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

www.cops.usdoj.gov

2016 COPS Hiring Program (CHP)

Award Owner’s Manual
2016 COPS Hiring Program (CHP) Award Owner’s Manual

i 

2016 COPS Hiring Program (CHP) Award Owner’s 

Manual

This manual was created to assist COPS Hiring Program (CHP) recipients with the administrative and financial 

matters associated with their award. 

For more information about your CHP award, please contact your COPS Office Grant Program Specialist. If you 

do not know the name or telephone number of your Grant Program Specialist, 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 NE

Washington, DC 20530

Visit the COPS Office online: www.cops.usdoj.gov

Published September 2016 
2016 COPS Hiring Program (CHP) Award Owner’s Manual

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Contents

Getting Started ........................................................................................................................................................................... 1

I. Award Acceptance, Terms, and Conditions .................................................................................................................. 3

The award document .......................................................................................................................................................... 3

Award conditions .................................................................................................................................................................. 4

What are the specific rules regarding termination of award funding? .......................................................... 34

Accepting the award ........................................................................................................................................................ 34

Who should sign the award document for our agency? ..................................................................................... 35

By when must the award document be signed? .................................................................................................... 35

II. Accessing Award Funds ................................................................................................................................................... 36

Payment method ............................................................................................................................................................... 36

Setting up your account .................................................................................................................................................. 36

Additional payment questions ..................................................................................................................................... 37

III. Financial Record Maintenance ..................................................................................................................................... 39

Accounting systems and records ................................................................................................................................. 39

IV. Federal Audit Requirements ......................................................................................................................................... 41

Single Audit Act (SAA) requirements .......................................................................................................................... 41

Office of Inspector General (OIG) recipient audits ................................................................................................. 42

Typical audit findings ....................................................................................................................................................... 43

V. Reports ................................................................................................................................................................................... 45

Federal Financial Reports ................................................................................................................................................ 45

Program Progress Reports .............................................................................................................................................. 46

Contact points to obtain technical assistance and report violations .............................................................. 48

VI. Community Policing Activities ..................................................................................................................................... 49

VII. When the Award Period Has Ended .......................................................................................................................... 50

Final Federal Financial Report ....................................................................................................................................... 50

Final Program Progress (Closeout) Report................................................................................................................ 50
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VIII. Conclusion ........................................................................................................................................................................ 52

Appendices ............................................................................................................................................................................... 53

Appendix A. List of source documents ...................................................................................................................... 53

Appendix B. Assurances and Certifications .............................................................................................................. 54

Appendix C. Community policing defined ............................................................................................................... 62

Appendix D. COPS Hiring Program (CHP) file management: Documents to maintain in CHP award 

file ............................................................................................................................................................................................ 69

Appendix E. Memorandum of Understanding guidance .................................................................................... 74

Appendix F. Whistleblower protection (41 U.S.C. 4712) ...................................................................................... 77

Appendix G. 2 CFR Appendix II to Part 200: Contract provisions for nonfederal entity contracts under 

federal awards ..................................................................................................................................................................... 81

Appendix H. Remittance of Interest Earned Amounts ......................................................................................... 83

Glossary of Terms .................................................................................................................................................................... 84

COPS Office Resources .......................................................................................................................................................... 89

Websites ................................................................................................................................................................................ 89

Publications ......................................................................................................................................................................... 89

References ................................................................................................................................................................................. 90
2016 COPS Hiring Program (CHP) Award Owner’s Manual

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Getting Started

Congratulations on receiving an award from the U.S. Department of Justice, Office of Community Oriented 

Policing Services (COPS Office). COPS Hiring Program (CHP) awards provide funding directly to law enforcement 

agencies to hire or rehire career law enforcement officers for the advancement of public safety through an 

increase in their community policing capacity and crime prevention efforts.

2016 CHP awards will cover up to 75 percent of the approved entry-level salary and fringe benefits of each newly 

hired or rehired full-time sworn career law enforcement officer over the three-year (36-month) award period, 

with a minimum 25 percent local cash match requirement and a maximum federal share of $125,000 per officer 

position. CHP award funding is based on your agency’s entry-level salary and fringe benefits for full-time officers 

at the time of the award application. Any additional costs above the approved entry-level salaries and fringe 

benefits are the responsibility of the recipient agency. Furthermore, all award recipients must retain any CHPfunded officer positions for at least 12 months after the 36 months of federal funding has ended for each 

position.

Funding under this program may be used to do the following: 

• Hire new officers, which includes filling existing officer vacancies that are no longer funded in your agency’s 

budget. These positions must be in addition to your current budgeted (funded) level of sworn officer 

positions, and the officers must be hired on or after the official award start date as it appears on your 

agency’s award document. 

• Rehire officers laid off by any jurisdiction as a result of state, local, or Bureau of Indian Affairs (BIA) budget 

reductions. The rehired officers must be rehired on or after the official award start date as it appears on your 

agency’s award document. Documentation must be maintained showing the date(s) that the positions were 

laid off and rehired.

• Rehire officers who were, at the time of award application, scheduled to be laid off (by your jurisdiction) on a 

specific future date as a result of state, local, or BIA budget reductions. Recipients will be required to continue 

funding the positions with local funding until the date(s) of the scheduled layoffs. The dates of the 

scheduled layoffs and the number of positions affected must have been identified in the 2016 CHP 

application. In addition, documentation must be maintained detailing the dates and reason(s) for the 

layoffs. Furthermore, agencies are required to maintain documentation demonstrating that the scheduled 

layoffs are occurring for local economic reasons unrelated to the availability of CHP award funds. Such 

documentation may include local council meeting minutes, memoranda, notices, or orders discussing the 

layoffs, budget documents ordering jurisdiction-wide budget reductions, or notices provided to the 

individual officers regarding the layoffs.

The allowable uses of your agency’s CHP awards are specified on the CHP Financial Clearance Memorandum

(FCM). If your agency’s local fiscal conditions have changed since submitting the 2016 CHP application and your 

agency wishes to modify its CHP award to reprogram awarded funding into a different hiring funding category, 

please refer to page 9 of this manual for detailed information on requesting a post-award modification.

This CHP Award Owner’s Manual will assist your agency with the administrative and financial matters associated 

with your award. It was developed by the COPS Office to ensure that all CHP recipients clearly understand and 

meet the requirements of their award. Please review this manual carefully because a failure to follow award 

requirements can have serious ramifications. Please do not hesitate to call the COPS Office Response Center at 

800-421-6770 if you need assistance with the implementation of your award. 
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Please note that the Federal Bureau of Investigation (FBI) is retiring the current Summary Reporting System (SRS) 

and will transition to an all-National Incident-Based Reporting System (NIBRS) data collection system within the 

next five years. The transition to NIBRS will provide a more complete and accurate picture of crime at the 

national, state, and local level. Beginning in 2021, the FBI will no longer collect summary data and will only 

accept data in the NIBRS format, and COPS Office awards will be based on submitted NIBRS data. Transitioning 

all law enforcement agencies to NIBRS is the first step in gathering more comprehensive crime data. The COPS 

Office encourages its award recipients to submit NIBRS data to the FBI Criminal Justice Information Services 

Division in a timely manner, thereby ensuring sufficient and complete crime and arrest data is available for 

consideration. For more information regarding NIBRS reporting, please see https://www.fbi.gov/aboutus/cjis/ucr/nibrs-overview. 

When your agency applied for CHP funding, your agency was required to certify compliance with all applicable 

federal laws. In that regard, members of Congress have asked the U.S. Department of Justice (DOJ) to examine 

whether jurisdictions with “sanctuary policies” (i.e., policies that either prevent law enforcement from releasing 

persons without lawful immigration status into federal custody for deportation or policies that prevent state or 

local law enforcement from sharing certain information with U.S. Department of Homeland Security (DHS) 

officials), are in violation of 8 U.S.C. §1373. For that reason, all recipients for this program should understand that 

if the COPS Office receives information which indicates that a recipient may be in violation of 8 U.S.C. §1373 (or 

any other applicable federal law) that recipient may be referred to the DOJ Office of the Inspector General (OIG) 

for investigation. If the recipient is found to be in violation of an applicable federal law by the OIG, the recipient 

may be subject to criminal and civil penalties in addition to relevant DOJ programmatic penalties including 

suspension or termination of funds, inclusion on the high risk list, repayment of funds, or suspension and 

debarment.

Thank you for providing us with the opportunity to work in partnership with your community.
2016 COPS Hiring Program (CHP) Award Owner’s Manual

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I. Award Acceptance, Terms, and Conditions

To officially accept and begin your COPS Hiring Program award, your agency must access www.cops.usdoj.gov

and select the “Account Access” link in the upper-right corner to log in, review, and electronically sign the award 

document (including the award terms and conditions), the Financial Clearance Memorandum and, if applicable, 

the special award conditions or high risk conditions within 90 days of the date shown on the award 

congratulatory letter.

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

document. For more information on drawing down award funds, please see section II, “Accessing Award Funds,” 

on page 36 of this manual.

The award document

The award document is the document indicating your official award funding amount, the number of officer 

positions awarded, the type of positions awarded, the award number, the award conditions, and the award start 

and end dates.

The award document is pre-printed with your agency’s law enforcement and government executives’ names. If 

this information is incorrect or has changed, please update your “Agency Contacts” online at 

www.cops.usdoj.gov through the “Account Access” link. If the law enforcement or government official has 

changed since the time of application, please have the current law enforcement executive or government 

executive for your agency create an account through the “Account Access” link, log in, and sign the award 

document once your agency contacts have been updated online. Once you have reviewed your award 

document, please electronically sign it and make a copy of all pages of the document for your records, along 

with all award condition pages, within 90 days of the date shown on the award congratulatory letter. Please see 

“Accepting the award” on page 34 of this manual.

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 your CHP award is three years (36 months) of 

funding for each position awarded.

Your award number is in the following format: 2016-ULWX-0000 or 2016-UMWX-0000 for awards funded in 

Fiscal Year (FY) 2016. The COPS Office tracks award information based upon this number. Therefore, it is 

important to have your agency’s award number (or your agency’s ORI number) readily available when 

corresponding with the COPS Office.

Your originating agency identifier (ORI) number begins with your state abbreviation followed by five numbers 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 award information based 

upon this ORI number. If your agency does not have an ORI number assigned by the FBI, the COPS Office will 

assign a non-official ORI code to use as an agency identifier (in such cases, the last two characters will be “ZZ”). If 

you have any questions regarding your award, please refer to your award number or your agency’s ORI number 

when you contact the COPS Office. 
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Your Office of Justice Programs (OJP) vendor number, in most circumstances, is your agency’s nine- or 13-digit 

federal tax identification number assigned to you by the Internal Revenue Service (IRS). 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 program, and should not be used for IRS purposes.

Award conditions 

The award conditions are listed on your agency’s award document. By accepting this award, you are obtaining 

federal funds from the COPS Office. As part of that agreement, your agency acknowledges that it will comply 

with these conditions (and, if applicable, additional special or high risk conditions specific to your agency). The 

section that follows describes, in detail, all of the award conditions, their rationales, and their implications. It also 

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

conditions, please contact your COPS Office Grant Program Specialist at 800-421-6770.

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

from drawing down or accessing award funds until the special conditions are satisfied, as determined by the 

COPS Office. Any special or high risk conditions will be included with your award, which may be accessed at 

www.cops.usdoj.gov via the “Account Access” link. However, if you have questions about the special 

conditions, please call your COPS Office Grant Program Specialist at 800-421-6770.

Reasons for award conditions

The requirements of your CHP award 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 CHP programmatic requirements established by the COPS Office.

A list of source documents for this manual is provided in appendix A on page 53. You may request copies of any 

source reference document from: 

Office of Administration, Publication Unit

New Executive Office Building

725 17th Street NW, Room G 236

Washington, DC 20503

COPS Office-specific documents may be requested directly from the COPS Office.
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Review of award conditions

By signing the award document to accept this COPS Hiring Program award, your agency agrees to abide by the 

following award conditions:

1. Award Owner’s Manual

Condition:

The recipient agrees to comply with the terms and conditions in the 2016 CHP Award Owner's Manual; COPS Office 

statute (42 U.S.C. § 3796dd, et seq.); the requirements of 2 C.F.R. Part 200 (Uniform Administrative Requirements, Cost 

Principles, and Audit Requirements for Federal Awards) as adopted by the U.S. Department of Justice in 2 C.F.R. § 

2800.101; 48 C.F.R. Part 31 (FAR Part 31) as applicable (Contract Cost Principles and Procedures); representations 

made in the CHP award application; 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 award. Your agency will be responsible for the information and rules contained in this manual and for 

implementing your award in compliance with the applicable terms, conditions, and regulations. More detailed 

guidance regarding any particular award requirement or your agency’s specific circumstances can be requested 

through your COPS Office Grant Program Specialist.

What you should do:

Please read the entire CHP Award Owner’s Manual carefully prior to signing the award document. If you have 

any questions, please contact your COPS Office Grant Program Specialist. When accepting your award, you 

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

2. Assurances and Certifications

Condition:

The recipient acknowledges its agreement to comply with the Assurances and Certifications forms that were signed as 

part of its CHP application.

Why this condition:

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

several provisions of federal law require us to obtain the recipient’s signed Assurances and Certifications 

regarding certain matters. Most of the Assurances and Certifications apply to all federal award programs.

What you should do:

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

time of application and application update. Signing these documents assures the COPS Office that you have 

read, understood, and accepted the award terms and conditions outlined in the Assurances and Certifications. 

Please read these documents carefully, because signatures on these documents are treated as a material 

representation of fact upon which reliance was placed when the U.S. Department of Justice determined whether 
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to fund the covered award. Additional copies of the Assurances and Certifications forms are contained in 

appendix B on page 54 of this manual. If you have any questions about them, please contact your COPS Office 

Grant Program Specialist at 800-421-6770.

3. Allowable Costs

Condition:

The funding under this project is for the payment of approved full-time entry-level salaries and fringe benefits over 

three years (for a total of 36 months of funding) up to a maximum federal share of $125,000 per officer position for 

career law enforcement officer positions hired and/or rehired on or after the official award start date. Any salary and 

fringe benefit costs higher than entry-level that your agency pays a CHP-funded officer must be paid with local funds.

Your agency is required to use CHP award funds for the specific hiring categories awarded. Funding under this 

program may be used for the following categories:

• Hiring new officers, which includes filling existing officer vacancies that are no longer funded in your agency’s 

budget;

• Rehiring officers laid off by any jurisdiction as a result of state, local, or Bureau of Indian Affairs (BIA) budget 

reductions; and/or

• Rehiring officers who were, at the time of award application, scheduled to be laid off (by your jurisdiction) on a 

specific future date as a result of state, local, or BIA budget reductions.

If your agency’s local fiscal conditions have changed and your agency needs to change one or more of the funded 

hiring categories, your agency should request a post-award award modification and receive prior approval before 

spending CHP funding under the new category.

The Financial Clearance Memorandum (FCM), included in your award package, specifies the amount of CHP funds 

awarded to your agency. You should carefully review your FCM, which contains the final officer salary and fringe 

benefit categories and amounts for which your agency was approved. Please note that the salary and fringe benefit 

costs requested in your CHP application may have been adjusted or removed. Your agency may only be reimbursed for 

the approved cost categories that are documented within the FCM, up to the amounts specified in the FCM. Your 

agency may not use CHP funds for any costs that are not identified as allowable in the Financial Clearance 

Memorandum.

Only actual allowable costs incurred during the award period will be eligible for reimbursement and drawdown. If 

your agency experiences any cost savings over the course of the award (for example, your award 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 award beyond 36 months. Any funds remaining after your agency has drawn 

down for the costs of approved salaries and fringe benefits incurred for each awarded position during the 36-month 

funding period will be deobligated during the closeout process and should not be spent by your agency.

Why this condition:

CHP funds may only be used to pay for entry-level salaries and fringe benefits for 36 months for full-time career 

law enforcement officers hired or rehired on or after the award start date. You may use the CHP award to hire or 

rehire experienced officers, but award 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.
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What you should do:

All recipients should keep and maintain the most recent, approved version of your 2016 CHP application. To 

view and print this document, you can log into your account at www.cops.usdoj.gov. Please select “COPS 

Applications” from the menu of services and click on the “Print” icon to download the most recent version of 

your application in .pdf format.

Refer to your FCM for the list of approved allowable costs. Salaries covered by CHP 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 benefit 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 III of this manual on page 39. Any additional costs above the approved 

entry-level salaries and fringe benefits are the responsibility of the recipient agency. Civilian positions, salaries 

and fringe benefits of part-time officer positions, overtime, training, weapons, communication equipment, and 

vehicles cannot be funded with your CHP award. 

CHP award funding may 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.

Please be advised that recipients may not use COPS Office funding for the same item or service also funded by another 

U.S. Department of Justice award. See also award condition #13 on page 16 “Duplicative Funding”.

4. Supplementing, Not Supplanting

Condition:

State, local, and tribal government recipients must use CHP funds to supplement, and not supplant, state, local, or 

Bureau of Indian Affairs (BIA) funds that are already committed or otherwise would have been committed for award 

purposes (officer hiring) during the award period. In other words, state, local, and tribal government recipients may 

not use COPS Office funds to supplant (replace) state, local, or BIA funds that would have been dedicated to the COPS 

Office-funded item(s) in the absence of the COPS Office award.

Why this condition:

The COPS Office statutory nonsupplanting requirement mandates that award funds will not be used to replace 

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

available for the award purposes. Instead, CHP award funds must be used to increase the total amount of funds 

that would otherwise be made available for hiring or rehiring law enforcement officers.

What you should do:

Award recipients may not reduce their sworn officer budget just to take advantage of the CHP award. Any 

budget reductions must be for fiscal or other reasons unrelated to the receipt of CHP award funds to avoid a 

violation of the nonsupplanting requirement.

Award recipients may not reduce their locally funded number of sworn officer positions during the three-year 

CHP award period as a direct result of receiving CHP funding. Reductions in locally funded sworn officer 

positions that occur for reasons unrelated to CHP funding—such as citywide budget reductions—do not violate 
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the nonsupplanting requirement, but recipients must maintain documentation demonstrating the date(s) and 

reason(s) for the budget reductions to prove that they were unrelated to the receipt of CHP funding in the event 

of an audit, monitoring site visit, or other form of award compliance review.

Under CHP, the nonsupplanting requirement means that an award recipient receiving CHP funds to hire a new 

officer position, including filling an existing officer vacancy that is no longer funded in the recipient’s local 

budget, must hire the additional position on or after the official award start date, above its current budgeted 

(funded) level of sworn officer positions. 

The nonsupplanting requirement also means that an award recipient receiving CHP funds to rehire an officer 

laid off as a result of state, local, or BIA budget reductions must rehire the officer on or after the official award 

start date. The award recipient must maintain documentation in its CHP award file showing the dates that the 

officer was laid off and rehired.

In addition, the nonsupplanting requirement means that an award recipient that receives CHP funds to rehire an 

officer who was, at the time of award application, scheduled to be laid off on a specific future date as a result of 

state, local, or BIA budget reductions, must continue to fund the officer with its own funds through the award 

start date until the date of the scheduled layoff. [For example, if the award start date is July 1 and the layoff is 

scheduled for November 1, then the COPS Office funds may not be used to fund the officer until November 1, 

the date of the scheduled layoff.] Your agency must have identified the date(s) of the scheduled layoffs and the 

number of officers to be laid off in its application. Award recipients must maintain documentation showing the 

date(s) and reason(s) for the layoffs, the number of officers laid off, the number of officers rehired, and the dates 

the officers were rehired. [Please note that your agency may rehire the officers scheduled for layoff with CHP 

funding on or immediately after the date of the scheduled layoff. Unless required by your jurisdiction, your 

agency is not required to formally complete the administrative steps associated with the layoff of the individual 

officers you are seeking to rehire so long as your agency can document that a final, approved budget decision 

was made to layoff those particular individual officers on the identified layoff date.]

Documentation that may be used to prove that scheduled layoffs or budget reductions are occurring for local 

economic reasons that are unrelated to the availability of CHP award funds may include (but are not limited to) 

council or departmental meeting minutes, memoranda, notices, or orders discussing the layoffs; notices 

provided to the individual officers regarding the date(s) of the layoffs; or final budget documents ordering 

departmental or jurisdiction-wide budget reductions. These records must be maintained with your agency’s CHP 

award records during the award period and for three years following the official closeout of the CHP award in 

the event of an audit, monitoring, or other evaluation of your award compliance.

For more information regarding complying with the nonsupplanting requirement, including implementing your 

award when you have locally funded vacancies, please see the Grant Monitoring Standards and Guidelines at 

www.cops.usdoj.gov/pdf/e081420661_Grant%20Monitoring_Final.pdf.

5. Extensions

Condition:

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

program. Such extensions do not provide additional funding. Awards may be extended a maximum of 36 months 

beyond the initial award expiration date. Any request for an extension beyond 36 months will be evaluated on a caseby-case basis. Only those recipients that can provide a reasonable justification for delays will be granted no-cost 
2016 COPS Hiring Program (CHP) Award Owner’s Manual

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extensions. Reasonable justifications may include difficulties in filling COPS Office-funded positions, officer turnover, 

or other circumstances that interrupt the 36 month award funding period. An extension allows your agency to 

compensate for such delays by providing additional time to complete the full 36 months of funding for each position 

awarded. Extension requests must be received prior to the end date of the award.

Why this condition: 

Under federal regulations, requests to extend the 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 award end date. However, if justified, the COPS Office seeks to accommodate 

reasonable requests for no-cost time extensions in order to fully implement the COPS Office award.

What you should do:

The COPS Office will contact your agency during the last quarter of the award period to determine whether a nocost time extension is needed; extensions will not be processed prior to 90 days of the award end date. Requests 

to extend the award period must be submitted online and received by the COPS Office before the official award 

end date. Extension requests received after the expiration date will only be considered when the recipient 

provides justification of extraordinary circumstances; an example of this would be an instance where an 

unforeseen natural disaster prevented a recipient from requesting an extension. Failure to submit a request for a 

no-cost time extension by the end date may result in the immediate deobligation of any remaining award funds.

If your agency has excess funds remaining at the end of the award due to salary and fringe benefits costs that 

were lower than anticipated, your agency may not extend the 36-month funding period for the purpose of 

expending those excess funds. Recipients 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 award 

funds during the closeout process. If you have any additional questions regarding a no-cost time extension, 

please contact your COPS Office Grant Program Specialist at 800-421-6770.

6. Modifications

Condition:

During the CHP award period, it may become necessary for an agency to modify its CHP award due to changes in an 

agency’s fiscal or law enforcement situation. Modification requests should be submitted to the COPS Office when an 

agency determines that it will need to shift officer positions awarded in one hiring category into a different hiring 

category, reduce the total number of positions awarded, shift funds among benefit categories, and/or reduce the 

entry-level salary and fringe benefit amounts. For example, an agency may have been awarded CHP funding for 10 

new, additional full-time sworn officer positions, but due to severe fiscal distress/constraints, the agency determines it 

is unable to sustain all 10 positions and must reduce its request to five full-time positions; or an agency may have been 

awarded CHP funding for two new, additional sworn officer positions, but due to fiscal distress/constraints the agency 

needs to change the hiring category from the new hire category to the rehire category for officers laid off or scheduled 

for layoff on a specific future date post-application. Award modifications under CHP are evaluated on a case-by-case 

basis. The COPS Office will only consider a modification request after an agency makes final, approved budget and/or 

personnel decisions. An agency may implement the modified award following written approval from the COPS Office. 

Please be aware that the COPS Office will not approve any modification request that results in an increase of federal 

funds.
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Why this condition:

Under federal regulations, you are required to expend federal funds only as approved in the FCM. In addition, 

under CHP you are expected to expend funding only for the specific hiring categories awarded, as indicated on 

your Award Document. Any requests to change or alter an award should be submitted to the COPS Office for 

prior approval. Following written approval from the COPS Office, implementation of the modified award may 

begin.

What you should do:

You should notify the COPS Office if you determine that your agency will need to change hiring categories, 

reduce the total number of positions awarded, or make other changes to the entry-level salary and benefit 

amounts or categories. To modify your award from the new hire category to the rehire category, your agency 

must complete a hiring category change modification and submit supporting documentation by accessing

www.cops.usdoj.gov and selecting the “Account Access” link in the upper right corner to log in and submit 

your request to the COPS Office through the Grants Management Portal, providing the proposed changes, 

details of why the change is needed, etc. 

For additional information about the process for submitting your specific award modification request, please 

contact your COPS Office Grant Program Specialist at 800-421-6770. The COPS Office will then evaluate your 

request and notify your agency of our decision in writing. Implementation of the modified award may begin 

following written approval from the COPS Office. Please note that modification approvals for active awards will 

often be accompanied by a modified award document reflecting the approved changes. If applicable, your 

agency is required to sign and submit the modified award document via the “Account Access” link to officially 

accept the award modification.

7. Evaluations

Condition:

The COPS Office may conduct monitoring or sponsor national evaluations of the CHP award. The recipient 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 which 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 CHP award. In some jurisdictions, COPS Office staff members 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.
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What you should do:

When evaluations are undertaken, you may be contacted in writing with specific requests for information. In 

general, evaluators may need to speak with individuals in your department, observe activities, and obtain 

written reports about and from your department. You will be asked to facilitate any site visits and information

gathering activities. In addition, you will be asked to provide accurate and timely information about your award

activities. You should fully comply with any requests made regarding these evaluations.

8. Reports/Performance Goals

Condition:

To assist the COPS Office in monitoring and tracking the performance of your award, your agency will be responsible 

for submitting quarterly programmatic progress reports that describe project activities during the reporting period 

and quarterly Federal Financial Reports using Standard Form 425 (SF-425). The progress report is used to track your 

agency’s progress toward implementing community policing strategies and to collect data to gauge the effectiveness 

of increasing your agency’s community policing capacity through COPS Office funding.

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 must 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 recipients.

What you should do:

This award condition is designed to make your agency aware of reporting requirements associated with CHP 

awards. Quarterly programmatic progress reports and a final programmatic closeout report must be submitted 

directly to the COPS Office through the “Account Access” link 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 award period. This report reflects the actual cumulative federal expenditures incurred during 

the funding period and the remaining unobligated balance of federal funds. Under federal regulations, your 

agency is not permitted to draw down federal funding for costs incurred after the official award end date; 

however, you will have a 90 day grace period after the award end date during which you can draw down funds 

for eligible expenditures incurred before the award end date. Agencies with more than one delinquent 

programmatic 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 V (“Reports”) on page 45 of this manual. All 

reports should be submitted within the deadlines given to avoid suspension or possible termination of award 

funds or other remedial actions; failure to submit required reports may also impact future funding opportunities.
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9. Award Monitoring Activities

Condition:

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

monitored to ensure compliance with their award 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 award implementation—compliance and programmatic benefits—are part of the monitoring process 

coordinated by the U.S. Department of Justice. Award 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 CHP award recipient, you agree to cooperate with and respond to any requests for information 

pertaining to your award.

Why this condition:

The Public Safety Partnership and Community Policing Act of 1994 states that each award program must contain 

a monitoring component. The COPS Office actively monitors how recipients are complying with COPS Office 

award requirements. In addition, the monitoring component provides customer service and technical assistance 

to help ensure recipients understand how to remain in compliance while implementing their awards.

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 four primary means of ensuring recipients’ compliance with the terms and conditions of their 

awards are as follows:

1. Site Visits. The COPS Office strategically selects award recipients based on a variety of risk factors to 

conduct site visits to ensure compliance with award terms and conditions. The purpose of site visits is threefold:

i. To review for compliance with the terms and conditions of the award

ii. To review the recipient’s community policing strategies

iii. To provide customer service and technical assistance

If selected, recipients will be notified in writing in advance with detailed instructions for how to prepare for the

review of their COPS Office awards. This review is generally performed over a period of one or more days. 

Recipients will have an opportunity to resolve any identified noncompliance issues while on-site or, if necessary, 

following the site visit. In addition, recipients will have an opportunity to seek customer service and/or technical 

assistance on the implementation of their award.

2. Enhanced Office-Based Grant Reviews (EOBGR). In lieu of a site visit, awards may be selected for an 

EOBGR conducted at the COPS Office via teleconference or video conference. EOBGRs serve as an alternative 

for conducting award monitoring reviews in support of the COPS Office’s overall award monitoring strategy.

The purpose of the EOBGR is three-fold: 

i. To review for compliance with the terms and conditions of the award

ii. To review the recipient’s community policing strategies

iii. To provide customer service and technical assistance
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If selected, the recipient will be notified in writing in advance of any EOBGR of its COPS Office awards.

This review is generally performed over a one- to two-day period. Recipients will have an opportunity to 

resolve any identified noncompliance issues if necessary following the EOBGR interview. In addition, 

award recipients will have an opportunity to seek customer service and/or technical assistance on the 

implementation of their award.

3. Alleged Noncompliance Referral (ANCR). An ANCR is an allegation of suspected noncompliance that 

originates from an internal source within the COPS Office or an external referral from one of many sources.

Internal ANCRs generally originate from the COPS Office Grants Administration Division, the COPS Office

Finance Division, or the COPS Office Legal Division, although any COPS Office component may refer a 

noncompliance issue to the ANCR. External noncompliance referrals may be received from anonymous 

complainants, media, citizens, law enforcement agencies, other federal agencies, or other outside sources.

On a case-by-case basis, COPS Office ANCR staff members determine the appropriate course of action to 

take to investigate complaints of alleged noncompliance. This may include phone or letter contact or a site 

visit by COPS Office staff or the OIG. Each ANCR referral is resolved as a violation or nonviolation based upon

supporting documentation and/or other factors used to make a determination for compliance or 

noncompliance.

4. Audit Liaison. The OIG may conduct a random audit for any recipient of a COPS Office award. In the event 

your agency has undergone an OIG audit and there are audit recommendations (findings) resulting from 

noncompliance and/or poor accountability practices, the COPS Office Audit Liaison Section will work with 

your agency to resolve and close these recommendations. Remedies to close recommendations may 

include repayment of award funds and/or providing adequate documentation to demonstrate compliance 

and/or providing proof of policies or procedures that were created or revised to directly address the causes 

for the noncompliance as a proactive preventative measure to avoid future noncompliance.

Recipients are responsible for remedying any award noncompliance that is identified during site visits, EOBGRs, 

and/or ANCRs. In addition, recipients are responsible for remedying noncompliance stemming from audit 

recommendations identified in audits of COPS Office awards conducted by the OIG and the Office of the Chief 

Financial Officer (OCFO). Remedies for noncompliance may include but are not limited to repayment of award 

funds for unallowable or unsupported costs, providing adequate documentation to demonstrate compliance, 

suspending active award funding, voluntary withdrawal from or involuntary termination of remaining award 

funds, or a restriction from receiving future COPS Office awards for a period of time. Under certain conditions, 

additional actions may include referral and placement on the U.S. Department of Justice’s High Risk List, which 

will include mandatory completion of the Office of Justice Programs Financial Management Training and being 

subject to increased monitoring of current and future awards while on the list. In the event of criminal misuse of 

award funds, recipients may also be subject to fines and imprisonment. To avoid findings of noncompliance, 

recipients are strongly encouraged to become familiar with the COPS Office Grant Monitoring Division’s Grant 

Monitoring Standards and Guidelines and with the Award Owner’s Manual for the year in which the award is 

funded. Recipients should also contact the COPS Office or their Grant Program Specialist at any time during the 

life of a COPS Office award with questions concerning award conditions, terms, or requirements to seek 

guidance to avoid noncompliance. It is necessary for recipients to maintain all relevant documentation 

(administrative, financial, and programmatic) used to develop the application and implement the award that 

may be necessary or required to demonstrate award compliance. For more information, please contact the COPS 

Office Response Center at 800-421-6770 or at AskCopsRC@usdoj.gov.
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10. Federal Civil Rights

Condition:

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

any subrecipients, contractors, successors, transferees, and assignees not to), on the grounds 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 nondiscrimination 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, as amended by Executive Order 

13559, and the implementing regulations at 28 C.F.R Part 38 Partnerships With Faith-Based and Other Neighborhood 

Organizations, 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 nonbelief.

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, recipients are required to comply with the civil rights requirements found in 

the nondiscrimination 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 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 Office award until you comply with federal civil rights laws or cooperate with 

any ongoing federal civil rights investigation.

What you should do:

Included with your award package is a memorandum from the Office for Civil Rights, Office of Justice Programs, 

U.S. Department of Justice, which addresses the federal civil rights statutes and regulations applicable to your 

award. You should review this memorandum to understand your agency’s civil rights responsibilities.

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

Condition:

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 (EEOP) (28 C.F.R. Part 42 subpart E).
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Why this condition:

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

Crime Control and Safe Streets Act of 1968 (Safe Streets Act), the statute that funds 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 CFR § 42.301). EEOPs do not impose quotas or hiring requirements on recipients.

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.

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

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

appointees), then it must prepare a Utilization Report and submit it to the OCR for review within 90 days from 

the start date of the award. For assistance in developing a Utilization Report, please consult the OCR's website at 

www.ojp.usdoj.gov/about/ocr/eeop.htm and click “Complying with the EEOP Requirement”. 

If your organization is a government agency or private business and the largest single award it has received is 

$25,000 or more but less than $500,000, and it has fifty or more employees (counting both full- and part-time 

employees but excluding political appointees), then it must prepare a Utilization Report, but it need not submit 

the report to the OCR for review. Instead, your organization must certify that it is exempt from the submission 

requirement, that it maintains the Utilization Report on file, and that it will make the Utilization Report available 

for review on request. For assistance in developing a Utilization Report, please consult the OCR's website at 

www.ojp.usdoj.gov/about/ocr/eeop.htm and click “Complying with the EEOP Requirement”. 

If your organization has fewer than fifty employees or receives an award of less than $25,000 or is a nonprofit 

organization, a medical institution, an educational institution, or an Indian tribe, then it is exempt from the EEOP 

requirement. To claim the exemption, however, your organization must certify that it is exempt by logging onto 

the OCR website at www.ojp.usdoj.gov/about/ocr/eeop.htm and following the Certification Form instructions.

If you have further questions regarding the EEOP requirements, you may contact an EEOP specialist at the OCR 

by telephone at 202-307-0690, by TTY at 202-307-2027, or by e-mail at EEOsubmisson@usdoj.gov. 

12. False Statements

Condition:

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

debarment from participating in federal awards 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 award documents.
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What you should do:

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

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

13. Duplicative Funding

Condition:

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 award was provided 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 Office Grant Program Specialist at 800-421-6770.

14. Additional High-Risk Recipient Requirements

Condition:

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

period if the awarding agency determines that the recipient is a high-risk recipient (Uniform Administrative 

Requirements, Cost Principles, and Audit Requirements for Federal Awards, 2 C.F.R. § 200.207 as adopted by the U.S. 

Department of Justice in 2 C.F.R. § 2800.101).

Why this condition:

In accordance with 2 CFR § 200.207, the DOJ may impose additional requirements specific to your award, as 

needed, when it determines that there is unsatisfactory performance, financial or administrative instability, 

noncompliance with award terms and conditions, or other lack of responsibility risk factors. In such cases, the 

DOJ may impose special conditions or restrictions that may include requiring the production of documentation, 

financial award 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 Office award, recipients must agree to comply with any additional requirements that 

may be imposed during the award performance period if the awarding agency determines that the recipient is a 

high-risk recipient.
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15. System for Award Management (SAM) and Universal Identifier Requirements

Condition:

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

awards and cooperative agreements made on or after October 1, 2010:

A. Requirement for System for Award Management (SAM)

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

the currency of your information in the SAM 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. System for Award Management (SAM) 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 SAM Internet site at www.sam.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 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 non-profit 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 A133, “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 SAM as the repository for standard information about 

applicants and recipients.

What you should do:

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

SAM database. 

Your agency should continue to use the same DUNS number provided in your award 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 toll-free number 866-705-5711 or visit 

http://fedgov.dnb.com/webform. 

Your agency must maintain active registration and current information in the SAM 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 SAM information at least once per year to maintain an active registration status. For more 

information about SAM registration, please visit www.sam.gov. 

16. Reporting Subawards and Executive Compensation

Condition:

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

awards and cooperative agreements made on or after October 1, 2010: 

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.

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

www.fsrs.gov. 

b. 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, 2010, the 

obligation must be reported by no later than December 31, 2010.)
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3. What to report. You must report the information about each obligating action that the submission 

instructions posted at www.fsrs.gov specify.

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— 

a. the total federal funding authorized to date under this award is $25,000 or more;

b. in the preceding fiscal year, you received—

I. 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. Part 170.320 (and subawards); and

II. $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. Part 170.320 (and subawards).; and

c. 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:

a. As part of your registration profile at www.sam.gov. 

b. 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— 

a. in the subrecipient’s preceding fiscal year, the sub-recipient received— 

I. 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. Part 170.320 (and subawards); and

II. $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
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b. 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 sub-recipient executive total compensation described in 

paragraph C.1. of this award term:

a. To the recipient.

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

For example, if a sub-award 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 

sub-recipient by November 30 of that year.

D. Exemptions. 

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

the requirements to report:

a. Subawards, and

b. The total compensation of the five most highly compensated executives of any subrecipient.

E. Definitions. For purposes of this award term:

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

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

b. A foreign public entity;

c. A domestic or foreign non-profits organization;

d. A domestic or foreign for-profit organization;

e. A federal agency, but only as a sub-recipient under an award or sub-award to a non-federal entity.

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

3. 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 or a 

subrecipient considers a contract.

4. Subrecipient means an entity that:

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

b. Is accountable to you for the use of the federal funds provided by the subaward.
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5. Total compensation means the cash and noncash dollar value earned by the executive during the 

recipient’s or sub-recipient’s preceding fiscal year and includes the following (for more information see 

17 C.F.R. Part 229.402(c)(2)):

a. Salary and bonus.

b. 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.

c. 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.

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

pension plans.

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

f. 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. Recipients 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.

What you should do:

At the time of award 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 Subaward Reporting System (FSRS), accessible via the Internet 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 to further 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. 
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17. Debarment and Suspension

Condition:

The recipient agrees not to award federal funds under this program to any party which is debarred or suspended from 

participation in Federal assistance programs.

Why this condition: 

Under federal regulations, recipients are required to ensure that federal funds are not given to parties that are 

debarred or suspended from participation in federal assistance programs. This is to protect the public interest 

and to ensure proper management and integrity in federal activities by conducting business only with 

responsible parties. For details regarding the debarment and suspension requirements, please see 2 CFR part 

180 (Government-wide Debarment and Suspension), and 2 CFR part 2867 (DOJ-specific requirements.)

What you should do:

If, under a COPS Office award, you enter into a contract for goods or services for $25,000 or more or any 

subaward, you must verify that the vendor or subrecipient and their respective principals (e.g., owners, top 

managers) with whom you intend to do business are not excluded or disqualified from participation in federal 

assistance programs. In addition, you must include a term or condition in the contract or subaward requiring the 

vendor or subrecipient to comply with subpart C of the OMB guidance in 2 CFR part 180 (Government-wide 

Debarment and Suspension) and subpart C of 2 CFR part 2867 (DOJ-specific requirements).

18. Employment Eligibility

Condition:

The recipient 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.

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.
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19. Whistleblower Protection

Condition:

The recipient agrees not to discharge, demote, or otherwise discriminate against an employee as reprisal for the 

employee disclosing information that he or she reasonably believes is evidence of gross mismanagement of a federal 

contract or award, a gross waste of federal funds, an abuse of authority relating to a federal contract or award, a 

substantial and specific danger to public health or safety, or a violation of law, rule, or regulation related to a Federal 

contract (including the competition for or negotiation of a contract) or award. The recipient also agrees to provide to 

their employees in writing (in the predominant native language of the workforce) of the rights and remedies provided 

in 41 U.S.C. § 4712. Please see appendix F in the Award Owner’s Manual for a full text of the statute.

Why this condition:

Under the “Pilot program for enhancement of contractor protection from reprisal for disclosure of certain 

information” (41 U.S.C. § 4712), which is in effect through January 1, 2017, recipients are prohibited from taking 

reprisal actions against employees for certain whistleblowing activities in connection with federal awards and 

contracts. The pilot program protects the public interest and ensures the proper management and use of federal 

funds.

What you should do:

The recipient must not take reprisal actions against an employee for disclosing misconduct under federal 

contracts and awards to certain persons and entities.

The recipient is prohibited from discharging, demoting, or otherwise discriminating against an employee as 

reprisal for disclosing information that he or she reasonably believes is evidence of

• gross mismanagement of a federal contract or award;

• a gross waste of federal funds;

• an abuse of authority relating to a federal contract or award;

• a substantial and specific danger to public health or safety; or

• a violation of law, rule, or regulation related to a federal contract (including the competition for or 

negotiation of a contract) or award.

In addition, the disclosure must also have been made to

• a member of Congress or a representative of a committee of Congress;

• an inspector general;

• the Government Accountability Office;

• a federal employee responsible for contract or award oversight or management at the relevant agency;

• an authorized official of the U.S. Department of Justice or other law enforcement agency;

• a court or grand jury; or

• a management official or other employee of the contractor, subcontractor, or recipient who has the 

responsibility to investigate, discover, or address misconduct.

An employee is deemed to have made a protected disclosure if he or she initiates or provides evidence of 

misconduct in any judicial or administrative proceeding relating to waste, fraud, or abuse on a federal contract 

or award.
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The recipient must inform its employees in writing, in the predominant language of the workforce, of employee 

whistleblower rights, protections, and remedies under 41 U.S.C. § 4712.

Please see appendix F on page 77 of this manual for the full text of the “Pilot program for enhancement of 

contractor protection from reprisal for disclosure of certain information” (41 U.S.C. § 4712).

20. Mandatory Disclosure

Condition:

Recipients and subrecipients must timely disclose in writing to the COPS Office or pass-through entity, as applicable, 

all federal criminal law violations involving fraud, bribery, or gratuity that may potentially affect the awarded federal 

funding. Failure to make required disclosures can result in any of the remedies, including suspension and debarment, 

described in the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, 2 

C.F.R. § 200.338 as adopted by the U.S. Department of Justice in 2 C.F.R. § 2800.101.

Why this condition:

Federal regulations require recipients and subrecipients to report all federal violations involving fraud, bribery, 

or gratuity that may affect the awarded federal funds. This condition advises your agency of the requirement 

and the consequences of failing to report such violations to the COPS Office or pass-through entity.

What you should do:

Ensure that you timely report in writing to the COPS Office or pass-through entity all federal violations involving 

fraud, bribery, or gratuity that may affect your federal award.

21. Conflict of Interest

Condition:

Recipients and subrecipients must disclose in writing to the COPS Office or pass-through entity, as applicable, any 

potential conflict of interest affecting the awarded federal funding in accordance with the Uniform Administrative 

Requirements, Cost Principles, and Audit Requirements for Federal Awards, 2 C.F.R. § 200.112 as adopted by the U.S. 

Department of Justice in 2 C.F.R. § 2800.101.

Why this condition:

Recipients and subrecipients are required to use federal funding in the best interest of their award program. Any 

decisions related to these funds must be free of hidden personal or organizational conflicts of interest, both in 

fact and in appearance.

This means that recipients and subrecipients should not participate in any award-related decisions or 

recommendations that involve any of the following people or groups: 

• an immediate family member

• a partner

• an organization in which they are serving as an officer, director, partner, or employee 
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• any person or organization with whom they are negotiating or who has an arrangement concerning 

prospective employment, has a financial interest, or for other reasons can have less than an unbiased 

transaction with the recipient or subrecipients

This also means that recipients and subrecipients should avoid any action which might result in or create the 

appearance of

• using your official position for private gain;

• giving special treatment to any person;

• losing complete independence or objectivity;

• making an official decision outside official channels; or

• negatively affecting the confidence of the public in the integrity of the Federal Government or the program.

What you should do:

Ensure that you report in writing to the COPS Office or pass-through entity, as applicable, any potential conflict 

of interest that may affect your federal award.

22. Contract Provision

Condition:

All contracts made by the award recipients under the federal award must contain the provisions required under 2 

C.F.R. Part 200, (Appendix II to Part 200—Contract Provisions for Non-Federal Entity Contracts Under Federal Awards), 

as adopted by the U.S. Department of Justice in 2 C.F.R. § 2800.101. Please see appendix G in the Award Owner’s 

Manual for a full text of the contract provisions.

Why this condition:

Federal regulations require recipients and subrecipients to comply with the necessary contract provisions in 

order to standardize and strengthen oversight of all contracts made under federal awards. This provision 

protects the public interest and ensures the proper management and use of federal funds as it relates to 

contracts entered into by the recipient. 

What you should do:

The recipient should review all contracts made under the federal award to ensure that they contain the 

provisions required in appendix G on page 81of the Award Owner’s Manual.

23. Restrictions on Internal Confidentiality Agreements

Condition:

No recipient or subrecipient under this award, or entity that receives a contract or subcontract with any funds under 

this award, may require any employee or contractor to sign an internal confidentiality agreement or statement that 

prohibits or otherwise restricts the lawful reporting of waste, fraud, or abuse to an investigative or law enforcement 

representative of a federal department or agency authorized to receive such information.
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Why this condition:

Under section 743 of Division E, Title VIII, of the Consolidated and Further Continuing Appropriations Act, 2016 

(Pub. L. 114–113), neither the recipient, subrecipient, nor any entity that receives a contract or subcontract with 

any funds under this or any other Act may require its employees or contractors to sign an internal confidentiality 

agreement or statement prohibiting or otherwise restricting their lawful reporting of waste, fraud, or abuse to an 

investigative or law enforcement representative of a federal department or agency. This provision protects the 

public interest and ensures the proper management and use of federal funds. This limitation is not intended, 

and shall not be understood by the agency making this award, to contravene requirements applicable to 

Standard Form 312 (which relates to classified information), Form 4414 (which relates to sensitive 

compartmented information), or any other form issued by a federal department or agency governing the 

nondisclosure of classified information.

What you should do:

In accepting this award, the recipient

• represents that it neither requires nor has required internal confidentiality agreements or statements from 

employees or contractors that currently prohibit or otherwise restrict (or purport to prohibit or restrict) 

employees or contractors from reporting waste, fraud, or abuse as described above;

• represents that, if it learns or is notified that it is or has been requiring its employees or contractors to 

execute agreements or statements that prohibit or otherwise restrict (or purport to prohibit or restrict) 

reporting of waste, fraud, or abuse as described above, it will immediately stop any further obligations of 

award funds, will provide prompt written notification to the agency making this award, and will resume 

such obligations only if expressly authorized to do so by that agency.

If the recipient does or is authorized to make subawards or contracts under this award, in accepting, the 

recipient

• represents that it has or will determine that no other entity that the recipient proposes may or will receive 

award funds (whether through a subaward, contract, or subcontract) either requires or has required internal 

confidentiality agreements or statements from employees or contractors that currently prohibit or 

otherwise restrict (or purport to prohibit or restrict) employees or contractors from reporting waste, fraud, or 

abuse as described above;

• represents that it has or will make appropriate inquiry, or otherwise has an adequate factual basis, to 

support this representation;

• represents that, if it learns or is notified that any subrecipient, contractor, or subcontractor entity that 

receives funds under this award is or has been requiring its employees or contractors to execute agreements 

or statements that prohibit or otherwise restrict (or purport to prohibit or restrict) reporting of waste, fraud, 

or abuse as described above, it will immediately stop any further obligations of award funds to or by that 

entity, will provide prompt written notification to the agency making this award, and will resume (or permit 

resumption of) such obligations only if expressly authorized to do so by that agency.
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24. Recipient Integrity and Performance Matters

Condition:

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

term in all awards over $500,000 made on or after January 1, 2016:

A. Reporting of Matters Related to Recipient Integrity and Performance

1. General Reporting Requirement 

If the total value of your currently active awards, cooperative agreements, and procurement contracts 

from all Federal awarding agencies exceeds $10,000,000 for any period of time during the period of 

performance of this Federal award, then you as the recipient during that period of time must maintain 

the currency of information reported to the System for Award Management (SAM) that is made available 

in the designated integrity and performance system (currently the Federal Awardee Performance and 

Integrity Information System (FAPIIS)) about civil, criminal, or administrative proceedings described in 

paragraph 2 of this award term and condition. This is a statutory requirement under section 872 of 

Public Law 110-417, as amended (41 U.S.C. 2313). As required by section 3010 of Public Law 111-212, all 

information posted in the designated integrity and performance system on or after April 15, 2011, except 

past performance reviews required for Federal procurement contracts, will be publicly available.

2. Proceedings About Which You Must Report

Submit the information required about each proceeding that:

a. Is in connection with the award or performance of an award, cooperative agreement, or 

procurement contract from the Federal Government;

b. Reached its final disposition during the most recent five year period; and

c. Is one of the following:

(1) A criminal proceeding that resulted in a conviction, as defined in paragraph 5 of this award 

term and condition;

(2) A civil proceeding that resulted in a finding of fault and liability and payment of a monetary 

fine, penalty, reimbursement, restitution, or damages of $5,000 or more;

(3) An administrative proceeding, as defined in paragraph 5. Of this award term and condition, 

that resulted in a finding of fault and liability and your payment of either a monetary fine or 

penalty of $5,000 or more or reimbursement, restitution, or damages in excess of $100,000; or

(4) Any other criminal, civil, or administrative proceeding if:

i. It could have led to an outcome described in paragraph 2.c.(1), (2), or (3) of this award term 

and condition;

ii. It had a different disposition arrived at by consent or compromise with an 

acknowledgment of fault on your part; and

iii. The requirement in this award term and condition to disclose information about the 

proceeding does not conflict with applicable laws and regulations.
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3. Reporting Procedures

Enter in the SAM Entity Management area the information that SAM requires about each proceeding 

described in paragraph 2 of this award term and condition. You do not need to submit the information a 

second time under assistance awards that you received if you already provided the information through 

SAM because you were required to do so under Federal procurement contracts that you were awarded.

4. Reporting Frequency

During any period of time when you are subject to the requirement in paragraph 1 of this award term 

and condition, you must report proceedings information through SAM for the most recent five year 

period, either to report new information about any proceeding(s) that you have not reported previously 

or affirm that there is no new information to report. Recipients that have Federal contract, award, and 

cooperative agreement awards with a cumulative total value greater than $10,000,000 must disclose 

semiannually any information about the criminal, civil, and administrative proceedings.

5. Definitions

For purposes of this award term and condition:

a. Administrative proceeding means a non-judicial process that is adjudicatory in nature in order to 

make a determination of fault or liability (e.g., Securities and Exchange Commission Administrative 

proceedings, Civilian Board of Contract Appeals proceedings, and Armed Services Board of Contract 

Appeals proceedings). This includes proceedings at the Federal and State level but only in 

connection with performance of a Federal contract or award. It does not include audits, site visits, 

corrective plans, or inspection of deliverables.

b. Conviction, for purposes of this award term and condition, means a judgment or conviction of a 

criminal offense by any court of competent jurisdiction, whether entered upon a verdict or a plea, 

and includes a conviction entered upon a plea of nolo contendere.

c. Total value of currently active awards, cooperative agreements, and procurement contracts 

includes— 

(1) Only the Federal share of the funding under any Federal award with a recipient cost share or 

match; and

(2) The value of all expected funding increments under a Federal award and options, even if not yet 

exercised.

Why this condition:

Under 2 CFR § 200.210 (b) (1) (iii), recipients of awards in excess of $500,000 are required to report certain civil, 

criminal, and administrative proceedings if they have active federal awards, cooperative agreements, or

contracts (or any combination of these) that total more than $10,000,000 during the COPS Office award period.

The purpose is to protect the public interest and to ensure proper management in federal activities by 

conducting business with responsible parties.

What you should do:

If the total value of your active awards, cooperative agreements, and contracts from all federal awarding 

agencies exceeds $10,000,000 during the COPS Office award period, then you must ensure that the proceedings 

described in paragraph 2 of this award term that are reported in the System for Award Management (SAM) are 

current. The information about the reported proceedings is made available in SAM via the designated integrity 

and performance system (currently the Federal Awardee Performance and Integrity Information System 

(FAPIIS)). During the award period, you must either report for the most recent five-year period new information 
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29

about any proceeding(s) that you have not reported previously or affirm that there is no new information to 

report. You must also disclose semiannually any information about criminal, civil, and administrative 

proceedings. 

25. Contracts and/or MOUs with Other Jurisdictions

Condition:

Sworn law enforcement officer positions awarded must be used for law enforcement activities or services that benefit 

your agency and the population that it serves. The items funded under the CHP award cannot be utilized by other 

agencies unless the items benefit the population that your agency serves. Your agency may use items funded under 

the CHP award to assist other law enforcement agencies under a resource sharing, mutual aid, or other agreement to 

address multi-jurisdictional issues as described in the agreement.

Why this condition:

The CHP award is intended to benefit the communities within the recipient’s primary law enforcement 

jurisdiction. Therefore, the recipient must use the CHP award funding to benefit its own population, rather than 

contracting out the COPS Office-funded officer(s) to other jurisdictions.

What you should do:

Officers funded under the CHP award may not provide contract law enforcement services to other agencies 

unless they will directly benefit the recipient’s jurisdiction. For example, a sheriff’s department cannot use a CHPfunded officer to provide contract law enforcement services to a neighboring county but can use the CHPfunded officer to provide direct law enforcement services to towns within its own county.

26. Retention

Condition:

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

CHP award 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 award. Your agency cannot satisfy the retention requirement by using CHP 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 CHP award continues with 

state or local funds for a minimum of 12 months after federal funding ends.

What you should do:

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

positions funded under the CHP award 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 
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30

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 award end date).

The retained CHP-funded position(s) must be added to your agency’s law enforcement budget with state or 

local funds at the conclusion of award funding, over and above the number of locally funded sworn officer 

positions that would have existed in the absence of the award. Absorbing CHP-funded positions through 

attrition (rather than adding the extra positions to your budget with additional funding) does not meet the 

retention requirement. In addition, COPS Office award funding may not be used to retain positions awarded 

under a previous COPS Office hiring award.

Your agency should maintain documentation demonstrating when the 36-month award 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 or local funds. We understand that your 

agency’s identified source(s) of retention funding may change during the life of the award, so your agency 

should maintain documentation of any changes in the event of an audit, monitoring, or other evaluation of your 

award compliance.

Please note that your agency is required to retain the officer position(s) awarded under the CHP award and not 

the specific officer(s) hired to fill the award position(s). If a position funded by the CHP award 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 under the 

CHP award may be ineligible to receive future COPS Office hiring awards for a period of one to three years. If 

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

Program Specialist for further review.

27. Community Policing

Condition:

Community policing activities to be initiated or enhanced by your agency and the officers funded by this award 

program were identified and described in your CHP award application. In sections VI(A) and (B), your agency 

developed a community policing plan for the CHP award with specific reference to a crime or disorder problem and 

the following elements of community policing: (a) problem solving—your agency’s plan to assess and respond to the 

problem identified; (b) community partnerships and support, including related governmental and community 

initiatives that complement your agency’s proposed use of CHP funding; and (c) organizational transformation—how 

your agency will use the funds to reorient its mission to community policing or enhance its involvement in and 

commitment to community policing. Throughout the CHP award period, your agency is required to implement the 

community policing plan it set forth in the CHP award application. 

The COPS Office defines community policing as 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. CHP awards through the specific 
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31

officers funded (or an equal number of redeployed veteran officers) 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 CHP must implement your agency’s approved community policing plan, which you described in your 

award application.

Why this condition:

The CHP program is designed to assist agencies advance public safety through the hiring and rehiring of sworn 

officer positions to increase their community policing capacity and crime prevention efforts. This is achieved 

through problem solving, community policing partnerships, and organizational transformation. 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 as outlined in section VI (B) of your 

CHP application and that the officers hired (or an equal number of redeployed veteran officers) are used to 

implement this plan and advance your agency’s community policing activities over the life of the award. 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.

What you should do:

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

application in section VI (B). While the COPS Office recognizes that your COPS Office-funded officer(s) (or an 

equal number of redeployed veteran officers) will participate in some or all aspects of your identified community 

policing strategy and advance your agency’s community policing activities over the life of the award, we also 

encourage your agency to move toward an organization-wide philosophy and commitment to community 

policing.

Your CHP quarterly progress reports will collect information related to the implementation of and progress 

toward those community policing activities. Your community policing strategy may be influenced and impacted 

by others within and outside your organization; this is considered beneficial to your community policing efforts. 

Your community policing needs may change during the life of your CHP award, and minor changes to this 

strategy may be made without prior approval of the COPS Office. Any changes to the community policing scope 

or strategies originally identified in your CHP application should be documented within your quarterly progress 

report. If your agency’s community policing strategy changes significantly, however, you must submit those 

changes to the COPS Office through the quarterly progress report for approval. Changes are significant if they 

deviate from the specific crime problem(s) originally identified and approved in the original community policing 

strategy submitted with your application. Recipients who chose “School Based Policing through School Resource 

Officers,” “Trust Problems,” “Homeland Security,” “Homicide,” or “Gun Violence” as their community policing 

problem/focus area will not be able to change the problem/focus area of their community policing strategies postaward. Additional information about community policing may be found in appendix C, “Community policing 

defined,” on page 62 of this manual.

The COPS Office requires all recipients who chose “School Based Policing through School Resource Officers” as 

their community policing problem/focus area on their 2016 CHP applications to provide contact information for 

each school partner where they intend to deploy School Resource Officers (SRO). These recipients are also 

required to submit to the COPS Office a Memorandum of Understanding (MOU) between the law enforcement 

agency and their school partner(s) before drawing down funds. Additional information about this requirement 

may be found in appendix E, “Memorandum of Understanding Guidance,” on page 74 of this manual.
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28. Local Match

Condition:

Recipients are required to contribute a local match of at least 25 percent toward the total cost of the approved award 

project, unless waived in writing by the COPS Office. The local match must be a cash match from funds not previously 

budgeted for law enforcement purposes and must be paid during the award period. The local match contribution 

must be made on an increasing basis during each year of the three-year award period, with the federal share 

decreasing accordingly.

Why this condition:

The 2016 CHP provides up to 75 percent of the allowable costs of this award project (up to a maximum federal 

share of $125,000 per officer position). Recipients are responsible for providing at least 25 percent of the total 

project costs in local matching funds. The local match must be a cash match made from local, state, or other 

non-COPS Office funds. Federal funds (other than COPS Office funds) may be used to meet your local match only 

if the federal funds are authorized by statute for that purpose and approved in writing by both the federal 

agency providing those funds and the COPS Office.

What you should do:

Matching contributions must be made on an increasing basis during each year of the three-year program with 

the federal share decreasing accordingly. The local match must be paid in full during the active award period; 

payments made prior to the CHP award start date or after the award end date do not qualify as a local match. 

Recipients are strongly encouraged to pay local match during each quarterly financial reporting period to avoid 

potential noncompliance. If your agency must withdraw from the award period prior to the end of award funding, 

your agency is responsible for ensuring that the federal share of funds expended is limited to a maximum of 75 

percent of the total program costs expended. If you have questions about the timing of your local match 

payments, please contact your COPS Office Staff Accountant at 800-421-6770.

Your agency must maintain records that clearly demonstrate the source of the local match, the amount of the 

local match, and when the local match was contributed. The local match must be in addition to funds previously 

budgeted for specific law enforcement purposes as indicated on your agency’s fiscal year budget. You do not 

need to provide these supporting documents to the COPS Office, but such records must be produced in the 

event of an audit, monitoring site visit, or office-based grant review. In addition, recipients are required to report 

the amount of local match contributed on the quarterly Federal Financial Report (SF-425), line j.

Sources for local match requirements may include the following:

• Nonfederal asset forfeiture funds (subject to approval from the state or local oversight agency); 

• Funds from state or local governments that are committed to matching funds for your program; 

• Funds from federal programs whose statutes specifically authorize their use as matching funds; and/or

• Funds contributed by private sources. 

To maximize the number of communities that would be able to take advantage of CHP award funding, only a 

limited number of local match waiver requests were granted to applicants who were able to demonstrate severe 

fiscal distress. The COPS Office relied on the fiscal health data provided in section 7 of the CHP application and a 

comparison of the applicant’s fiscal health data with that of the overall 2016 CHP applicant pool to make waiver 

decisions.
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29. School Resource Officer (SRO) Training Requirement

Condition:

COPS-funded SRO(s) are required to complete a National Association of School Resource Officers (NASRO) basic 

training course no later than nine months after the date shown on the award congratulatory letter. If a COPS-funded 

SRO leaves the recipient agency after completing the NASRO training, the recipient agrees to pay for the new SRO, who 

is assigned to backfill this position, to attend a NASRO basic training course. This new SRO must complete the training 

no later than nine months after being placed in the schools. 

Why this condition:

This NASRO basic training course is intended not only to provide information on various important school safety 

topics, but is also designed to promote effective collaboration and partnerships among the school, law 

enforcement agency and other entities. 

The COPS Office will pay the training fee directly to NASRO and pay allowable travel costs (airfare, hotel, and per 

diem) up to $1,000 per COPS Office-funded SRO. Any travel costs over this amount must be paid for by the 

recipient. The COPS Office will provide the recipient with contact information that must be used to arrange for 

class registration and travel reimbursement. 

What you should do:

The recipient must ensure all COPS Office-funded SROs complete the NASRO training no later than nine months 

after the date on the award congratulatory letter. If possible, SROs should complete training prior to beginning 

work in a partner school or school district. 

If a COPS Office-funded SRO leaves his or her position after completing the NASRO training, the recipient is 

required to pay for the new SRO who is assigned to backfill the position to attend a NASRO basic training course. 

The new officer backfilling the SRO position must complete the NASRO training no later than nine months after 

being placed in the schools. If there are less than nine months left in the award, then the officer needs to receive 

training prior to the end of the award. After completing the training, the recipient should email a copy of the 

NASRO course certificate to COPS-SRO@usdoj.gov. 

If the COPS Office-funded SRO already completed the NASRO basic training within the last 12 months, the 

recipient should contact the COPS Office Response Center by phone at 800-421-6770 or by e-mail at 

AskCopsRC@usdoj.gov and provide the location and date of the training so the COPS Office can confirm with 

NASRO and determine if this training requirement has been satisfied.

For additional information regarding this mandatory training, view the SRO Mandatory Training Fact Sheet at 

www.cops.usdoj.gov/pdf/2016AwardDocs/chp/SRO_Mandatory_Training_Fact_Sheet.pdf. 
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What are the specific rules regarding termination of award 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 award requirements or other applicable provisions of federal law;

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

• not adhering to award requirements or conditions;

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

application being denied funding;

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

• filing false statements or certifications in connection with an application, periodic report, or other awardrelated documents;

• 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 award; 

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

• condition a future award or elect not to provide future award funds to your agency until appropriate actions 

are taken to ensure compliance;

• withhold or restrict your agency from obtaining future awards;

• recommend civil or criminal enforcement by other agencies;

• take other remedies that may be legally available.

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

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

Awards terminated due to noncompliance with the federal statutes, regulations, or award terms and conditions

will be reported to the integrity and performance system accessible through SAM (currently FAPIIS).

Accepting the award

After you have reviewed the conditions of your CHP 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 award, 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 award and draw down your funds, the 

authorized officials (see the Glossary of Terms on page 84 of this manual) of your agency must access 

www.cops.usdoj.gov and select the “Account Access” link in the upper-right corner to log in, review, and

electronically sign the award document with the award terms and conditions; the Financial Clearance 

Memorandum and, if applicable, the special award conditions and high risk conditions in the award document 

supplement within 90 days of the date shown on the award congratulatory letter. 
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Who should sign the award document for our agency?

The authorized officials are the law enforcement and government executives who have ultimate and final 

responsibility for all programmatic and financial decisions regarding this award as representatives of the legal 

recipient. COPS Office awards require that both the top law enforcement executive (e.g., chief of police, sheriff, 

or equivalent) and the top government executive (e.g., mayor, board chairman, or equivalent) sign the award 

document. For non-law enforcement agencies (universities, etc.), the authorized officials are the programmatic 

and financial officials who have the ultimate signatory authority to sign contracts on behalf of your organization. 

Typically, these are the same executives named on your agency’s 2016 CHP application. If one or both of these 

individuals have changed, please update your “Agency Contacts” online at www.cops.usdoj.gov through the 

“Account Access” link and create accounts for them so that they may electronically sign the award. If you have 

any questions as to who should sign the award, please contact your jurisdiction’s local legal advisor.

By when must the award document be signed? 

Please electronically sign the award document and all award condition pages within 90 days of the date on the 

award congratulatory letter. Award 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 award 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 CHP award being withdrawn and the funds deobligated without additional 

notification. If your agency requires an extension for accepting the award beyond the 90-day acceptance 

timeframe, you will be able to request an extension through the online system. Be sure to explain the 

circumstances that prevent your agency from signing the award document within the 90-day period, and 

identify the date by which the award document will be electronically signed. 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. If you have any questions, please contact your COPS Office Grant Program Specialist at 

800-421-6770. 
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II. Accessing Award 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 award 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 payment system available for accessing federal award funds—the Grant Payment Request 

System (GPRS). GPRS is a web-based system that enables recipients to use a secure Internet connection to 

request funds. Approved payment requests will automatically be scheduled for payment by the United States 

Department of the Treasury through electronic funds transfer (EFT). The Automated Clearing House (ACH) is the 

primary system that agencies use for EFT. A recipient will be able to review previous payment requests made 

since July 2009. For more information regarding 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 new GPRS account?

If you are a new recipient to the COPS Office, your agency should determine which authorized employee(s) will 

be responsible for requesting federal funds for your COPS Office awards through the GPRS system. The 

individual(s) selected must click on the following link and register with the GPRS system to become a drawdown 

specialist for your agency: https://grants.ojp.usdoj.gov/gprs/welcome. 

Once you have been approved, you will receive an e-mail containing 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 the information that was 

provided during the registration process. All individuals who need access to GPRS must register separately and 

create their own unique GPRS username account, as these accounts are not meant to be shared. 

How do we add an award to an existing GPRS account?

If you are currently registered for an active COPS Office award username in GPRS and would like to add a 

recently funded COPS Office award number to your existing COPS Office award username, contact the COPS 

Office GPRS registration team via e-mail at COPSGPRSRegistration@usdoj.gov and provide the following 

information:

• User name (for COPS Office awards) 

• First/last name

• Vendor number (as listed on your award document)

• Award number(s) to be added
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How do we fill out the payment enrollment forms?

If you are a new recipient to the COPS Office, your agency will need to complete an Automated Clearinghouse 

(ACH) Vendor/Miscellaneous Payment (SF-3881) enrollment form. This form can be found on the COPS Office 

website at the following address: www.cops.usdoj.gov/pdf/ach_form_new.pdf. 

Prior to accessing your award funds, your agency must mail the original signed form to:

Office of Justice Programs

Office of the Chief Financial Officer 

810 Seventh Street NW

Attn: Control Desk, Fifth Floor

Washington, DC 20001

Your agency must complete the “Payee/Company Information” section following the directions on the back of 

the form and also provide the award 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 Office award recipient, 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 new award 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 and ask to speak with your state 

assigned Staff Accountant.

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 (SF-425). This report 

reflects the actual monies spent and unliquidated obligations incurred by your agency. You will not be able to 

make drawdowns from your GPRS account if the SF-425 for the most recent reporting quarter is not on file with the 

COPS Office by the deadline date. Recipients are encouraged to submit their SF-425 reports via the Internet at 

https://portal.cops.usdoj.gov/. 

For more information on how to complete and where to submit your quarterly SF-425, see section V of this 

manual, titled “Reports,” on page 45. 

Filing the Federal Financial Report (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 Office awards. 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.
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There should be no excess federal award 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 recipient

1. is unwilling or unable to attain project goals;

2. maintains excess cash on hand;

3. does not adhere to the terms and conditions of the grant; and/or

4. fails to submit reliable or timely reports.

How often can we request reimbursement of costs?

There are no limitations on how often your agency may request reimbursements; however, your reimbursement 

requests should cover a specific time frame and include only costs that were approved in the Financial Clearance 

Memorandum (FCM). As a general guideline, most agencies request reimbursement on a monthly or quarterly 

basis. Also, please note that a date range for a reimbursement request can only be used once.

Can we earn interest on our award funds?

For states, payments are governed by Treasury-State CMIA agreements and default procedures codified at 31 

CFR Part 205 ‘‘Rules and Procedures for Efficient Federal-State Funds Transfers’’ and TFM 4A–2000 Overall 

Disbursing Rules for All Federal Agencies.

For nonfederal entities other than states, payment methods must minimize the time between your drawdown of 

federal funds and your payment of award costs to avoid earning excess interest on your award funds. You must 

account for interest earned on advances of federal funds as follows:

• The Office of Management and Budget (OMB) uniform guidance at 2 CFR § 200.305(b)(9) states that interest 

earned on federal advance payments deposited in interest-bearing accounts up to $500 per year may be 

retained by the nonfederal entity for administrative expenses. 

• Any interest earned on federal advance payments deposited in interest-bearing accounts that is in excess 

of $500 per year must be remitted annually to the Department of Health and Human Services Payment 

Management System (PMS) through an electronic medium using either Automated Clearing House (ACH) 

network or a Fedwire Funds Service payment. For detailed information on remittance please see appendix H 

on page 83 of the Award Owner’s Manual for a full text of the electronic medium remittance options.

• If you do not have access to an electronic medium option, then please make a check payable to “The 

Department of Health and Human Services” and mail the check to Treasury-approved lockbox: HHS Program 

Support Center, P.O. Box 530231, Atlanta, GA 30353-0231. (Please allow 4–6 weeks for processing of a 

payment by check to be applied to the appropriate Payment Management System (PMS) account). 

• Please notify your COPS Office Staff Accountant in the COPS Office Finance Business Unit when any interest 

that is earned is remitted to the Department of Health and Human Services, Payment Management System.
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III. Financial Record Maintenance

Under the COPS Office CHP Program, 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.

Accounting systems and records

What accounting systems are required?

As required by 2 CFR § 200.62 (Internal control over compliance requirements for federal awards), your

accounting system should be designed to provide reasonable assurance regarding the achievement of the 

following objectives for federal awards:

• Transactions are properly recorded and accounted for in order to prepare reliable financial statements and 

federal reports and to maintain accountability over assets. 

• Transactions are executed in compliance with all applicable federal statutes, regulations, and the award 

terms and conditions. 

• Funds, property, and other assets are safeguarded against loss from unauthorized use or disposition.

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 CHP award. Your accounting records should contain information 

showing expenditures under the award and must be supported by items such as payroll records, time and 

attendance records, cancelled checks, or similar documents.

Your agency must adequately safeguard award 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 records be kept?

All financial records and supporting documents associated with your CHP award (including payroll, time and 

attendance records, canceled checks, and purchase orders) must be retained for a period of three years from the 

date of submission of the final expenditure report as stated in 2 CFR §200.333 (Retention requirements for 

records). 

Your agency should maintain records so that you can identify them by award year or by fiscal year, whichever 

you find more convenient. If any litigation, claim, negotiation, audit, or other action involving these records has 

been started before the end of the three-year period, the records should be kept until completion of the action.

These records should be easily located and should be properly protected against fire or other damage. Failure to 

maintain adequate records to document award expenditures may result in a requirement to repay all federal funds 

that cannot be supported with appropriate records.
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What if we have more than one award? 

If your agency has more than one COPS Office award or an award from another federal agency, funds received 

under one project may not be used to support another project without specific written authorization from the

COPS Office, or in the case of an award 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.
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IV. Federal Audit Requirements

In addition to oversight by the COPS Office, your award may be subject to an audit by independent examiners. 

The two primary types of audit are Single Audit Act (SAA) audits and U.S. Department of Justice, Office of the 

Inspector General (OIG) audits.

Single Audit Act (SAA) requirements 

What are the regulations governing SAA requirements?

The Single Audit Act (SAA) of 1984 established uniform guidelines for state and local governments receiving 

federal financial assistance. The 1984 Act was amended in July 1996, was revised on June 27, 2003 and again on

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 (OMB) issued final guidance for 2 CFR Part 200—

Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform 

Guidance) on December 26, 2013. This new guidance applies to all federal awards or funding increments 

awarded on or after December 26, 2014 and provides additional guidelines regarding the implementation of 

SAA requirements.

Who must have an SAA audit? 

A recipient that expends $750,000 or more during the recipient's fiscal year in federal awards must have a single 

audit conducted in accordance with 2 CFR §200.514 (Scope of audit) except when it elects to have a programspecific audit conducted in accordance with 2 CFR §200.501(c). An auditee may be a recipient, a subrecipient, or 

a vendor. 

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 recipient’s financial statements, internal controls, major and non-major award

programs, and compliance with government laws and regulations. Single Audits may also address specific 

compliance issues with respect to COPS Office award requirements.

In cases of continued inability or unwillingness to have an audit conducted in accordance with this part, federal 

agencies and pass-through entities must take appropriate action as provided in §200.338 (Remedies for 

noncompliance). 

These sanctions under A-133, Section 225 could include the following:

• Temporarily withholding cash payments pending correction of the deficiency by the nonfederal entity or 

more severe enforcement action by the federal awarding agency or pass-through entity

• Disallowing (that is, denying both use of funds and any applicable matching credit for) all or part of the cost 

of the activity or action not in compliance

• Wholly or partly suspending or terminating the federal award
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• Initiating suspension or debarment proceedings as authorized under 2 CFR part 180 and federal awarding 

agency regulations (or in the case of a pass-through entity, recommend such a proceeding be initiated by a 

federal awarding agency)

• Withholding further federal awards for the project or program

• Taking other remedies that may be legally available

Your SAA reports should not be sent to the COPS Office. 

If the U.S. Department of Justice is your cognizant federal agency (see the Glossary of Terms on page 84), they 

should be sent to the Federal Audit Clearinghouse at:

Federal Audit Clearinghouse

Bureau of Census

1201 East 10th Street

Jeffersonville, IN 47132

The U.S. Department of Justice, Office of Justice Programs (OJP) serves as the liaison between recipients and 

auditors in the conduct of resolving and closing SAA audits. Questions and comments regarding SAA audits may 

be directed to the COPS Office Response Center at 800-421-6770.

Office of Inspector General (OIG) recipient audits 

What is the role of the OIG for award audits? 

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 recipient audits is to assess compliance with award terms and conditions. OIG audits 

are designed to prevent fraud, waste, and abuse of federal funds. The OIG audit process promotes efficiency and 

effectiveness in the administration and implementation of awards by evaluating compliance with the terms and 

conditions of awards. 

How are COPS Office awards selected for an OIG audit?

The OIG randomly selects awards to be audited or may conduct a COPS Office recipient audit in response to a 

referral that the OIG believes warrants further evaluation. The OIG also surveys DOJ award-making agencies on 

an annual basis to solicit input on suggested audit areas for the upcoming fiscal year. In most instances, 

however, the OIG generally selects awards to be audited based on a number of factors, including the 

geographical distribution of awards funded, award amount, population served, award status (active and 

expired), and type of award (hiring and non-hiring). As such, the fact that a recipient has been selected for an 

OIG audit is not necessarily indicative of a suspected concern or problem area. 

What are the steps in an OIG audit?

The COPS Office Grant Monitoring Division’s Audit Liaison Section serves as the liaison between recipients and 

the OIG’s Audit Division, which conducts the audit. The OIG steps in the audit process will determine the 

interactions between the OIG, the recipient, and the COPS Audit Liaison Section. 

• Call for award data. The OIG requests award documentation from the COPS Office.

• Entrance conference. The OIG schedules to meet with the recipient to gather documentation and conduct 

audit.
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• Draft audit report. The OIG reviews documentation and presents initial findings to the recipient and copies 

the COPS Office. The COPS Office interacts with the recipient to coordinate any repayments and/or policy or 

procedure documents to be submitted to the OIG before release of Final Audit Report. 

• Final audit report. The OIG has completed its direct interaction with the recipient. The COPS Office directs 

the recipient to formulate a Corrective Action Plan to address recommendations (findings). As each 

recommendation is successfully addressed by the recipient, the COPS Office requests closure on the 

recommendation. 

• Closing the audit. When all recommendations have been closed, the COPS Office requests closure on the 

audit from the OIG and notifies the recipient that the audit is closed.

If you have any questions regarding an OIG audit, please contact the COPS Office Grant Monitoring Division’s 

Audit Liaison Section at 800-421-6770. Questions and comments regarding the administration of your COPS

Office CHP award, not specifically related to an audit, should be referred to your COPS Office Grant Program 

Specialist.

Typical audit findings

The OIG has typically reported the following audit findings pertaining to awards as a result of lack of proper 

documentation, poor business practices, or inadequate accounting and record keeping systems:

• Unallowable costs. Recipient incurred costs that were not approved in the original budget or a budget 

modification, were in excess of the approved budget, or were charged to the award after the expiration date 

and an award extension was not obtained.

• Unsupported costs. Specific award expenditures and reimbursements could not be supported by adequate 

documentation (including but not limited to receipts or purchase orders), that may have been allowable 

under the program, but for which no prior written approval was obtained from the COPS Office, or award 

expenditures were in excess of actual approved award costs.

• Lack of complete/timely programmatic and financial reporting. Recipient failed to submit required 

programmatic and financial reports in a timely manner and/or had inadequate record keeping systems.

• Failure to retain. Recipient lacked documentation to support retention planning efforts during the award

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 recipient would have funded 

in absence of the award. 

• Supplanting. Recipient could not document efforts to backfill vacant local sworn officer positions, or 

recipient could not explain reductions in local law enforcement budget or in sworn officer positions during 

the award period.

• Lack of adequate community policing. Recipient had difficulty demonstrating community policing 

activities.

• Funds to better use. Funds could be used more efficiently based on management actions such as

reductions in outlays; deobligation of funds; withdrawal; costs not incurred by implementing recommended 

improvements; and other identified savings.

• 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, award 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.
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• Policy and procedure. Weaknesses are identified in a recipient’s accounting practices, fiscal stewardship, 

accuracy of data used in the development of the award applications, and/or inventory controls that led to 

the recommendation cited in the audit. The recipient is required to develop or revise policies and/or 

procedures consistent with their existing practices and submit to the COPS Office to forward to the OIG to 

close the recommendation.

After the final OIG audit report has been issued, the COPS Office Grant Monitoring Division will continue working 

as the liaison between your agency and the OIG to obtain closure on any audit findings. The COPS Office 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 three years following the audit’s closure.
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V. Reports

As part of CHP, your agency will be required to submit quarterly Federal Financial Reports as well as quarterly 

Programmatic Progress Reports. Awarded agencies should be prepared to track and report CHP funding 

separately from other funding sources (including other COPS Office and federal awards) 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 CHP funding and ensure that its use is consistent with the award 

terms and conditions. Good stewardship in this area includes written accounting practices and use of an 

accounting system that tracks all award drawdowns and expenditures and has the ability to track when CHP

award-funded positions are filled or vacant (including if the position was for a new hire or a rehire). 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 Office award funding or other remedial actions.

Federal Financial Reports

Your agency is 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 

award period. This report reflects the actual cumulative federal expenditures incurred during the funding period

and the remaining unobligated balance of federal funds. Under federal regulations, your agency is not permitted 

to draw down federal funding for costs incurred after the official award end date; however, you will have a 90-

day grace period after the award end date during which you can drawdown funds for eligible expenditures 

incurred before the award end date.

How do we file a Federal Financial Report (SF-425)? 

All COPS Office award recipients are required to submit quarterly Federal Financial Reports using the SF-425. 

Award recipients are strongly encouraged to submit the quarterly SF-425 online. Visit the COPS Office website at 

www.cops.usdoj.gov and select the “Account Access” link in the upper-right corner to log in; once you are 

logged in, select “Applications” from the agency portal menu, click on the “SF-425” icon, and follow the 

instructions to complete and submit your reports. 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. 

When are Federal Financial Reports (SF-425) due?

SF-425s for COPS Office awards must be submitted every quarter and no later than 30 days after the last day of 

each reporting quarter, as detailed in table 1: 

Table 1. Due dates of SF-425 by quarter

Reporting quarter 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
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For your initial 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 to the end of that period. 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 02-01-13 and the current date is 04-15-13, then your first SF-425 would be due no later 

than 04-30-13 and would cover the period 02-01-13 (award start date) through 03-31-13 (end of the most recent 

reporting period). This SF-425 must be on file with the COPS Office so that you can successfully complete a 

drawdown of funds through GPRS. 

Award recipients who do not submit SF-425s by the due date each quarter will be unable to draw down award 

funds until the report has been successfully submitted. 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 outreach 

through e-mail, fax, or hard copy reminders may be sent to the recipient if the SF-425 is delinquent.

For general information concerning online filing of SF-425 reports, go to www.cops.usdoj.gov or contact the 

COPS Office Response Center by phone at 800-421-6770 or by e-mail at AskCopsRC@usdoj.gov.

For assistance in completing the SF-425, contact the COPS Office Response Center at 800-421-6770 or by e-mail 

at AskCopsRC@usdoj.gov or review the “Helpful Hints Guide for Completing the Federal Financial Report (SF425)” at www.cops.usdoj.gov/pdf/SF-425_Helpful_Hints_Guide_5.9.13.pdf. 

How will awards 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 award through financial reports, on-site visits, officebased grant reviews, meetings, telephone contacts, reports, audits, reviews of grant change requests, and 

special request submissions.

Program Progress Reports

Quarterly Program Progress Reports and a Final Program Progress (Closeout) Report are required to be 

submitted directly to the COPS Office through the “Account Access” link of the COPS Office website at 

www.cops.usdoj.gov. 

How do we file a Program Progress Report? 

Please access the COPS Office website at www.cops.usdoj.gov and click on the “Account Access” link at the top 

right 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.

How do we obtain online access to complete the Program Progress Report? 

If you do not have login access, you should contact your agency portal administrator to set up an account for 

you. 
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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,” entering your e-mail address, and clicking on the “Forgot 

Password” link. If you do not have your user name or password, please contact the COPS Office Response Center 

by phone at 800-421-6770 (from Monday through Friday between 9:00 a.m. and 5:00 p.m. Eastern time) or by email at AskCopsRC@usdoj.gov. 

Do we need to request a Program 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 will be sent electronically in January, April, July, and October covering 

activities for the preceding calendar quarter. Notification for submitting your Final Program Progress (Closeout) 

Report will be sent to your agency in the month following your award end date.

When are Program Progress Reports due?

Program Progress Reports for COPS Office awards must be submitted every quarter and no later than 30 days 

after the last day of each reporting quarter, as detailed below:

Table 2. Due dates of Program Progress Reports by quarter

Reporting quarters Program Progress Report 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

What kind of information will these reports require? 

They will request information about the status of your agency’s hiring or rehiring of additional career law 

enforcement officers and your award-related community policing activities.

What if we make a mistake or need to modify the report after it is submitted? 

Recipients may need to make a change or may be asked by a subsequent COPS Office reviewer to make a 

correction to a submission. The recipient can update the submission by logging on to the COPS Office website or 

by calling the COPS Office Progress Report Team at 800-659-7379.

Will the data that we submit be publicly available? 

Program Progress Reports submitted to the COPS Office may be reported publicly in response to a Freedom of 

Information Act (FOIA) request. 

If your agency has any questions regarding the submission of these required reports, please call the COPS Office

Progress Report Team at 800-659-7379.
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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 

award, may be reported to the U.S. Department of Justice. Furthermore, the COPS Office welcomes the 

opportunity to provide assistance regarding the implementation of award provisions to help ensure that federal 

award 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 https://oig.justice.gov/hotline/, OIG.hotline@usdoj.gov, or 800-869-4499. 

• If you suspect award violations (not criminal in nature) related to the award conditions listed in this manual, 

please contact the COPS Office Grant Monitoring Division at 202-514-9202.

• If you have any questions or need assistance regarding your award, please contact your COPS Office Grant 

Program Specialist at 800-421-6770.
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VI. Community Policing Activities

The COPS Office defines community policing as 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, fear of crime, and social disorder. CHP 

awards must be used to initiate or enhance community policing activities. All newly hired, additional, or rehired 

officers funded under CHP (or an equal number of redeployed veteran officers) must implement your agency’s 

approved community policing strategy, which you described in your award application, and advance your 

agency’s community policing activities over the life of the award. 

In your application, you specified a community policing implementation strategy for the CHP award with specific 

reference to a specific crime or disorder problem and the following elements of community policing:

• Problem solving—your agency’s strategy to assess and respond to the problem identified

• Community partnerships and support, including related governmental and community initiatives that 

complement your agency’s proposed use of CHP funding

• Organizational transformation—how your agency will use these funds to reorient its mission to 

community policing or enhance its involvement in and commitment to community policing

Your organization may be audited or monitored to ensure that it is initiating or enhancing community policing 

in accordance with the community policing strategy or strategies you indicated in your application and that the 

officers hired (or an equal number of redeployed veteran officers) are used to implement this strategy. We 

understand that your community policing needs may change during the life of your award. We also recognize 

that this strategy may incorporate a broad range of possible community policing strategies and activities and 

that your agency may implement particular community policing strategies from the plan on an as-needed basis 

throughout the life of the award. Minor changes to this plan may be made without prior approval of the COPS 

Office; however, recipients will be required to report on progress or changes to the community policing strategy

(if any) through required quarterly progress reports. Any changes to the community policing scope or strategies 

originally identified in your CHP application should be documented within your quarterly progress report. If your 

agency’s community policing strategy changes significantly, you must submit those changes to the COPS Office 

for approval through the quarterly progress report. Changes are significant if they deviate from the specific

crime problem(s) originally identified and approved in the community policing strategy submitted with the 

application. Additional information about community policing may be found in appendix C, “Community 

policing defined,” on page 62 of this manual.
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VII. When the Award Period Has Ended

At the end of your agency’s award period, the COPS Office is responsible for the closeout of your award. As part 

of this process, the COPS Office requires documentation demonstrating that your agency has met all of the 

financial and programmatic requirements of the award. 

After the end of the award period, your agency will be asked to submit a final Federal Financial Report (SF-425) 

and any applicable final program reports. 

Final Federal Financial Report 

The final Federal Financial Report (SF-425) for your award is due to the COPS Office no later than 90 days after 

the end of the award period. The final report should reflect the total amount of allowable federal expenditures 

that were incurred during the life of the award, as well as the amount of unobligated funds remaining, if any. The 

federal funds expended should reflect only the actual allowable incurred salary and fringe benefit costs for the 

36-month award period that each award position was occupied. In addition, once you have completed your final 

drawdown, this report should reconcile with the total amount of federal funds drawn down by your agency. The 

final SF-425 should also report the total amount of the local cash match contributed over the 36-month award 

period, which should be at least 25 percent of the total award project, unless waived by the COPS Office in 

writing. 

When should all of the award monies be spent? 

Award funds reflecting allowable project costs must be obligated before the end of the award period. Obligated 

funds cover monies spent and expenses for all approved items in the FCM that your agency has incurred but has 

not yet paid. Your agency has up to 90 days after the end of the award period to request reimbursement for 

funds obligated. 

Please be advised that 2 CFR Part 200.343(a) requires recipients to submit final SF-425s and 2 CFR Part 200.343(b) 

requires recipients to draw down the final reimbursement for expended funds within 90 days after the expiration of the 

award. In addition, be advised that failure to complete the drawdown 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 award funds remaining in your account following the award 

period due to an overestimate of item costs during the award 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 award 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 award 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 award, 

and the information your agency provides in this report will be used to make a final assessment of your award 

progress.
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Retention

At the conclusion of 36 months of federal funding for each awarded officer position, your agency must 

implement its plan, submitted at the time of award application, to retain the additional COPS Office-funded 

officer position(s) with state or local funds for a minimum of 12 months as required by award condition #26 in 

this manual. If an agency is awarded several officer positions, the retention period for each individual officer 

position begins upon completion of 36 months of federal funding for each position (not based on the 

cumulative award end date). The additional officer positions should be added to your agency’s law enforcement 

budget with state or local funds for at least 12 months over and above the number of locally funded officer 

positions that would have existed in the absence of the award. If a position becomes vacant during the retention 

period, your agency must take active and timely steps consistent with its hiring policies and procedures to fill the 

position with a new, additional officer to complete the remainder of the 12-month retention period.

Absorbing CHP-funded officers through attrition (rather than adding the extra positions to your budget with 

additional funding) does not meet the retention requirement. In addition, your agency may not use federal 

funding from other COPS Office awards to retain positions awarded under a previous COPS Office hiring award. 

If you have any questions regarding the retention requirement, please contact your COPS Office Grant Program 

Specialist at 800-421-6770 or via e-mail at AskCopsRC@usdoj.gov. 
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VIII. Conclusion

We hope that this manual has assisted you and your agency with your award questions. We welcome and 

encourage any comments you have regarding the CHP 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: CHP Control Desk 

145 N Street NE

Washington, DC 20530

If you have any questions about your award, please call your COPS Office Grant Program Specialist or the COPS

Office Response Center at 800-421-6770.

Pursuant to Executive Order 13513, “Federal Leadership on Reducing Text Messaging While Driving,” the COPS 

Office encourages recipients of U.S. Department of Justice funds to adopt and enforce policies that ban text

messaging while driving and to establish workplace safety policies to decrease crashes caused by distracted 

drivers.
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Appendices

Appendix A. List of source documents

A. Primary sources

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

Consolidated Appropriations Act, 2010, Public Law 111-117

B. Secondary sources

Code of Federal Regulations (CFR)/Office of Management and Budget (OMB):

2 CFR Part 200 (Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal 

Awards) as adopted by the U.S. Department of Justice in 2 CFR § 2800.101

4 CFR Parts 101-105, U.S. Department of Justice/Government Accountability Office, “Joint Federal Claims 

Collections Standards” 

5 CFR Part 1320, “Controlling the Paperwork Burden on the Public” 

5 CFR Part 151, “Political Activity of State and Local Officers or Employees” 

28 CFR Part 23, “Criminal Intelligence Systems Operating Policies” 

28 CFR Part 61, “Procedures for Implementing the National Environmental Policy Act” 

28 CFR Part 83, “Government-Wide Requirements for Drug-Free Workplaces (Grants)” 

28 CFR Part 69, “New Restrictions on Lobbying” 

31 CFR Part 205,”Rules and Procedures for Efficient Federal-State Funds Transfers”

OMB Circular A-129, “Managing Federal Credit Programs” 

48 CFR Part 31, et seq. (FAR-31), “Contract Cost Principles and Procedures” 

Executive orders: 

Executive Order 12291, “Regulations” 

Executive Order 12372, 28 CFR Part 30 “Intergovernmental Review of Federal Programs” 

Executive Order 12547, “Non-Procurement Debarments and Suspension” 
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Appendix B. Assurances and Certifications

Assurances

Several provisions of federal law and policy apply to all grant and cooperative agreement programs. The Office

of Community Oriented Policing Services (“COPS Office”) needs to secure your assurance that the applicant will

comply with these provisions. If you would like further information about any of these assurances, please

contact your state’s COPS Office Grant Program Specialist at 800-421-6770.

By signing this form, the applicant assures that it will comply with all legal and administrative requirements that

govern the applicant for acceptance and use of federal award funds. In particular, the applicant assures us of the 

following: 

1. It has been legally and officially authorized by the appropriate governing body (for example, mayor or city

council) to apply for this grant or cooperative agreement and that the persons signing the application and

these assurances on its behalf are authorized to do so and to act on its behalf with respect to any issues that

may arise during processing of this application.

2. It will comply with the provisions of federal law, which limit certain political activities of employees whose

principal employment is in connection with an activity financed in whole or in part with this grant or 

cooperative agreement. These restrictions are set forth in 5 U.S.C. § 1501, et seq.

3. 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.

4. It will establish safeguards, if it has not done so already, to prohibit employees from using their positions for

a purpose that is, or gives the appearance of being, motivated by a desire for private gain for themselves or

others, particularly those with whom they have family, business or other ties. In addition, it will disclose (in 

writing) to the COPS Office any potential conflict of interest arising during the course of performance of the 

grant or cooperative agreement award and also will require such written disclosures by any subrecipients.

5. As required by 42 U.S.C. § 3796dd-6, it will give the U.S. Department of Justice or the Comptroller General

access to and the right to examine records and documents related to the award.

6. It will comply with all requirements imposed by the U.S. Department of Justice as a condition or

administrative requirement of the grant or cooperative agreement, including but not limited to: the

requirements of 2 C.F.R. Part 200 (Uniform Administrative Requirements, Cost Principles, and Audit

Requirements for Federal Awards) as adopted by the U.S. Department of Justice in 2 C.F.R. § 2800.101 ; 48

C.F.R. Part 31 (FAR Part 31) (Contract Cost Principles and Procedures); the applicable provisions of the

Omnibus Crime Control and Safe Streets Act of 1968, as amended; 28 C.F.R. Part 38 (Equal Treatment for 

Faith-Based Organizations); the applicable COPS application guide; the applicable COPS grant owner's

manual or award owner’s manual; and with all other applicable program requirements, laws, orders, or

regulations.

7. As required by 42 U.S.C. § 3796dd-1(c)(11), it will, to the extent practicable and consistent with applicable

law, seek, recruit and hire qualified members of racial and ethnic minority groups and qualified women in

order to further effective law enforcement by increasing their ranks within the sworn positions in the

agency.
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8. It will not (and will require any subgrantees, contractors, successors, transferees, and assignees not to), on

the grounds of race, color, religion, national origin, 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 U.S. Department of Justice regulations

implementing those statutes at 28 C.F.R. Part 42 (subparts C, D, E, G, and I). It will also comply with Executive

Order 13279, Equal Protection of the Laws for Faith-Based and Community Organizations; Executive Order 

13559, Fundamental Principles and Policymaking Criteria for Partnerships With Faith-Based and Other 

Neighborhood Organizations; and the U.S. Department of Justice implementing regulations at 28 C.F.R. Part 

38. 

A. In the event that any court or administrative agency makes a finding of discrimination on grounds

of race, color, religion, national origin, gender, disability or age against the applicant after a due

process hearing, it agrees to forward a copy of the finding to the Office for Civil Rights, Office of

Justice Programs, 810 7th Street, NW, Washington, D.C. 20531.

B. It will 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). The requirements are as follows:

If your organization has fewer than fifty employees or receives an award of less than $25,000 or

is a nonprofit organization, a medical institution, an educational institution, or an Indian tribe, 

then it is exempt from the EEOP requirement. To claim the exemption, your organization must 

complete and submit Section A of the Certification Form, which is available online at 

http://www.ojp.usdoj.gov/about/ocr/pdfs/cert.pdf. If your organization is a government 

agency or private business and receives an award of $25,000 or more, but less than $500,000, 

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

political appointees), then it has to prepare a Utilization Report (formerly called an EEOP Short 

Form), but it does not have to submit the report to the OCR for review. Instead, your 

organization has to maintain the Utilization Report on file and make it available for review on 

request. In addition, your organization has to complete Section B of the Certification Form and 

return it to the OCR. The Certification Form is available at 

http://www.ojp.usdoj.gov/about/ocr/pdfs/cert.pdf. If your organization is a government 

agency or private business and has received an award for $500,000 or more and has fifty or 

more employees (counting both full- and part-time employees but excluding political 

appointees), then it has to prepare a Utilization Report (formerly called an EEOP Short Form) 

and submit it to the OCR for review within sixty days from the date of this letter. For assistance 

in developing a Utilization Report, please consult the OCR's website at 

http://www.ojp.usdoj.gov/about/ocr/eeop.htm. In addition, your organization has to 

complete Section C of the Certification Form and return it to the OCR. The Certification Form is 

available at http://www.ojp.usdoj.gov/about/ocr/pdfs/cert.pdf. To comply with the EEOP 

requirements, you may request technical assistance from an EEOP specialist at the OCR by 

telephone at 202-307-0690, by TTY at 202-307-2027, or by e-mail at 

EEOsubmisson@usdoj.gov. 
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9. Pursuant to U.S. Department of Justice guidelines (June 18, 2002 Federal Register (Volume 67, Number 117,

pages 41455-41472)), under Title VI of the Civil Rights Act of 1964, it will ensure meaningful access to its

programs and activities by persons with limited English proficiency.

10. It will ensure that any facilities under its ownership, lease or supervision which shall be utilized in the

accomplishment of the project are not listed on the Environmental Protection Agency’s (EPA) list of

Violating Facilities and that it will notify us if advised by the EPA that a facility to be used in this grant is

under consideration for such listing by the EPA.

11. If the applicant’s state has established a review and comment procedure under Executive Order 12372 and

has selected this program for review, it has made this application available for review by the state Single

Point of Contact.

12. It will submit all surveys, interview protocols, and other information collections to the COPS Office for

submission to the Office of Management and Budget for clearance under the Paperwork Reduction Act of

1995 if required.

13. It will comply with the Human Subjects Research Risk Protections requirements of 28 C.F.R. Part 46 if any

part of the funded project contains non-exempt research or statistical activities which involve human

subjects and also with 28 C.F.R. Part 22, requiring the safeguarding of individually identifiable information

collected from research participants.

14. Pursuant to Executive Order 13043, it will enforce on-the-job seat belt policies and programs for employees

when operating agency-owned - or - rented or personally-owned vehicles.

15. As required by 42 U.S.C. § 3796dd-3(a), it will not use COPS Office funds to supplant (replace) state, local, or

Bureau of Indian Affairs funds that otherwise would be made available for the purposes of this grant, as 

applicable.

16. If the awarded grant contains a retention requirement, it will retain the increased officer staffing level 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.

17. It will not use any federal funding directly or indirectly to influence in any manner a Member of Congress, a 

jurisdiction, or an official of any government, to favor, adopt, or oppose, by vote or otherwise, any

legislation, law ratification, policy or appropriation whether before or after the introduction of any bill,

measure, or resolution proposing such legislation, law, ratification, policy or appropriation as set forth in the

Anti- Lobby Act, 18 U.S.C. § 1913.

18. 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 nonfederal share) equal to the

amount seized in order to fully implement the grant project.
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False statements or claims made in connection with COPS Office grants or 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 awardee of its obligations under this award. 

__________________________________________ ___________________________

Signature of Law Enforcement Executive/Agency Executive Date

(For your electronic signature, please type in your name) 

______________________________________________ ___________________________

Signature of Government Executive/Financial Official Date

(For your electronic signature, please type in your name)
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Certifications Regarding Lobbying; Debarment, Suspension and Other Responsibility Maters; 

Federal Taxes and Assessments; Drug-Free Workplace Requirements; and Coordination with 

Affected Agencies.

Although the U.S. Department of Justice has made every effort to simplify the application process, other 

provisions of federal law require us to seek your agency’s certification regarding certain matters. Applicants 

should carefully review the statutes and regulations cited below and the instructions for certification to 

understand the requirements and whether they apply to a particular applicant. Signing this form complies with 

the certification and notice requirements under 28 C.F.R. Part 69 “New Restrictions on Lobbying”; 2 C.F.R. Part 

2867 “Nonprocurement Debarment and Suspension”; 2 C.F.R. Part 200 “Uniform Administrative Requirements, 

Cost Principles, and Audit Requirements for Federal Awards”; the general provisions in the applicable 

Appropriations Act; 28 C.F.R. Part 83 “Government-Wide Requirements for Drug-Free Workplace (Grants)”; and 

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 U.S. Department of Justice 

determines to award the covered grant.

1. Lobbying

As required by 31 U.S.C. § 1352, implemented at 28 C.F.R. Part 69, for persons entering into a grant or 

cooperative agreement over $100,000, and 2 C.F.R. § 200.450 as adopted by the U.S. Department of Justice 

in 2 C.F.R. § 2800.101, the applicant certifies to the following:

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; or the extension, continuation, renewal, amendment or modification of any federal 

grant or cooperative agreement.

B. If any funds other than federal appropriated funds have been paid or will be paid to any person for 

influencing or attempting to influence an officer or employee of any agency, a member of 

Congress, an officer or employee of Congress, or an employee of a member of Congress in 

connection with this federal grant or cooperative agreement, the undersigned shall complete and 

submit Standard Form - LLL, “Disclosure of Lobbying Activities,” in accordance with its instructions. 

C. If applicant is a nonprofit organization or an institution of higher education, it will comply with the 

additional lobbying restrictions set forth in 2 C.F.R. § 200.450(c) as adopted by the U.S. Department 

of Justice in 2 C.F.R. § 2800.101.

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

Pursuant to Executive Order 12549, Debarment and Suspension, as implemented at 2 C.F.R. Part 2867, for 

prospective participants in primary covered transactions, as defined at 2 C.F.R. § 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;

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 (B) 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. Mandatory Disclosure

Pursuant to the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal 

Awards, 2 C.F.R. § 200.113 as adopted by the U.S. Department of Justice in 2 C.F.R. § 2800.101, the applicant 

certifies that it:

A. Has not violated any federal criminal law involving fraud, bribery, or gratuity that may potentially 

affect the federal grant or cooperative agreement; 

B. Shall timely disclose in writing to the federal awarding agency or pass-through entity, as applicable, 

any violation of federal criminal law involving fraud, bribery, or gratuity that may potentially affect 

the federal grant or cooperative agreement; and

C. Shall require that the language of this certification be included in the award documents for all 

subawards (including subgrants and cooperative agreements) and shall require all subrecipients 

certify and disclose accordingly. 

4. 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.
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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.

5. Drug-Free Workplace 

As required by the Drug-Free Workplace Act of 1988 (41 U.S.C. 8103), and implemented at 28 C.F.R. Part 83, 

for recipients (other than individuals), as defined at 28 C.F.R. § 83.660 – 

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

following:

(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; 

(iii) Making it a requirement that each employee to be engaged in the performance of the grant be 

given a copy of the statement required by paragraph (i);

(iv) Notifying the employee in the statement required by paragraph (i) that, as a condition of 

employment under the grant, the employee will – 

(a) abide by the terms of the statement; and

(b) notify the employer in writing of his or her conviction for a violation of a criminal drug 

statute occurring in the workplace no later than five calendar days after such conviction; 

(v) Notifying the agency in writing within 10 calendar days after receiving notice under 

subparagraph (iv)(b) from an employee or otherwise receiving actual notice of such conviction. 

Employers of convicted employees must provide notice, including position title, to: COPS 

Office, 145 N Street, NE, Washington, D.C. 20530. Notice shall include the identification 

number(s) of each affected grant;

(vi) Taking one of the following actions within 30 calendar days of receiving notice under 

subparagraph (iv)(b) with respect to any employee who is so convicted – 

(a) Taking appropriate personnel action against such an employee, up to and including 

termination, consistent with the requirements of the Rehabilitation Act of 1973, as 

amended; or

(b) Requiring such employee to participate satisfactorily in a drug abuse assistance or 

rehabilitation program approved for such purposes by a federal, state or local health, law 

enforcement or other appropriate agency;
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(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 COPS Office 

award, keep the identification documents on file, and make them available for inspection upon 

request by the U.S. Department of Justice officials or their designated representatives. 

6. Coordination

As required by 42 U.S.C. § 3796dd-1(c)(5) of the Public Safety Partnership and Community Policing Act of 

1994, applicants must 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 check the box if an 

explanation is attached to this application. Please note that the applicant is still required to sign the Certifications 

form to certify to all the other applicable statements.

False statements or claims made in connection with COPS Office grants or 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.

__________________________________________ ___________________________

Signature of Law Enforcement Executive/Agency Executive Date

(For your electronic signature, please type in your name) 

______________________________________________ ___________________________

Signature of Government Executive/Financial Official Date

(For your electronic signature, please type in your name)
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Appendix C. Community policing defined

Community policing is a philosophy that promotes organizational strategies and supports 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, fear of crime, and social disorder.

Problem solving

Problem solving is the process of engaging in the proactive and systematic examination of identified problems 

to develop effective responses that are evaluated rigorously.

• Scanning: Identifying and prioritizing problems

• Analysis: Analyzing problems

• Response: Responding to problems

• Assessment: Assessing problem-solving initiatives

• Using the crime triangle to focus on immediate conditions (victim/offender/location)

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 severity, 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.

Analysis: Analyzing

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.
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Response: Responding to 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 totally eliminating the problem through substantially 

reducing the problem to reducing the amount of harm caused by the problem or improving the quality of 

community cohesion.

Assessment: Assessing problem-solving initiatives

Assessment attempts to determine if the response strategies were successful by determining 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 builds 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.

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 aspects that could have an impact on them—for example, 

capable guardians for victims, handlers for offenders, and managers for locations. Rather than addressing 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.

Community partnerships

Community partnerships are collaborative partnerships between the law enforcement agency and the 

individuals and organizations they serve to develop solutions to problems and increase trust in police.

• Other government agencies

• Community members and groups

• Nonprofits and service providers

• Private businesses

• Media

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 public 

safety problems.
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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 departments, public works departments, neighboring law enforcement 

agencies, health and human services departments, child support, ordinance enforcement, and schools.

Community members and 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. Partnerships with these factions of the community can engage the community 

in achieving specific goals at town hall meetings, neighborhood association meetings, decentralized 

offices/storefronts in the community, and team beat assignments.

Nonprofits and 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 certain 

interests and can include such entities as victims groups, service clubs, support groups, issue groups, advocacy 

groups, 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 on problems of mutual concern. Businesses can help identify 

problems and provide resources for responses, often including their own security apparatus and community 

outreach. The local chamber of commerce can also assist in disseminating information about police and 

business partnerships and initiatives.

Media

The media represent a powerful mechanism by which to communicate with the community. It 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

Organizational transformation is the alignment of organizational management, structure, personnel, and 

information systems to support community partnerships and proactive problem solving.

Agency management

• Climate and culture

• Leadership

• Labor relations

• Decision making

• Strategic planning
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• Policies

• Organizational evaluations

• Transparency

• Organizational structure

• Geographic assignment of officers

• Despecialization

• Resources and finances

Personnel

• Recruitment, hiring, and selection

• Personnel supervision/evaluations

• Training

Information systems (technology) 

• Communication / access to data

• Quality and accuracy of data

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 the department is managed and organized, its personnel, and its 

technology.

Agency management

Under the community policing model, police management needs to infuse 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 dominant way of doing business.
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Labor relations

If community policing is going to be effective, police unions and similar forms of organized labor need to 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.

Decision making

Community policing calls for decentralization both in command structure and in 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 the 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 value statement should be 

simple and communicated widely. Everything should connect back to this plan.

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 increased 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 not only at measured outcomes 

but also at how feedback information is used. 

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, as well as police operations with the community.
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Organizational structure 

It is important that the organizational structure of the agency ensures that local patrol officers have decisionmaking 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 in specific neighborhoods or 

areas. Geographic deployment plans can help enhance customer service and facilitate more contact between 

police and citizens, thus establishing strong relationships and mutual accountability. Beat boundaries should 

correspond to neighborhood boundaries, and other government services should recognize these boundaries 

when coordinating government public-service activities.

Despecialization

To achieve community policing goals, officers must 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 in special units, although there may be a need for specialist units 

that are tasked with identifying and solving particularly complex problems or managing complex partnerships.

Resources and finances

Agencies must devote the necessary human and financial resources to support community policing to ensure 

that problem-solving efforts are robust and that partnerships are sustainable 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 including sworn 

officers, nonsworn officers, civilians, and volunteers, as well as personnel evaluations, supervision, and training.

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, not just a spirit of 

adventure. A community policing agency must also thoughtfully examine where it looks for recruits, whom it is 

recruiting and hiring, and what is being tested. Some community policing agencies also look for the 

involvement of the community in this process through the identification of competencies and participation in 

review boards.

Personnel supervision/evaluations

Tie performance evaluations to community policing principles and activities that are incorporated into job 

descriptions. Performance, reward, and promotional structures should support sound problem-solving activities, 

proactive policing and community collaboration, and citizen satisfaction with police services.
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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 (a) identify 

and correct conditions that could lead to crime, (b) raise public awareness, and (c) engage the community in 

finding solutions to problems. Field training officers and supervisors can encourage problem solving and help 

officers learn from other problem-solving initiatives. Until community policing is institutionalized within 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 providing 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 developing agency 

accountability systems and performance outcome measures.

Communication / access to data

Technology provides agencies with the ability 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 to provide online reports, reverse 911 and e-mail alerts, discussion 

forums, and feedback on interactive applications (surveys, maps), thereby creating ongoing dialogs and 

increasing transparency.

Technology also encourages effective internal communication through memos, reports, newsletters, e-mail and 

enhanced incident reporting, dispatch functions, and communications interoperability with other entities for 

more efficient operations. Community policing advocates 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 also promotes 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 information on greater aspects of events including more detailed 

information on 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; therefore it is not useful if it is not high quality and accurate. 

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 the information can be used effectively for strategic planning, problem solving, and 

performance measurement.
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Appendix D. COPS Hiring Program (CHP) file management: 

Documents to maintain in CHP award file

Records must be maintained throughout the three-year CHP award period and for at least three years following 

the official closeout of the CHP award. 

AWARD PROGRAM____CHP_________AWARD # ______________________________________

AWARD START DATE_____________ORIGINAL AWARD END DATE____________

EXTENDED AWARD END DATE (if applicable)________________________

COPY OF AWARD APPLICATION (You can access the final copy of your CHP application through the COPS Office

website at www.cops.usdoj.gov. Using the “Account Access” link, print a copy of the application and keep it 

with your agency’s CHP award records.)

_____

_____

COPY OF AWARD DOCUMENT

FINANCIAL CLEARANCE MEMO

AWARD MODIFICATION APPROVAL LETTERS (with revised budget information) OR AWARD EXTENSION 

APPROVAL LETTERS (if applicable)

_____

_____

QUARTERLY FEDERAL FINANCIAL REPORT – SF-425 (for each quarter of the award period)

PROGRAMMATIC PROGRESS REPORTS 

• CHP quarterly progress report(s) (for each quarter of the award period)

• Closeout report

_____ SUPPORTING DOCUMENTATION FOR DRAWDOWNS

• W2 employee forms (copy) 

• Records of salary / approved fringe benefits rates for each person hired under the award

• Records of hire dates for each person hired under the award 

• Payroll records / time & attendance records

• Postal receipts / fax transmission reports (to prove submission dates)

• Log of reimbursement requests made via GPRS

• Copies of checks or wire transfer documents (if applicable)

• Copies of financial office journal entries (if applicable)
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_____ ADDITIONAL SUPPORTING DOCUMENTATION FOR MILITARY VETERAN HIRES

• Copy of Certificate of Release or Discharge from Active Duty (DD-214)

_____ ADDITIONAL SUPPORTING DOCUMENTATION FOR REHIRES

• Records of the date of layoff(s)

• Records demonstrating the reason(s) for the layoff(s), specifically showing fiscal reasons that are 

unrelated to the availability or receipt of CHP funds. [Records that may be used to prove that scheduled 

layoffs are occurring for local economic reasons that are unrelated to the availability of CHP award 

funds may include (but are not limited to) council or departmental meeting minutes, memoranda, 

notices, or orders discussing the layoffs; notices provided to the individual officers regarding the date(s) 

of the layoffs; or budget documents ordering departmental and/or jurisdiction-wide budget 

reductions.]

• Records demonstrating that your agency continued funding the officers with local funds until the date 

of the scheduled layoffs and did not draw down on CHP funding for the positions until the layoffs 

otherwise would have occurred.

• Records demonstrating that your agency paid any higher-than-entry-level salary and benefits costs to 

rehired officers with local funds and used CHP funds only for the approved entry-level salary and 

benefits package.

_____ SUPPORTING DOCUMENTATION FOR RETENTION

• Records (e.g., council meeting minutes) demonstrating that your agency plans to retain.

• Personnel records (e.g., employee action forms) with the employment dates of each officer. [If a position 

becomes vacant during the award or retention period, your agency must maintain records of the 

employment dates of any new officer(s) hired to fill the position.]

• Records demonstrating that your agency took timely and active steps to fill all vacancies occurring 

during the retention period in accordance with the agency’s standard hiring practices and procedures.

• Records demonstrating the date each officer position was retained with local funds and that each 

position was retained with local funds for at least 12 months following the 36-month award period.

_____

_____

AWARD CORRESPONDENCE (all other general correspondence between COPS Office and recipient) 

MEDIA REPORTS

• [Newspaper clippings, magazine articles, certificates, or other noteworthy items should be included to 

illustrate achievements and successes of the award, such as community policing highlights and other 

award-related accomplishments. In addition, any CDs, DVDs, electronic newsletters, brochures, website 

addresses, or other similar information published in connection with the award should be referenced.]
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In the event of a COPS Office award monitoring review, the following information should be retained:

Reduction-in-force review

• Identification of the number of sworn officer positions (both full-time and part-time) funded in the 

agency’s budget with local or other non-COPS Office funding during each fiscal year as of the threshold 

review date (please note that this may include vacant but funded positions).

• Identification of the current number of vacancies among the agency’s locally funded sworn personnel, 

the dates on which the positions were vacated, whether the agency intends to fill the vacancies, and the 

steps, if any, that were taken to fill the vacancies.

• Provision of supporting documentation from the time the reduction in force occurred indicating the 

reason(s) for the reduction in force (examples of supporting documentation may include minutes from 

council meetings, budget directives, contemporaneous memoranda, etc.).

• Identification of the number of COPS Office-funded officers the agency currently employs.

• Documentation regarding whether other local departments in the city/township have experienced 

similar manpower or budget reductions for the same reasons as the PD.

• Letters from the agency’s government executive and law enforcement executive explaining the 

reduction in force and addressing whether the reduction in force was unrelated to the receipt of the 

COPS Office CHP funding and therefore would have occurred even in the absence of the CHP award. 

• Provision of a request to continue implementing all applicable COPS Office awards (identifying which 

awards are in place) despite the reduction in force.

Failure to retain review

• Evidence to show that attempts have failed to add the COPS Office-funded positions to a request for 

local funding during local budget negotiations; attempts have failed to obtain other nonfederal funding 

sources (such as state awards) to support the additional positions at the termination of the COPS Office 

award; and attempts have failed to seek additional law enforcement funding from private sources, 

including corporate, nonprofit, and foundation donations or awards. 

• Documentation of any of the following mitigating circumstances that may have hindered agency 

attempts to implement the retention plan: evidence to show that the jurisdiction has been declared 

bankrupt by a court of law; jurisdiction has been placed in receivership, or its functional equivalent, by 

the state or Federal Government; jurisdiction has been declared a financially distressed area by its state; 

budgetary imbalance or expenditure cutbacks resulting in significant reductions in other services 

provided by the agency or significant layoffs of the agency’s personnel; extraordinary and unanticipated 

nonrecurring expenses or loss of revenue (including closure or relocation of major employers) resulting 

in a material effect on the jurisdiction’s fiscal condition; significant downgrading of the jurisdiction’s 

bond rating for fiscal-related reasons; filing for bankruptcy, receivership, or similar measures, with the 

request for relief pending; location within an area in which a declaration of major disaster has been 

made pursuant to the Robert T. Stafford Disaster Relief and Emergency Assistance Act; or other events 

or conditions demonstrating severe fiscal distress. 
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Excess cash review

• Identification of the total amount of award funding drawn down from the award. 

• Summary and supporting documentation of how the agency expended award funding.

• Revised Federal Financial Reports.

Local match review 

• Documentation that specifically identifies the sources of the local match such as written memoranda, 

local government council minutes, or other documentation to support the appropriation or designation 

of local funds for the sole purpose of paying local match for the specific award.

• Written requests for waiver of local match and written approval from the COPS Office waiving local 

match.

• Federal Quarterly Financial Reports (SF-425) that identify the amount of local match paid each quarter.

Unallowable/unsupported costs review 

• Payroll ledgers for all expenses charged to the award. 

Community policing review

• Brochures, newsletters, or any documents detailing the agency’s community policing efforts as 

specified in your award application, particularly in the following key areas:

• Organizational Commitment

 Community policing principles found in mission and values statements, policy and procedures 

manuals, etc.

 Promoting community policing as part of the law enforcement culture.

 Community policing training disseminated during recruit training in the academy and/or during inservice training. 

 Strategic planning that incorporates community policing initiatives as part of the overall law 

enforcement approach to provide public safety.

• Problem Solving Activities

 Building on information systems to enhance crime analysis capabilities.

 Identifying crime problems by looking at crime trends.

 Identifying crime problems with members of the community or other government agencies.

 Preventing crime by focusing on conditions that lead to crime.
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• Community Partnerships

 Meetings with community members to learn about specific problems.

 Locating offices or stations within neighborhoods.

 Use of volunteers and/or reserve officers. 

 Providing community policing training to citizens.

 Police participation in community organization working groups and/or special programs for 

schools and other interest groups which enhance crime prevention.
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Appendix E. Memorandum of Understanding guidance

Developing your school-based partnership

School and law enforcement partnerships are built on a foundation of shared goals and objectives, which are 

approached in a constructive and positive manner and achieved through open communication. When schools, 

communities, and law enforcement agencies work together to creatively tackle problems, they may be able to 

achieve a number of positive outcomes, including the following:

• An increased ability of law enforcement agencies, schools, and community groups to gather and analyze 

useful and timely information about crime and fear of crime in schools in accordance with applicable privacy 

laws;

• An increased ability of law enforcement agencies, schools, and community groups to work together in 

developing innovative, systemic, long-term approaches to reducing and preventing different kinds of crime 

in and around their schools and preventing unnecessary law enforcement involvement in non-criminal 

student misbehavior. Measurable outcomes may be determined by implementing strategies focused on 

targeted crimes, thereby improving the quality of life for those affected (students, teachers, school 

personnel, and parents), promoting a safer environment that is conducive for learning, and decreasing the 

fear of crime and violence among students, school employees, and the surrounding community;

• An increased understanding of how to effectively interact with youth through coordinated training on 

topics such as basic childhood and adolescent development and age-appropriate responses, disability and 

special education issues, conflict resolution and de-escalation techniques, bias-free policing including 

implicit bias and cultural competence, restorative justice techniques, and working with specific student 

groups such as students with disabilities or limited English proficiency and students who are lesbian, gay, 

bisexual, and transgender (LGBT); 

• An increased understanding of an SRO’s roles and responsibilities, including an understanding that school 

code of conduct violations and routine discipline of students remains the responsibility of school administrators and that law enforcement actions (such as arrest, citations, ticketing, or court referrals) are only to be 

used as a last resort for incidents that involve criminal behavior or when it becomes necessary to protect the 

safety of students, faculty, and staff from the threat of immediate harm;

• An increased ability through coordinated training for schools and law enforcement agencies to properly 

train and respond to school safety threats;

• An increased ability to plan for and respond appropriately to emergencies.

Developing a Memorandum of Understanding

An MOU, also referred to as an interagency agreement or Memorandum of Agreement (MOA), is an instrument 

used to build mutual respect and trust between partners while delineating specific roles and responsibilities of 

the partnering agencies. Every jurisdiction with a school and law enforcement partnership should have an MOU 

that clearly defines the roles and responsibilities of the individual partners involved, including school districts, 

boards or departments of education, school administration officials, law enforcement agencies (including SROs), 

and students and parents. As a policy instrument, all parties should sign and abide by the MOU, and it should be 

considered a living document that operates within the context created by applicable federal and state laws—

including, but not limited to, federal civil rights laws and privacy laws.
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Memorandum of Understanding guidelines

The COPS Office strongly encourages law enforcement agencies to work collaboratively with school partners to 

formulate additional information that will help successfully implement their overall school safety plans. The 

MOU must be submitted to the COPS Office within 90 days of the date shown on the award congratulatory 

letter. The implementation of the CHP award without submission and acceptance of the required MOU may 

result in expenditures not being reimbursed by the COPS Office and/or award de-obligation. The following 

information should be included within an MOU.

Purpose of the MOU

This statement may already exist within your ongoing partnership or may need to be developed jointly to assist 

in defining the primary purpose of your partnership. The statement of purpose should describe the agencies 

that are entering into the partnership and the effective date of the agreement.

Description of partner roles and responsibilities

This description must include the roles and responsibilities of the school, the school district, and the law enforcement agency, and each partner should be specifically listed within the document. It must clearly indicate that 

SROs will not be responsible for requests to resolve routine discipline problems involving students. The administration of student discipline, including student code of conduct violations and student misbehavior, is the 

responsibility of school administrators unless the violation or misbehavior involves criminal conduct. 

The placement of law enforcement officers in schools carries a risk of contributing to a “school-to-prison 

pipeline” process where students are arrested or cited for minor, nonviolent behavioral violations and then 

diverted to the juvenile court system. This pipeline wastes community resources and can lead to academic 

failure and greater recidivism rates for these students. Recipient agrees that any officers deployed while 

implementing school-based policing under the COPS Hiring Program award cannot be involved in the 

administrative discipline of the students.

The MOU must include the roles and responsibilities of the school partner. These roles may include providing a 

secure work space for the SRO to conduct interviews and maintain confidential records; establishing standing 

meetings; and working with school administrators in identifying problems and evaluating progress under the 

MOU, including data collection and evaluation. The school administrator should ensure that staff cooperates 

with police investigations and any subsequent actions related to crime or criminal activity on campus. 

The law enforcement partner is responsible for the selection of officer(s) assigned to the school, and these 

officer(s) should adhere to the principles of community policing. This section of the MOU must define the roles 

and responsibilities of the SRO and the assigned hours of SRO duty, including arrival and departure times and 

specifying if after-hour duties may be performed and if time spent in court, attending interagency meetings, and 

investigating school-related crimes are within the scope of SRO duties. 

The MOU should include examples of the activities that the SRO will engage in, such as 

• handling requests for calls for service in and around schools; 

• conducting comprehensive safety and security assessments; 

• developing emergency management and incident response systems based on the National Incident 

Management System (NIMS) and the four phases of emergency management: mitigation/prevention, 

preparedness, response, and recovery; 
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• developing and implementing safety plans or strategies; 

• integrating appropriate security equipment/technology solutions, including incorporating Crime Prevention 

Through Environmental Design (CPTED) as appropriate to enhance school safety; 

• responding to unauthorized persons on school property; 

• serving as liaisons between the school and other police agencies, investigative units, or juvenile justice 

authorities when necessary and consistent with applicable civil rights laws and privacy laws; 

• serving as a member of a multidisciplinary school team to refer students to professional services within both 

the school (guidance counselors or social workers) and the community (youth and family service 

organizations);

• building relationships with juvenile justice counselors to help connect youth with needed services;

• developing and expanding crime prevention efforts for students;

• developing and expanding community justice initiatives for students.

Information sharing

This section must address the type of and the extent to which information will be shared between the law enforcement agency and school or school district partners. For example, it should define the type of information 

that the school is permitted or willing to share with law enforcement, as well as information flow from law 

enforcement to school partner(s). When entering into an MOU, agencies should consider all federal or state laws 

that govern the collection, use, and dissemination of student records. 

Federal privacy laws, including the Family Educational Rights and Privacy Act of 1974 (FERPA), the Health 

Insurance Portability and Accountability Act of 1996 (HIPAA), and civil rights and other laws must be considered 

when developing plans for information sharing that involves personally identifiable information from student 

education records. For more information on FERPA, see the U.S. Department of Education’s FERPA home page at 

www.ed.gov/policy/gen/guid/fpco/ferpa/index.html; for more information on HIPAA, see the U.S. Department of Health and Human Service’s Health information privacy site at www.hhs.gov/ocr/privacy/index.html; 

and for an overview of FERPA issues relevant to emergency planning and SRO programs, please see the ”Closer 

Look” section of the Guide for Developing High-Quality School Emergency Operations Plans at 

rems.ed.gov/docs/rems_k-12_guide_508.pdf.

Supervision responsibility and chain of command for the SRO

This section should clearly establish a definitive chain of command for the SRO, including the individual(s) 

responsible for the supervision of the SRO. With rare exception, this responsibility lies with the law enforcement 

executive or his or her law enforcement designee.

Signatures

The MOU must be signed and dated by both the highest ranking law enforcement executive (i.e., police chief or 

sheriff) and the school official(s) who will have general educational oversight and decision-making authority (i.e., 

board of education chairperson, superintendent, or school principal). The MOU should be developed with 

participation from school administrators and officers assigned to the school(s) so that staff members who are 

impacted by the agreement clearly understand their roles and responsibilities. Successful MOUs are often developed by teams that include students, parents, and other community members committed to keeping schools 

safe, in addition to school and law enforcement members. The MOU should be publicly available to members of 

the school community.
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Appendix F. Whistleblower protection (41 U.S.C. 4712)

41 U.S.C. 4712. Pilot program for enhancement of contractor protection from reprisal for disclosure of certain 

information

(a) Prohibition of reprisals.--

(1) In general.--An employee of a contractor, subcontractor, or grantee may not be discharged, 

demoted, or otherwise discriminated against as a reprisal for disclosing to a person or body described in 

paragraph (2) information that the employee reasonably believes is evidence of gross mismanagement 

of a Federal contract or grant, a gross waste of Federal funds, an abuse of authority relating to a Federal 

contract or grant, a substantial and specific danger to public health or safety, or a violation of law, rule, 

or regulation related to a Federal contract (including the competition for or negotiation of a contract) or 

grant.

(2) Persons and bodies covered.--The persons and bodies described in this paragraph are the persons 

and bodies as follows:

(A) A Member of Congress or a representative of a committee of Congress.

(B) An Inspector General.

(C) The Government Accountability Office.

(D) A Federal employee responsible for contract or grant oversight or management at the relevant 

agency.

(E) An authorized official of the Department of Justice or other law enforcement agency.

(F) A court or grand jury.

(G) A management official or other employee of the contractor, subcontractor, or grantee who has 

the responsibility to investigate, discover, or address misconduct.

(3) Rules of construction.--For the purposes of paragraph (1)--

(A) an employee who initiates or provides evidence of contractor, subcontractor, or grantee 

misconduct in any judicial or administrative proceeding relating to waste, fraud, or abuse on a 

Federal contract or grant shall be deemed to have made a disclosure covered by such paragraph; 

and

(B) a reprisal described in paragraph (1) is prohibited even if it is undertaken at the request of an 

executive branch official, unless the request takes the form of a non-discretionary directive and is 

within the authority of the executive branch official making the request.

(b) Investigation of complaints.--

(1) Submission of complaint.--A person who believes that the person has been subjected to a reprisal 

prohibited by subsection (a) may submit a complaint to the Inspector General of the executive agency 

involved. Unless the Inspector General determines that the complaint is frivolous, fails to allege a 

violation of the prohibition in subsection (a), or has previously been addressed in another Federal or 

State judicial or administrative proceeding initiated by the complainant, the Inspector General shall 

investigate the complaint and, upon completion of such investigation, submit a report of the findings of 

the investigation to the person, the contractor or grantee concerned, and the head of the agency.
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(2) Inspector General action.--

(A) Determination or submission of report on findings.--Except as provided under 

subparagraph (B), the Inspector General shall make a determination that a complaint is frivolous, 

fails to allege a violation of the prohibition in subsection (a), or has previously been addressed in 

another Federal or State judicial or administrative proceeding initiated by the complainant or 

submit a report under paragraph (1) within 180 days after receiving the complaint.

(B) Extension of time.--If the Inspector General is unable to complete an investigation in time to 

submit a report within the 180-day period specified in subparagraph (A) and the person submitting 

the complaint agrees to an extension of time, the Inspector General shall submit a report under 

paragraph (1) within such additional period of time, up to 180 days, as shall be agreed upon 

between the Inspector General and the person submitting the complaint.

(3) Prohibition on disclosure.--The Inspector General may not respond to any inquiry or disclose any 

information from or about any person alleging the reprisal, except to the extent that such response or 

disclosure is--

(A) made with the consent of the person alleging the reprisal;

(B) made in accordance with the provisions of section 552a of title 5 or as required by any other 

applicable Federal law; or

(C) necessary to conduct an investigation of the alleged reprisal.

(4) Time limitation.--A complaint may not be brought under this subsection more than three years 

after the date on which the alleged reprisal took place.

(c) Remedy and enforcement authority.--

(1) In general.--Not later than 30 days after receiving an Inspector General report pursuant to 

subsection (b), the head of the executive agency concerned shall determine whether there is sufficient 

basis to conclude that the contractor or grantee concerned has subjected the complainant to a reprisal 

prohibited by subsection (a) and shall either issue an order denying relief or shall take one or more of 

the following actions:

(A) Order the contractor or grantee to take affirmative action to abate the reprisal.

(B) Order the contractor or grantee to reinstate the person to the position that the person held 

before the reprisal, together with compensatory damages (including back pay), employment 

benefits, and other terms and conditions of employment that would apply to the person in that 

position if the reprisal had not been taken.

(C) Order the contractor or grantee to pay the complainant an amount equal to the aggregate 

amount of all costs and expenses (including attorneys’ fees and expert witnesses’ fees) that were 

reasonably incurred by the complainant for, or in connection with, bringing the complaint 

regarding the reprisal, as determined by the head of the executive agency.

(2) Exhaustion of remedies.--If the head of an executive agency issues an order denying relief under 

paragraph (1) or has not issued an order within 210 days after the submission of a complaint under 

subsection (b), or in the case of an extension of time under paragraph (b)(2)(B), not later than 30 days 

after the expiration of the extension of time, and there is no showing that such delay is due to the bad 

faith of the complainant, the complainant shall be deemed to have exhausted all administrative 

remedies with respect to the complaint, and the complainant may bring a de novo action at law or 

equity against the contractor or grantee to seek compensatory damages and other relief available 

under this section in the appropriate district court of the United States, which shall have jurisdiction 
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over such an action without regard to the amount in controversy. Such an action shall, at the request of 

either party to the action, be tried by the court with a jury. An action under this paragraph may not be 

brought more than two years after the date on which remedies are deemed to have been exhausted.

(3) Admissibility of evidence.--An Inspector General determination and an agency head order denying 

relief under paragraph (2) shall be admissible in evidence in any de novo action at law or equity brought 

pursuant to this subsection.

(4) Enforcement of orders.--Whenever a person fails to comply with an order issued under paragraph 

(1), the head of the executive agency concerned shall file an action for enforcement of such order in the 

United States district court for a district in which the reprisal was found to have occurred. In any action 

brought under this paragraph, the court may grant appropriate relief, including injunctive relief, 

compensatory and exemplary damages, and attorney fees and costs. The person upon whose behalf an 

order was issued may also file such an action or join in an action filed by the head of the executive 

agency.

(5) Judicial review.--Any person adversely affected or aggrieved by an order issued under paragraph 

(1) may obtain review of the order’s conformance with this subsection, and any regulations issued to 

carry out this section, in the United States court of appeals for a circuit in which the reprisal is alleged in 

the order to have occurred. No petition seeking such review may be filed more than 60 days after 

issuance of the order by the head of the executive agency. Review shall conform to chapter 7 of title 5. 

Filing such an appeal shall not act to stay the enforcement of the order of the head of an executive 

agency, unless a stay is specifically entered by the court.

(6) Burdens of proof.--The legal burdens of proof specified in section 1221(e) of title 5 shall be 

controlling for the purposes of any investigation conducted by an Inspector General, decision by the 

head of an executive agency, or judicial or administrative proceeding to determine whether 

discrimination prohibited under this section has occurred.

(7) Rights and remedies not waivable.--The rights and remedies provided for in this section may not 

be waived by any agreement, policy, form, or condition of employment.

(d) Notification of employees.--The head of each executive agency shall ensure that contractors, 

subcontractors, and grantees of the agency inform their employees in writing of the rights and remedies 

provided under this section, in the predominant native language of the workforce.

(e) Construction.--Nothing in this section may be construed to authorize the discharge of, demotion of, or 

discrimination against an employee for a disclosure other than a disclosure protected by subsection (a) or to 

modify or derogate from a right or remedy otherwise available to the employee.

(f) Exceptions.—

(1) This section shall not apply to any element of the intelligence community, as defined in section 3(4) 

of the National Security Act of 1947 (50 U.S.C. 401a(4)).

(2) This section shall not apply to any disclosure made by an employee of a contractor, subcontractor, or 

grantee of an element of the intelligence community if such disclosure—

(A) relates to an activity of an element of the intelligence community; or

(B) was discovered during contract, subcontract, or grantee services provided to an element of the 

intelligence community.
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(g) Definitions.--In this section:

(1) The term “abuse of authority” means an arbitrary and capricious exercise of authority that is 

inconsistent with the mission of the executive agency concerned or the successful performance of a 

contract or grant of such agency.

(2) The term “Inspector General” means an Inspector General appointed under the Inspector General 

Act of 1978 and any Inspector General that receives funding from, or has oversight over contracts or 

grants awarded for or on behalf of, the executive agency concerned.

(h) Construction.--Nothing in this section, or the amendments made by this section, shall be construed to 

provide any rights to disclose classified information not otherwise provided by law.

(i) Duration of section.--This section shall be in effect for the four-year period beginning on the date that is 

180 days after the date the enactment of this section.
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Appendix G. 2 CFR Appendix II to Part 200: Contract provisions for 

nonfederal entity contracts under federal awards 

In addition to other provisions required by the federal agency or nonfederal entity, all contracts made by the 

nonfederal entity under the federal award must contain provisions covering the following, as applicable. 

(A) Contracts for more than the simplified acquisition threshold currently set at $150,000, which is the inflation 

adjusted amount determined by the Civilian Agency Acquisition Council and the Defense Acquisition 

Regulations Council (Councils) as authorized by 41 U.S.C. 1908, must address administrative, contractual, or legal 

remedies in instances where contractors violate or breach contract terms, and provide for such sanctions and 

penalties as appropriate.

(B) All contracts in excess of $10,000 must address termination for cause and for convenience by the non-Federal 

entity including the manner by which it will be effected and the basis for settlement.

(C) Equal Employment Opportunity. Except as otherwise provided under 41 CFR Part 60, all contracts that meet 

the definition of “federally assisted construction contract” in 41 CFR Part 60-1.3 must include the equal 

opportunity clause provided under 41 CFR 60-1.4(b), in accordance with Executive Order 11246, “Equal 

Employment Opportunity” (30 FR 12319, 12935, 3 CFR Part, 1964-1965 Comp., p. 339), as amended by Executive 

Order 11375, “Amending Executive Order 11246 Relating to Equal Employment Opportunity,” and implementing 

regulations at 41 CFR part 60, “Office of Federal Contract Compliance Programs, Equal Employment Opportunity, 

Department of Labor.”

(D) Davis-Bacon Act, as amended (40 U.S.C. 3141-3148). When required by Federal program legislation, all prime 

construction contracts in excess of $2,000 awarded by non-Federal entities must include a provision for 

compliance with the Davis-Bacon Act (40 U.S.C. 3141-3144, and 3146-3148) as supplemented by Department of 

Labor regulations (29 CFR Part 5, “Labor Standards Provisions Applicable to Contracts Covering Federally 

Financed and Assisted Construction”). In accordance with the statute, contractors must be required to pay 

wages to laborers and mechanics at a rate not less than the prevailing wages specified in a wage determination 

made by the Secretary of Labor. In addition, contractors must be required to pay wages not less than once a 

week. The non-Federal entity must place a copy of the current prevailing wage determination issued by the 

Department of Labor in each solicitation. The decision to award a contract or subcontract must be conditioned 

upon the acceptance of the wage determination. The non-Federal entity must report all suspected or reported 

violations to the Federal awarding agency. The contracts must also include a provision for compliance with the 

Copeland “Anti-Kickback” Act (40 U.S.C. 3145), as supplemented by Department of Labor regulations (29 CFR 

Part 3, “Contractors and Subcontractors on Public Building or Public Work Financed in Whole or in Part by Loans 

or Grants from the United States”). The Act provides that each contractor or subrecipient must be prohibited 

from inducing, by any means, any person employed in the construction, completion, or repair of public work, to 

give up any part of the compensation to which he or she is otherwise entitled. The non-Federal entity must 

report all suspected or reported violations to the Federal awarding agency.

(E) Contract Work Hours and Safety Standards Act (40 U.S.C. 3701-3708). Where applicable, all contracts awarded 

by the non-Federal entity in excess of $100,000 that involve the employment of mechanics or laborers must 

include a provision for compliance with 40 U.S.C. 3702 and 3704, as supplemented by Department of Labor 

regulations (29 CFR Part 5). Under 40 U.S.C. 3702 of the Act, each contractor must be required to compute the 

wages of every mechanic and laborer on the basis of a standard work week of 40 hours. Work in excess of the 

standard work week is permissible provided that the worker is compensated at a rate of not less than one and a 
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half times the basic rate of pay for all hours worked in excess of 40 hours in the work week. The requirements of 

40 U.S.C. 3704 are applicable to construction work and provide that no laborer or mechanic must be required to 

work in surroundings or under working conditions which are unsanitary, hazardous or dangerous. These 

requirements do not apply to the purchases of supplies or materials or articles ordinarily available on the open 

market, or contracts for transportation or transmission of intelligence.

(F) Rights to Inventions Made Under a Contract or Agreement. If the Federal award meets the definition of 

“funding agreement” under 37 CFR §401.2 (a) and the recipient or subrecipient wishes to enter into a contract 

with a small business firm or nonprofit organization regarding the substitution of parties, assignment or 

performance of experimental, developmental, or research work under that “funding agreement,” the recipient or 

subrecipient must comply with the requirements of 37 CFR Part 401, “Rights to Inventions Made by Nonprofit 

Organizations and Small Business Firms Under Government Grants, Contracts and Cooperative Agreements,” 

and any implementing regulations issued by the awarding agency.

(G) Clean Air Act (42 U.S.C. 7401-7671q.) and the Federal Water Pollution Control Act (33 U.S.C. 1251-1387), as 

amended—Contracts and subgrants of amounts in excess of $150,000 must contain a provision that requires the 

non-Federal award to agree to comply with all applicable standards, orders or regulations issued pursuant to the 

Clean Air Act (42 U.S.C. 7401-7671q) and the Federal Water Pollution Control Act as amended (33 U.S.C. 1251-

1387). Violations must be reported to the Federal awarding agency and the Regional Office of the Environmental 

Protection Agency (EPA).

(H) Debarment and Suspension (Executive Orders 12549 and 12689)—A contract award (see 2 CFR 180.220) 

must not be made to parties listed on the governmentwide exclusions in the System for Award Management 

(SAM), in accordance with the OMB guidelines at 2 CFR 180 that implement Executive Orders 12549 (3 CFR part

1986 Comp., p. 189) and 12689 (3 CFR part 1989 Comp., p. 235), “Debarment and Suspension.” SAM Exclusions 

contains the names of parties debarred, suspended, or otherwise excluded by agencies, as well as parties 

declared ineligible under statutory or regulatory authority other than Executive Order 12549.

(I) Byrd Anti-Lobbying Amendment (31 U.S.C. 1352)—Contractors that apply or bid for an award exceeding 

$100,000 must file the required certification. Each tier certifies to the tier above that it will not and has not used 

Federal appropriated funds to pay any person or organization for influencing or attempting to influence an 

officer or employee of any agency, a member of Congress, officer or employee of Congress, or an employee of a 

member of Congress in connection with obtaining any Federal contract, grant or any other award covered by 31 

U.S.C. 1352. Each tier must also disclose any lobbying with non-Federal funds that takes place in connection with 

obtaining any Federal award. Such disclosures are forwarded from tier to tier up to the non-Federal award.

(J) See §200.322 Procurement of recovered materials.
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Appendix H. Remittance of Interest Earned Amounts 

2 CFR §200.305 (b)(9) – Payment (remittance of interest earned)

1. Interest earned amounts up to $500 per year may be retained by the non-federal entity for administrative 

expense. Any additional interest earned on federal advance payments deposited in interest-bearing accounts 

must be remitted annually to the Department of Health and Human Services Payment Management System 

(PMS) through an electronic medium using either Automated Clearing House (ACH) network or a Fedwire 

Funds Service payment. Remittances must include pertinent information of the payee and nature of payment 

in the memo area (often referred to as “addenda records” by Financial Institutions) as that will assist in the 

timely posting of interest earned on federal funds. Pertinent details include the Payee Account Number (PAN) 

if the payment originated from PMS, or Agency information if the payment originated from ASAP, NSF or 

another federal agency payment system. The remittance must be submitted as follows:

i. For ACH Returns:

Routing Number: 051036706

Account number: 303000

Bank Name and Location: Credit Gateway - ACH Receiver St. Paul, MN

ii. For Fedwire Returns*:

Routing Number: 021030004

Account number: 75010501

Bank Name and Location: Federal Reserve Bank Treas NYC/Funds Transfer Division New York, NY

(* Please note organization initiating payment is likely to incur a charge from your Financial Institution for this 

type of payment)

iii. For International ACH Returns:

Beneficiary Account: Federal Reserve Bank of New York/ITS (FRBNY/ITS)

Bank: Citibank N.A. (New York)

Swift Code: CITIUS33

Account Number: 36838868

Bank Address: 388 Greenwich Street, New York, NY 10013

Payment Details (Line 70): Agency

Name (abbreviated when possible) and ALC Agency POC: Michelle Haney, 301-492-5065

iv. For recipients that do not have electronic remittance capability, please make check** payable to: 

“The Department of Health and Human Services.”

Mail Check to Treasury approved lockbox:

HHS Program Support Center, P.O. Box 530231, Atlanta, GA 30353-0231

(** Please allow 4-6 weeks for processing of a payment by check to be applied to the appropriate PMS account)

v. Any additional information/instructions may be found on the PMS Web site 

at http://www.dpm.psc.gov/.
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Glossary of Terms

allowable costs. Allowable costs are costs that will be paid for by this award program. The only allowable costs 

under CHP are the approved full-time entry-level salaries and fringe benefits of sworn career law enforcement 

officers hired or rehired on or after the award start date. CHP award 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. Award 

funding must be limited to your agency’s entry-level sworn officer salary and benefits. Upon review of your 

submitted budget, any unallowable costs were removed. The Financial Clearance Memorandum (FCM), included 

in your award package, specifies the final amount of CHP funds awarded to your agency for officer salaries and 

approved fringe benefits. 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 Office of the Inspector General (OIG) and state or local 

auditors, to examine financial statements and to review

• compliance with laws and regulations;

• economy and efficiency of operations;

• effectiveness in achieving program results; and

• allowability of costs claimed against the award.

authorized officials. The authorized officials are the individuals in your organization who have final authority 

and responsibility for all programmatic and financial decisions regarding this award. At the time of award

application, your agency listed the law enforcement executive (usually the chief of police, Sheriff, etc.) and the 

government executive (usually the mayor, board president, etc.) for your agency. These executives are listed on 

your award document and are understood to be your authorized officials. If any of the executive information is 

incorrect, please make any updates online through the “Account Access” link on the COPS Office website.

award number. The award number identifies your agency’s specific CHP award and can be found on your award 

document. This number should be used as a reference when corresponding with the COPS Office. Your award 

number is in the following format: 2016-ULWX-0000 or 2016-UMWX-0000. The COPS Office tracks award 

information based upon this number.

award package. The award package includes your CHP award document, Financial Clearance Memorandum

(FCM), and award congratulatory letter; it may be accessed through the “Account Access” link on the COPS Office 

website (www.cops.usdoj.gov). Your agency’s CHP award document will list your award number, law 

enforcement executive, government executive, award amount, number and hiring category of positions 

awarded, award start and end dates, and all terms and conditions (including any special conditions placed on 

your agency’s CHP award). Your law enforcement and government executives have 90 days from the date on 

your award congratulatory letter to log on to their accounts in “Account Access” and electronically sign the 

award document and submit it to the COPS Office. Your agency’s FCM will specify the final amount of CHP funds 

awarded to your agency for officer salaries and approved fringe benefits.

award start date. This is the date on or after which your agency is authorized to hire or rehire positions that 

were approved by the COPS Office. The award start date is found on your award document. Recipients may not 

expend funds or hire or rehire award-funded officers prior to this date without written approval from the COPS Office.
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career law enforcement officer. The COPS Office 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.

Catalogue 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 award 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 Office CHP award is 16.710.

closeout. 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 award that your organization has received, the 

U.S. Department of Justice is your cognizant federal agency.

community policing. 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. All newly hired, 

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

programs must engage in community policing activities, and in the implementation of your community policing 

strategy.

COPS Office. Created under the 1994 Crime Bill, the Office of Community Oriented Policing Services (COPS 

Office) is an independent office within the U.S. Department of Justice that is the grantor or awarding agency for 

your award or cooperative agreement. The COPS Office is responsible for assisting your agency with the 

administration and maintenance of your award for the entire award period. If you have any questions regarding 

the COPS office, please call the COPS Office Response Center at 800-421-6770 or visit the COPS Office website at 

www.cops.usdoj.gov.

COPS Office Finance Staff Accountants. The COPS Office finance staff accountants are responsible for your 

agency’s financial and budgetary needs related to this award. A staff accountant is assigned to each state and is 

available to answer any questions that you may have concerning the Quarterly Financial Status Report (SF-425) 

and other financial aspects of your award. To identify your staff accountant, please call the COPS Office Response 

Center at 800-421-6770 or visit the COPS Office website at www.cops.usdoj.gov.

criminal intelligence officer. A criminal intelligence officer, whether working directly with a law enforcement 

agency or assigned to the appropriate state or regional fusion center, works in the field of criminal intelligence 

and may conduct data collection, research, and analysis to produce finished intelligence reports or other 

products designed to assist in the prevention, detection, or investigation of violations of criminal laws.

Data Universal Numbering System (DUNS) Number. Since FY 2004, 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 award recipient 
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information throughout the award cycle and to provide consistent name and address data for electronic award

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 Office 

administrative purposes only and should not be used for IRS purposes.

federally recognized tribe. Federally recognized tribes are Native American Indian tribal entities that are 

recognized by the Bureau of Indian Affairs (BIA) and are eligible for funding and services by virtue of their status 

as sovereign Native American Indian tribes. They are acknowledged to have the immunities and privileges 

available to 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. For further 

information, contact: BIA, Division of Tribal Government Services, MS-4631-MIB, 1849 C Street NW, Washington, 

DC 20240, 202-208-2475.

Geographic Names Information System (GNIS) ID. The Geographic Names Information System (GNIS) 

database is maintained by the U.S. Geological Survey, U.S. Department of the Interior. The database assigns a 

unique, permanent feature identifier, the feature ID, which is the only standard federal key for integrating or 

reconciling feature data from multiple datasets.

Grant Monitoring Specialist. COPS Office Grant Monitoring Specialists are trained and available to assist you in 

addressing any compliance-related questions regarding your award. Grant monitoring specialists plan and 

conduct site visits and office-based grant reviews. During the life of your award, you may be selected for a 

monitoring site visit to assess your compliance with the terms and agreements of the award program, to review 

your community policing initiatives, and to provide technical and administrative support for your award. Please 

contact the COPS Office Response Center at 800-421-6770 if you have any compliance-related questions.

Grant Program Specialist. COPS Office Grant Program Specialists are trained to assist you with implementing 

and maintaining your award. 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 award. Your Grant Program 

Specialist can assist you with requesting an extension on your award or modifying the award. To obtain the 

name and phone number of your Grant Program Specialist, please contact the COPS Office Response Center at 

800-421-6770.

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. Under the 2016 CHP, the matching funds must be paid with state, local, or other non-COPS 

Office funds and may not be from any funds previously budgeted for law enforcement purposes. There is a 

minimum 25 percent matching fund requirement for 2016 CHP, unless waived in writing by the COPS Office.

military veteran. Under the 2016 CHP, a military veteran is any individual who has served on active duty at any 

time in the armed forces for a period of more than 180 consecutive days, any part of which occurred on or after 
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September 11, 2001, and who has been discharged or released from active duty in the armed forces under 

honorable conditions.

obligation of funds. The COPS Office obligates federal funds when the award document is signed by the COPS 

Office Director or his or her designated official. For the recipient, award funds are obligated when monies are 

spent hiring approved personnel under the award. 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).

Originating Agency Identifier (ORI) number. This number is assigned by the Federal Bureau of Investigation 

(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 characters will be “ZZ”). It can be found on your award 

document. When you contact the COPS Office with a question, please reference your ORI number (and/or your 

award 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, 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 problemsolving, 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; and 

• 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.

rehire. CHP provides funding to rehire full-time officers who were laid off (from any jurisdiction) or who were 

scheduled to be laid off on a specific future date at the time of award application as a result of state, local, or BIA 

budget reductions. A recipient may use CHP funding to rehire an experienced full-time officer, but any 

additional costs higher than entry-level that your agency pays the rehired officer must be paid with local agency 

funds, not CHP funds.

retention period. After 36 months of COPS Office funding, CHP recipients are required to retain each additional 

COPS Office-funded position awarded using local, state, or other sources of non-COPS Office 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.

School Resource Officer (SRO). A career law enforcement officer with sworn authority, deployed in communityoriented policing and assigned by the employing police department or agency to work in collaboration with 

schools and community-based organizations to
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• address crime problems, gangs, and drug activities affecting or occurring in or around an elementary or 

secondary school;

• deploy or expand crime prevention efforts for students;

• educate likely school-age victims in crime prevention and safety;

• develop or expand community justice initiatives for students;

• train students in conflict resolution, restorative justice, and crime awareness;

• assist in the identification of physical changes in the environment that may reduce crime in or around the 

school; and

• assist in developing school policy that addresses crime and to recommend procedural changes.

supplanting. COPS Office award funds may not be used to supplant (replace) state, local, or Bureau of Indian 

Affairs (BIA) funds that would be made available in the absence of federal COPS Office award funding. CHP funds 

must be used to increase the amount of state, local, or BIA funds otherwise budgeted for sworn officer positions, 

plus any additional state, local, or BIA funds budgeted for these purposes.

System for Award Management (SAM). The SAM database is the repository for standard information about 

federal financial assistance applicants, recipients, and subrecipients. Organizations that have previously 

submitted applications via www.Grants.gov are already registered with SAM, as it is a requirement for 

www.Grants.gov registration. Please note, however, that applicants must update or renew their SAM at least 

once per year to maintain an active status. Information about registration procedures can be accessed at 

www.sam.gov. 
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COPS Office Resources

Websites

COPS Office Newsletter: http://cops.usdoj.gov/html/dispatch/index.asp

COPS Office Beat Podcast: http://www.cops.usdoj.gov/Default.asp?Item=2370

Grants information: http://www.cops.usdoj.gov/grants

President’s Task Force on 21st Century Policing: http://www.cops.usdoj.gov/policingtaskforce

Policing Task Force One Year Progress Report: 

http://www.cops.usdoj.gov/pdf/taskforce/TaskForce_Annual_Report.pdf

SRO Resources: http://www.cops.usdoj.gov/supportingsafeschools

Updated Publication list: http://www.cops.usdoj.gov/COPSpublications

Publications

Beyond the Badge: Profile of a School Resource Officer DVD: http://ric-zaiinc.com/ric.php?page=detail&id=COPS-CD050

Intelligence-Led Community Policing, Community Prosecution, and Community Partnerships: http://ric-zaiinc.com/ric.php?page=detail&id=COPS-P322

Officer-Involved Shootings: A Guide for Law Enforcement Leaders: http://ric-zaiinc.com/ric.php?page=detail&id=COPS-P350

Police Perspectives: Building Trust in a Diverse Nation - No. 1. How to Increase Cultural Understanding: 

http://ric-zai-inc.com/ric.php?page=detail&id=COPS-P344

Police Perspectives: Building Trust in a Diverse Nation - No. 2. How to Serve Diverse Communities: http://ric-zaiinc.com/ric.php?page=detail&id=COPS-P345

Police Perspectives: Building Trust in a Diverse Nation - No. 3. How to Support Trust Building in Your Agency:

http://ric-zai-inc.com/ric.php?page=detail&id=COPS-P346

Rank and File: Leaders in Building Trust and Community Policing: http://ric-zaiinc.com/ric.php?page=detail&id=COPS-P351
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References

Atkinson, Anne J. 2002. Fostering School-Law Enforcement Partnerships. Safe and Secure: Guides to Creating Safer 

Schools, Guide 5. Washington, DC: Office of Justice and Juvenile Delinquency Prevention. 

https://www.ncjrs.gov/pdffiles1/ojjdp/book5.pdf. 

National Association of School Resource Officers (NASRO). 2012. To Protect & Educate: The School Resource Officer 

and the Prevention of Violence in Schools. Hoover, AL: National Association of School Resource Officers. 

https://nasro.org/cms/wp-content/uploads/2013/11/NASRO-To-Protect-and-Educate-nosecurity.pdf. 
2016 COPS Hiring Program (CHP)

Award Owner’s Manual

This manual was created to assist COPS Hiring Program (CHP) program recipients with the administrative and 

financial matters associated with their award.

For more information about your CHP award, please contact your COPS Office Grant Program Specialist. If you 

do not know the name or telephone number of your Grant Program Specialist, 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 NE

Washington, DC 20530

To obtain details about COPS Office programs, call the COPS Office Response Center at 800-421-6770.

Visit the COPS Office online at www.cops.usdoj.gov. 

Published September 2016