments of 1972 (20 U.S.C. §§1681, 1683, 1685-86); and the Age Discrimination Act of 1975 (42 

U.S.C. §§ 6101-07); see Ex. Order 13279 (equal protection of the laws for faith-based and community 

organizations). 
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7. For applicants for COPS funding, it will, to the extent practicable and consistent with applicable 

law, including but not limited to the Indian Self-Determination Act, 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 the agency.

8. For applicants for COPS funding, It will comply with the minimum wage and maximum hours 

provisions of the Fair Labor Standards Act (29 U.S.C. § 201, et seq.), if applicable.

9. For applicants for COPS funding, if the awarded grant contains a retention requirement, it will retain 

the increased officer staffing level and/or the increased officer redeployment level, as applicable, 

with state or local funds for a minimum of 12 months following expiration of the grant period.

10. In the event that a portion of grant reimbursements are seized to pay off delinquent federal debts 

through the Treasury Offset Program or other debt collection process, it agrees to increase the nonfederal share (or, if the awarded grant does not contain a cost sharing requirement, contribute a 

non-federal share) equal to the amount seized in order to fully implement the grant project.

11. If a governmental entity– 

a) it will comply with the requirements of the Uniform Relocation Assistance and Real Property 

Acquisitions Act of 1970 (42 U.S.C. § 4601 et seq.), which govern the treatment of persons displaced 

as a result of federal and federally-assisted programs; and 

b) it will comply with the requirements of 5 U.S.C.§§ 1501-08 and §§7324-28, which limit certain 

political activities of State or local government employees whose principal employment is in 

connection with an activity financed in whole or in part by federal assistance.

12. It will not provide any funding from this award (either directly or indirectly, whether by way of a 

contract, subaward, or other means) either to 1) the Association of Community Organizations for 

Reform Now (ACORN) or, 2) an ACORN subsidiary.  

False statements or claims made in connection with these grants (including cooperative agreements) 

may result in fines, imprisonment, debarment from participating in federal grants or contracts, and/or 

any other remedy available by law.

I certify that the assurances provided are true and accurate to the best of my knowledge.

Elections or other selections of new officials will not relieve the grantee entity of its obligations under 

this grant.

Type/Print Name and Title of Chief Executive of Government or other Entity 

___________________________________________________________________

Signature ______________________________ Date ____________________

 (Chief Executive of Government or other Entity)

 
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Certifications

Certifications Regarding Lobbying; Debarment, Suspension and Other Responsibility Matters; Drug-Free 

Workplace Requirements; Coordination with Affected Agencies.

Although the Department of Justice has made every effort to simplify the application process, other 

provisions of federal law require us to seek the applicant’s 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. 

Signing this form complies with certification requirements under 28 C.F.R. Part 69, “New Restrictions 

on Lobbying,” 2 C.F.R. Part 2867, “Nonprocurement Debarment and Suspension” 28 C.F.R. Part 83 

Government-Wide Requirements for Drug-Free Workplace (Grants),” and the coordination 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 C.F.R. Part 69, for persons 

entering into a grant or cooperative agreement over $100,000, as defined at 28 C.F.R. 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; and

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)

Pursuant to Executive Order 12549, Debarment and Suspension, and implemented at 2 C.F.R. Part 2867, 

for prospective participants in primary covered transactions, as defined at 2 C.F.R. Section 2867.20(a), 

and other requirements, the applicant certifies that it and its principals:

A. 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;
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B. Have not within a three-year period preceding this application been convicted of a felony 

criminal violation under any Federal law, or been convicted 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 a public (federal, state or local) or private agreement or 

transaction; violation of federal or state antitrust statutes or commission of embezzlement, theft, 

forgery, bribery, falsification or destruction of records, making false statements, tax evasion or 

receiving stolen property, making false claims, or obstruction of justice, or commission of any 

offense indicating a lack of business integrity or business honesty that seriously and directly 

affects your present responsibility;

C. 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

D. 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.

3.      Federal Taxes and Assessments

A.  If applicable, an applicant who receives an award in excess of $5,000,000 certifies that, to the 

best of its knowledge and belief, the applicant has filed all Federal tax returns required during 

the three years preceding the certification, has not been convicted of a criminal offense under 

the Internal Revenue Code of 1986, and has not, more than 90 days prior to certification, been 

notified of any unpaid Federal tax assessment for which the liability remains unsatisfied, unless 

the assessment is the subject of an installment agreement or offer in compromise that has been 

approved by the Internal Revenue Service and is not in default, or the assessment is the subject 

of a non-frivolous administrative or judicial proceeding.

B.  The applicant certifies that it does not have any unpaid Federal tax liability that has been 

assessed, for which all judicial and administrative remedies have been exhausted or have lapsed, 

and that is not being paid in a timely manner pursuant to an agreement with the authority 

responsible for collecting the tax liability.

4. Drug-Free Workplace (Grantees Other Than Individuals)

As required by the Drug-Free Workplace Act of 1988, and implemented at 28 C.F.R. Part 83, for grantees/

recipients, as defined at 28 C.F.R. Section 83.660 -

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; 
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(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 the 

following: 

•	 For COPS awards: USDOJ, COPS Office, 145 N Street NE, Washington, D.C., 20530. 

•	 For OJP and OVW awards: USDOJ, Office of Justice Programs, ATTN: Control Desk, 810 7th 

St. NW, Washington, D.C., 20531

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 applicant further certifies that it will identify all known workplaces under each Department of 

Justice award, in accordance with the provisions at 28 C.F.R. Section 83.230.

5. 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. 

Where the applicant is unable to certify to any of the statements in this Certifications form, he or she shall 

attach an explanation to this application regarding the particular statement that cannot be certified. Please 

note that the applicant is still required to certify to all the other applicable statements.
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False statements or claims made in connection with DOJ grants (including cooperative agreements) 

may result in fines, imprisonment, debarment from participating in federal grants or contracts, and/or 

any other remedy available by law.

I certify that the assurances provided are true and accurate to the best of my knowledge.

Elections or other selections of new officials will not relieve the grantee entity of its obligations under 

this grant.

Type/Print Name and Title of Chief Executive of Government or other Entity 

______________________________________________________________

Signature ______________________________ Date ____________________

(Chief Executive of Government or other Entity)
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Appendix C – Community Policing Defined

Community policing is a philosophy that promotes organizational strategies that support the 

systematic use of partnerships and problem-solving techniques, to proactively address the immediate 

conditions that give rise to public safety issues such as crime, social disorder, and fear of crime. 

Community policing is comprised of three key components:

•	 Community Partnerships

•	 Organizational Transformation

•	 Problem Solving

Community Partnerships 

Collaborative partnerships between the law enforcement agency and the individuals and organizations 

they serve to develop solutions to problems and increase trust in police.

Community policing, recognizing that police rarely can solve public safety problems alone, encourages 

interactive partnerships with relevant stakeholders. The range of potential partners is large and these 

partnerships can be used to accomplish the two interrelated goals of developing solutions to problems 

through collaborative problem solving and improving public trust. The public should play a role in 

prioritizing and addressing public safety problems.

Other Government Agencies

Law enforcement organizations can partner with a number of other government agencies to identify 

community concerns and offer alternative solutions. Examples of agencies include legislative bodies, 

prosecutors, probation and parole, public works departments, neighboring law enforcement agencies, 

health and human services, child support services, ordinance enforcement, and schools.

Community Members/Groups

Individuals who live, work, or otherwise have an interest in the community—volunteers, activists, 

formal and informal community leaders, residents, visitors and tourists, and commuters—are a valuable 

resource for identifying community concerns. These factions of the community can be engaged in 

achieving specific goals at town hall meetings, neighborhood association meetings, decentralized 

offices/storefronts in the community, and team beat assignments.

Nonprofits/Service Providers

Advocacy and community-based organizations that provide services to the community and advocate 

on its behalf can be powerful partners. These groups often work with or are composed of individuals 

who share common interests and can include such entities as victims groups, service clubs, support 

groups, issue groups, advocacy groups, community development corporations, and the faith 

community.

Private Businesses

For-profit businesses also have a great stake in the health of the community and can be key partners 

because they often bring considerable resources to bear in addressing problems of mutual concern. 

Businesses can help identify problems and provide resources for responses, often including their own 

security technology and community outreach. The local chamber of commerce and visitor centers can 

also assist in disseminating information about police and business partnerships and initiatives, and 

crime prevention practices.
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Media

The media represent a powerful mechanism by which to communicate with the community. They can 

assist with publicizing community concerns and available solutions, such as services from government 

or community agencies or new laws or codes that will be enforced. In addition, the media can have a 

significant impact on public perceptions of the police, crime problems, and fear of crime.

Organizational Transformation 

The alignment of organizational management, structure, personnel, and information systems to support 

community partnerships and proactive problem-solving efforts.

The community policing philosophy focuses on the way that departments are organized and managed 

and how the infrastructure can be changed to support the philosophical shift behind community 

policing. It encourages the application of modern management practices to increase efficiency and 

effectiveness. Community policing emphasizes changes in organizational structures to institutionalize 

its adoption and infuse it throughout the entire department, including the way it is managed and 

organized, its personnel, and its technology.

Agency Management

Under the community policing model, police management infuses community policing ideals 

throughout the agency by making a number of critical changes in climate and culture, leadership, 

formal labor relations, decentralized decision-making and accountability, strategic planning, policing 

and procedures, organizational evaluations, and increased transparency.

Climate and culture

Changing the climate and culture means supporting a proactive orientation that values systematic 

problem solving and partnerships. Formal organizational changes should support the informal 

networks and communication that take place within agencies to support this orientation.

Leadership

Leaders serve as role models for taking risks and building collaborative relationships to implement 

community policing and they use their position to influence and educate others about it. Leaders, 

therefore, must constantly emphasize and reinforce community policing’s vision, values, and mission 

within their organization and support and articulate a commitment to community policing as the 

predominant way of doing business.

Labor relations

If community policing is going to be effective, police unions and similar forms of organized labor must 

be a part of the process and function as partners in the adoption of the community policing philosophy. 

Including labor groups in agency changes can ensure support for the changes that are imperative to 

community policing implementation.
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Decision-making

Community policing calls for decentralization both in command structure and decision-making. 

Decentralized decision-making allows front-line officers to take responsibility for their role in 

community policing. When an officer is able to create solutions to problems and take risks, he or she 

ultimately feels accountable for those solutions and assumes a greater responsibility for the well-being 

of the community. Decentralized decision-making involves flattening the hierarchy of the agency, 

increasing tolerance for risk-taking in problem-solving efforts, and allowing officers discretion in 

handling calls. In addition, providing sufficient authority to coordinate various resources to attack a 

problem and allowing officers the autonomy to establish relationships with the community will help 

define problems and develop possible solutions.

Strategic planning

The department should have a written statement reflecting a department-wide commitment to 

community policing and a plan that matches operational needs to available resources and expertise. If a 

strategic plan is to have value, the members of the organization should be well-versed in it and be able 

to give examples of their efforts that support the plan. Components such as the organization’s mission 

and values statement should be simple and communicated widely. 

Policies

Community policing affects the nature and development of department policies and procedures to 

ensure that community policing principles and practices have an effect on activities on the street. 

Problem solving and partnerships, therefore, should become institutionalized in policies, along with 

corresponding sets of procedures, where appropriate.

Organizational evaluations

In addition to the typical measures of police performance (arrests, response times, tickets issued, 

and crime rates) community policing calls for a broadening of police outcome measures to include 

such things as greater community satisfaction, less fear of crime, the alleviation of problems, and 

improvement in quality of life. Community policing calls for a more sophisticated approach to 

evaluation—one that looks at how feedback information is used, not only how outcomes are measured.

Transparency

Community policing involves decision-making processes that are more open than traditional policing. 

If the community is to be a full partner, the department needs mechanisms for readily sharing relevant 

information on crime and social disorder problems and police operations with the community.

Organizational Structure

It is important that the organizational structure of the agency ensures that local patrol officers have 

decision-making authority and are accountable for their actions. This can be achieved through long-term 

assignments, the development of officers who are “generalists,” and using special units appropriately.

Geographic assignment of officers

With community policing, there is a shift to the long-term assignment of officers to specific 

neighborhoods or areas. Geographic deployment plans can help enhance customer service and 

facilitate more contact between police and citizens, thus establishing a strong relationship and mutual 

accountability. Beat boundaries should correspond to neighborhood boundaries and other government 

services should recognize these boundaries when coordinating government public-service activities.
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Despecialization

To achieve community policing goals, officers have to be able to handle multiple responsibilities and 

take a team approach to collaborative problem solving and partnering with the community. Community 

policing encourages its adoption agency-wide, not just by special units, although there may be a need 

for some specialist units that are tasked with identifying and solving particularly complex problems or 

managing complex partnerships.

Resources and finances

Agencies have to devote the necessary human and financial resources to support community policing 

to ensure that problem-solving efforts are robust and that partnerships are sustained and effective.

Personnel

The principles of community policing need to be infused throughout the entire personnel system of an 

agency including recruitment, hiring, selection, and retention of all law enforcement agency staff, from 

sworn officers to civilians and volunteers. Personnel evaluations, supervision, and training must also be 

aligned with the agencies’ community policing values.

Recruitment, hiring, and selection

Agencies need a systematic means of incorporating community policing elements into their 

recruitment, selection, and hiring processes. Job descriptions should recognize community policing and 

problem-solving responsibilities and encourage the recruitment of officers who have a “spirit of service,” 

instead of only a “spirit of adventure.” A community policing agency also has to thoughtfully examine 

where it is seeking recruits, whom it is recruiting and hiring, and what is being tested. Agencies are also 

encouraged to seek community involvement in this process through the identification of competencies 

and participation in review boards.

Personnel supervision/evaluations

Supervisors must tie performance evaluations to community policing principles and activities that are 

incorporated into job descriptions. Performance, reward, and promotional procedures should support 

sound problem-solving activities, proactive policing, community collaboration, and citizen satisfaction 

with police services.

Training

Training at all levels—academy, field, and in-service—must support community policing principles 

and tactics. It also needs to encourage creative thinking, a proactive orientation, communication and 

analytical skills, and techniques for dealing with quality-of-life concerns and maintaining order. Officers 

can be trained to identify and correct conditions that could lead to crime, raise public awareness, and 

engage the community in finding solutions to problems. Field training officers and supervisors need to 

learn how to encourage problem solving and help officers learn from other problem-solving initiatives. 

Until community policing is institutionalized in the organization, training in its fundamental principles 

will need to take place regularly.

Information Systems (Technology) 

Community policing is information-intensive and technology plays a central role in helping to provide 

ready access to quality information. Accurate and timely information makes problem-solving efforts 

more effective and ensures that officers are informed about the crime and community conditions 

of their beat. In addition, technological enhancements can greatly assist with improving two-way 

communication with citizens and in developing agency accountability systems and performance 

outcome measures.
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Communication/access to data

Technology provides agencies with an important forum by which to communicate externally with 

the public and internally with their own staff. To communicate with the public, community policing 

encourages agencies to develop two-way communication systems through the Internet that allow 

for online reports, reverse 911 and e-mail alerts, discussion forums, and feedback on interactive 

applications (surveys, maps), thereby creating ongoing dialogues and increasing transparency.

Technology encourages effective internal communication through memoranda, reports, newsletters, 

e-mail and enhanced incident reporting, dispatch functions, and communications interoperability with 

other entities for more efficient operations. Community policing also encourages the use of technology 

to develop accountability and performance measurement systems that are timely and contain accurate 

metrics and a broad array of measures and information.

Community policing encourages the use of technology to provide officers with ready access to 

timely information on crime and community characteristics within their beats, either through laptop 

computers in their patrol cars or through personal data devices. In addition, technology can support 

crime/problem analysis functions by enabling agencies to gather more detailed information about 

offenders, victims, crime locations, and quality-of-life concerns, and to further enhance analysis.

Quality and accuracy of data

Information is only as good as its source and, therefore, it is not useful if it is of questionable quality 

and accuracy. Community policing encourages agencies to put safeguards in place to ensure that 

information from various sources is collected in a systematic fashion and entered into central systems 

that are linked to one another and checked for accuracy so that it can be used effectively for strategic 

planning, problem solving, and performance measurement.

Problem Solving

The process of engaging in the proactive and systematic examination of identified problems to develop 

and evaluate effective responses.

Community policing emphasizes proactive problem solving in a systematic and routine fashion. Rather 

than responding to crime only after it occurs, community policing encourages agencies to proactively 

develop solutions to the immediate underlying conditions contributing to public safety problems. 

Problem solving must be infused into all police operations and guide decision-making efforts. Agencies 

are encouraged to think innovatively about their responses and view making arrests as only one of 

a wide array of potential responses. A major conceptual vehicle for helping officers to think about 

problem solving in a structured and disciplined way is the SARA (Scanning, Analysis, Response, and 

Assessment) problem-solving model.

Scanning: Identifying and prioritizing problems

The objectives of scanning are to identify a basic problem, determine the nature of that problem, 

determine the scope of seriousness of the problem, and establish baseline measures. An inclusive list 

of stakeholders for the selected problem is typically identified in this phase. A problem can be thought 

of as two or more incidents similar in one or more ways and that is of concern to the police and the 

community. Problems can be a type of behavior, a place, a person or persons, a special event or time, 

or a combination of any of these. The police, with input from the community, should identify and 

prioritize concerns.
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Analysis: Researching what is known about the problem

Analysis is the heart of the problem-solving process. The objectives of analysis are to develop an 

understanding of the dynamics of the problem, develop an understanding of the limits of current 

responses, establish correlation, and develop an understanding of cause and effect. As part of the 

analysis phase, it is important to find out as much as possible about each aspect of the crime triangle by 

asking Who?, What?, When?, Where?, How?, Why?, and Why Not? about the victim, offender, and crime 

location.

Response: Developing solutions to bring about lasting reductions in the 

number and extent of problems

The response phase of the SARA model involves developing and implementing strategies to address 

an identified problem by searching for strategic responses that are both broad and uninhibited. The 

response should follow logically from the knowledge learned during the analysis and should be tailored 

to the specific problem. The goals of the response can range from either totally eliminating the problem, 

substantially reducing the problem, reducing the amount of harm caused by the problem, or improving 

the quality of community cohesion.

Assessment: Evaluating the success of the responses

Assessment attempts to determine if the response strategies were successful by understanding if the 

problem declined and if the response contributed to the decline. This information not only assists the 

current effort but also gathers data that build knowledge for the future. Strategies and programs can be 

assessed for process, outcomes, or both. If the responses implemented are not effective, the information 

gathered during analysis should be reviewed. New information may have to be collected before new 

solutions can be developed and tested. The entire process should be viewed as circular rather than 

linear, meaning that additional scanning, analysis, or responses may be required.

Using the crime triangle to focus on immediate conditions (victim/

offender/ location)

To understand a problem, many problem solvers have found it useful to visualize links among the 

victim, offender, and location (the crime triangle) and those factors that could have an impact on 

them, for example, capable guardians for victims (e.g., security guards, teachers, and neighbors), 

handlers for offenders (e.g., parents, friends, and probation), and managers for locations (e.g., 

business merchants, park employees, and motel clerks). Rather than focusing primarily on addressing 

the root causes of a problem, the police focus on the factors that are within their reach, such as 

limiting criminal opportunities and access to victims, increasing guardianship, and associating risk 

with unwanted behavior.
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Appendix D – National Institute of Justice (NIJ) Bulletproof Vest 

Standards

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 Law Enforcement and Corrections Technology Center (NLECTC) 

2277 Research Boulevard

Rockville, MD 20850

800.248.2742

The publication may also be downloaded from the Center’s website: www.justnet.org/Pages/home.aspx

“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-1970s. 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 

(40 gr), 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.

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.
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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.
U.S. Department of Justice

Office of Community Oriented Policing Services

145 N Street, N.E.

Washington, DC 20530

To obtain details on COPS programs, call the COPS Office Response Center at 800.421.6770.

Visit COPS Online at www.cops.usdoj.gov.

September 2012