2015 COPS Office Community Policing 

Development (CPD) Program 

Award Owner’s Manual

www.cops.usdoj.gov

U.S. Department of Justice, Office of Community Oriented Policing Services
2015 COPS Office Community Policing Development (CPD) Program Award Owner’s Manual

i

2015 Community Policing Development (CPD) 

Program Award Owner’s Manual

This manual was created to assist COPS Office Community Policing Development (CPD) Program, Tribal 

Resources Grant Program - Technical Assistance (TRGP-TA), and Collaborative Reform Initiative for Technical 

Assistance (CRI-TA) awardees with the administrative and financial matters associated with the award.

For more information about your Community Policing Development award, please contact your COPS Office 

Program Manager. If you do not know the name or telephone number of your COPS Office Program Manager, 

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 2015
2015 COPS Office Community Policing Development (CPD) Program Award Owner’s Manual

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Contents

I. Award Acceptance, Terms, and Conditions .

The award document .

Award terms and conditions .

Accepting the award . 

II. The Cooperative Agreement  .

The cooperative agreement document . 

I. Statement of authority . 

II. Statement of background and purpose . 

III. Scope of Work . 

IV. Period of performance . 

V. Financial administration . 

VI. Program manager(s) . 

VII. General provisions . 

VIII. Modifications . 

IX. Incorporation by reference; effective date . 

III. Procurement Process .

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

Contact the COPS Office . 
2015 COPS Office Community Policing Development (CPD) Program Award Owner’s Manual

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IV. Accessing Award Funds .

Payment method . 

Setting up your account . 

Additional payment questions . 

Matching funds . 

V. Financial Record Maintenance  .

Accounting systems and records . 

VI. Federal Audit Requirements .

Requirements and audits . 

Typical audit findings . 

VII. Reports .

Federal Financial Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50

Program Progress Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51

Contact points to obtain technical assistance and report violations . 

VIII. When the Award Period Has Ended  .

Final Federal Financial Report (SF-425) . 

Final Program Progress (Closeout) Report . 

IX. Conclusion .

Appendices .

Appendix A. List of source documents . 

Appendix B. Assurances and Certifications . 

Appendix C. Community policing defined . 

Appendix D. Sole source justification facts . 
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Appendix E. Conference reporting requirements . 

Appendix F. Consultant/contractor rate information sheet . 

Appendix G. Whistleblower protection (41 U.S.C. 4712) . 

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

federal awards . 

Glossary of Terms .
2015 COPS Office Community Policing Development (CPD) Program Award Owner’s Manual

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Getting Started

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

Oriented Policing Services (COPS Office). The COPS Office Community Policing Development (CPD) 

Program, the Tribal Resources Grant Program - Technical Assistance (TRGP-TA), and the Collaborative Reform 

Initiative for Technical Assistance (CRI-TA) awards provide funding to advance the practice of community 

policing in law enforcement agencies through knowledge resource products and services such as training 

and technical assistance, the development of innovative community policing strategies, applied research, 

guidebooks, or best practice documents. 

According to the COPS Office, community policing is a philosophy that promotes organizational strategies, 

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

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

crime. For a complete definition, please see appendix C, “Community Policing Defined,” on page 64.

This COPS Office Community Policing Development (CPD) Program Award Owner’s Manual will assist your 

agency with the administrative and financial matters associated with your award. It was developed to 

ensure that all COPS Office CPD awardees are able to 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 your COPS Office Program Manager as listed in your agency’s 

award package or the COPS Office Response Center at 800-421-6770 if you need assistance with the 

implementation of your award. 

Thank you for providing us with the opportunity to work in partnership with you on this important project.
2015 COPS Office Community Policing Development (CPD) Program Award Owner’s Manual

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I. Award Acceptance, Terms, and Conditions

To officially accept and begin your COPS Office CPD 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 with the award terms and conditions; if applicable, the cooperative agreement 

that is incorporated by reference into the award document; and, if applicable, the special award conditions 

or high risk conditions in the award document supplement within 45 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 IV, “Accessing Award 

Funds,” on page 44 of this manual. 

The award document

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

the award terms and conditions, and the award start and end dates. Please note that if your award includes 

a cooperative agreement, it is incorporated by reference into the award document and that by signing the 

award document, your agency has entered into the cooperative agreement with the COPS Office and agrees 

to abide by all the requirements in the cooperative agreement.

The award document is preprinted with your agency’s law enforcement and government executives’ names 

and addresses. For non-law enforcement agencies (institutions of higher education, private organizations, 

etc.), the authorized officials are the programmatic and financial officials who have the ultimate signatory 

authority to sign contracts on behalf of your organization. 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 sign the award document. 

Be sure to familiarize yourself with all terms, conditions, and requirements of your award before signing the 

award document. To officially accept your award, please electronically sign the award document within 

45 days of the date shown on the award congratulatory letter. Print and retain a copy of all pages of the 

award document, award terms and conditions, and, if applicable, the cooperative agreement and the award 

document supplement for your records.

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 CPD award is listed on your award 

document.

Your award number is in the following format: 2015-XX-XX-XXXX for Fiscal Year (FY) 2015 awards. 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 assigns 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 corresponding with the COPS Office.
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Your Office of Justice Programs (OJP) vendor number, in most circumstances, is your agency’s nine- or 

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

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

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

Revenue Service purposes.

Award terms and conditions

The award terms and 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 terms and conditions (and, if applicable, any additional special conditions specific 

to your agency). The section that follows describes each of the award conditions in detail, their rationale, 

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 Program Manager or call the 

COPS Office Response Center at 800-421-6770.

In limited circumstances, your award may be subject to special 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 conditions will be included in the award document supplement. However, if you have 

questions about the special conditions, please contact your assigned COPS Office Program Manager.

Reasons for award conditions

The requirements of your CPD 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 CPD requirements established by the COPS Office.

A list of source documents for this booklet is provided in appendix A on page 57. 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 by calling your COPS 

Office Program Manager.

Review of award terms and conditions 

By signing the award document to accept this CPD award, your agency agrees to abide by the following 

award terms and conditions:

1. Award owner’s manual

The awardee agrees to comply with the terms and conditions in the 2015 COPS Office Community Policing 

Development Program Award Owner’s Manual; COPS Office statute (42 U.S.C. 3796dd et seq.); 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; representations made in the Community Policing 

Development Program grant application; the Cooperative Agreement, if applicable; and all other applicable 

program requirements, laws, orders, regulations, or circulars.
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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. Please note 

that in accordance with 200 C.F.R. § 200.101(c), the COPS Office applies 2 C.F.R. Subparts A through E to forprofit (or commercial) entities. More detailed guidance regarding any particular award requirement or your 

agency’s specific circumstances can be requested through your COPS Office Program Manager.

What you should do:

Please read the entire CPD program Award Owner’s Manual carefully prior to signing the award document. 

If you have any questions, please contact your COPS Office Program Manager. 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

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

as part of its Community Policing Development program 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 seek your assurances and certification 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. 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 will be placed when the U.S. Department of Justice determines whether to 

award the covered award. Additional copies of the Assurances and Certifications forms are contained in 

appendix B on page 57 of this manual. If you have any questions about them, please contact your assigned 

COPS Office Program Manager via the COPS Office Response Center at 800-421-6770.

3. Allowable costs

The funding under this project is for the payment of approved costs for Community Policing Development 

purposes. The allowable costs for which your agency’s award has been approved are limited to those listed on the 

Financial Clearance Memorandum, which is included in your agency’s award package. 

The Financial Clearance Memorandum specifies the costs that your agency is allowed to fund with your 

Community Policing Development award. It also describes any costs which have been disallowed after review of 

your proposed budget. The awardee may not earn or keep any profit resulting from this award unless expressly 

authorized in writing by the COPS Office. Your agency may not use Community Policing Development award funds 

for any costs that are not identified as allowable in the Financial Clearance Memorandum.
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Why this condition:

COPS Office CPD program funding may only be used to pay for items and services approved by the COPS 

Office as reflected in the Financial Clearance Memorandum (FCM). The 2015 COPS Office CPD program 

funds are to be used to advance the practice of community policing in law enforcement agencies through 

the development of knowledge resource products and services such as training and technical assistance, 

the development of innovative community policing strategies, applied research, guidebooks, or best 

practice documents that are national in scope. 

Please note that in accordance with 2 C.F.R. § 200.101(c), the COPS Office applies the cost principles set 

forth in 2 C.F.R. Subpart E to for-profit (or commercial) entities instead of the Federal Acquisition Regulation 

(FAR) at 48 C.F.R. Subpart 31.2. In addition, in accordance with 2 C.F.R. § 200.400(g), the awardee may not earn 

or keep profit as a result of this award unless expressly authorized by the specific terms and conditions of 

your award.

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

award start date and comply with the guidelines described in section IV, “Accessing Award Funds,” on page 

43 of this manual. Section V, “Financial Record Maintenance,” on page 46, outlines the types of records you 

must keep to document that you followed this award condition. Purchases must also reflect the costs that 

were approved in the FCM.

What you should do:

Refer to your FCM for the list of approved allowable cost categories. Listed below are the budget categories 

that may appear on your FCM. If your agency’s operating budget categories differ from those approved 

in the FCM, your agency should maintain a cross-reference to clearly identify where the funds were 

budgeted. As long as funds are spent during the award period on the project costs that were documented 

in your application’s budget summary and approved by the COPS Office through the issuance of the 

FCM, this award condition will be satisfied. The grant award number should be indicated on all budgetary 

documentation including purchase orders, receipts, and other documentation. All awardees should keep 

and maintain the most recent, approved version of their 2015 CPD application for future reference.

Personnel (salaries and benefits)

Personnel expenses may be reimbursed for project activities that take place on or after the award start date. 

In addition, a position’s salary must be reasonable for the services rendered and must be paid to a person 

appointed under the law or rules governing hiring by your agency. Salary payments must be based on 

payroll records. Time and attendance records or the equivalent must support payroll records. 

For awardees that are state, local, or tribal government entities, award-funded salary and benefit costs must 

supplement, not supplant (replace), locally funded personnel costs that would have been funded even in 

the absence of this award. If any civilian personnel are employed on a part-time or temporary basis, your 

agency must specify the percentage of time that each person is working solely on the project identified in 

your agency’s CPD proposal.

Fringe benefits may be paid if they are part of a reasonable compensation package offered to your 

employees. Particular items of fringe benefits must fall within the categories authorized by the COPS Office. 

Authorized fringe benefits include FICA, Social Security, health insurance, life insurance, vacation, sick leave, 

retirement, worker’s compensation, and unemployment insurance.
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Equipment/Technology

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

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

and they must meet the guidelines described in 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. Part §2800.101. For awardees that are state, local, or tribal government entities, award-funded 

equipment and technology must supplement, not supplant (replace), locally funded items that would have 

been funded even in the absence of this award. Funds currently budgeted or obligated for the purchase 

of equipment and technology may not be reallocated to other purposes or reimbursed upon receiving 

the CPD award. Agencies should establish practices to receive, label, inventory and track location for all 

purchases made for grant-funded equipment and/or technology. 

Supplies

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

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

are prohibited. Items must meet the guidelines described in 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. Part §2800.101.

Travel/Training

Travel costs for transportation, lodging, subsistence, temporary dependent care, and related items are 

allowable under the CPD Program with prior approval from the COPS Office. In accordance with 2 C.F.R. 

§ 200.474, travel costs for official business directly related to the award will be reimbursed based upon 

the awardee’s written travel reimbursement policies if the costs are reasonable and allocable under the 

project. In the absence of an acceptable written policy regarding travel costs, allowable rates and amounts 

established by the U.S. General Services Administration (GSA) for the relevant geographic area will apply. The 

current GSA travel policy and per diem rates can be found at www.gsa.gov.

Allowable airfare costs will be reimbursed based upon the least expensive unrestricted accommodations 

class offered by commercial airlines—for example, lowest discount commercial airfare, the Federal 

Government contract airfare (if authorized and available), or standard coach airfare—unless otherwise 

authorized in advance by the COPS Office.

Temporary dependent care costs above and beyond regular dependent care that directly results from 

conference travels are allowable as long as the costs incurred (1) are a direct result of the individual’s travel 

for the federal award; (2) are consistent with the recipient’s documented travel policy for all entity travel; and 

(3) are only temporary during the travel period.

The COPS Office CPD Program will fund award-related travel costs for the awardee agency or other (nonawardee) individuals to attend training and technical assistance conferences, seminars, or classes or to visit 

a site specified in the application. Allowable award-related travel costs that were included in the application 

have been approved by the COPS Office as part of the CPD award and final budget. Your agency should 

keep timely and accurate records of all travel expenses. If at any time these costs change, you should 

immediately contact your COPS Office Program Manager.

Contracts/Consultants

Compensation for individual consultant services procured under a COPS Office award must be reasonable 

and allocable in accordance with 2 C.F.R. Subpart E—Cost Principles and consistent with that paid for similar 

services in the marketplace. Unless otherwise approved by the COPS Office, consultant rates will be based 
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on the salary a consultant receives from his or her primary employer, as applicable, up to $550 per day. For 

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

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

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

made on a case-by-case basis.

Fringe benefits may be paid if they are part of a reasonable compensation package offered to your 

employees. Particular items of fringe benefits must fall within the categories authorized by the COPS Office. 

Authorized fringe benefits include FICA, Social Security, health insurance, life insurance, vacation, sick leave, 

retirement, worker’s compensation, and unemployment insurance.

Other costs

Project-related expenditures that do not conform to any of the category descriptions specified above were 

included in this section of your FCM. In addition, items that have a direct correlation to the overall success 

of an awardee’s project objectives and are necessary for the project to reach full implementation will be 

considered on a case-by-case basis by the COPS Office.

For awardees that are state, local, or tribal government entities, requests may be made only for items or 

positions that are not otherwise budgeted with state, local, or Bureau of Indian Affairs (BIA) funds and would 

not be funded in the absence of the CPD award.

If at any time you are unsure if an item is considered allowable or unallowable, please contact your COPS 

Office Program Manager for further assistance.

Indirect costs

Indirect (F&A) costs means those costs incurred for a common or joint purpose that are not readily 

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

of the project. Indirect costs are allowable for this program, but must adhere to the standards set forth in 

the applicable Office of Management and Budget (OMB) guidance as stated in 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. Examples of indirect costs include those incurred for facility 

operation and maintenance, depreciation, and administrative salaries. 

Indirect cost rates are federally negotiated and approved rates that are based on audited and documented 

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

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

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

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

rate agreement covering the award period. A special condition may be added to the award prohibiting the 

obligation, expenditure, or drawdown of funds reimbursement for indirect costs until a current indirect cost 

rate has been approved by your cognizant federal agency and submitted to the COPS Office.

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

must be submitted to the COPS Office in order to continue to draw down grant funding for indirect costs. 

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

during the grant award period and must request a budget modification with the COPS Office to reflect any 

rate change.

If your agency has never received a negotiated indirect cost rate, then you may request a de minimis indirect 

cost rate of 10 percent of modified total direct costs (MTDC). See 2 C.F.R. § 200.414(f ).
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In addition, if a provisional indirect cost rate is in effect at grant closeout, your agency shall proceed with 

closeout, but you will need to complete an expenditure analysis upon receipt of the approved final indirect 

cost rate to determine if an adjustment is necessary. If your agency drew down excess COPS Office funding 

for indirect costs, then your agency must return the overpayment to the COPS Office and submit a revised 

Federal Financial Report (SF-425). If your agency incurred additional indirect costs, then your agency may 

request a budget modification if the award is still open and award funds are available. If your agency returns 

or draws down COPS Office funding, then your agency will need to submit a revised final Federal Financial 

Report (SF-425).

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

another U.S. Department of Justice award.

4. Travel costs

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

Policing Development Program with prior approval from the COPS Office. Payment for allowable travel costs 

will be in accordance with 2 C.F.R. § 200.474 (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.

Why this condition:

The COPS Office CPD Program will fund award-related travel costs for the awardee agency or other (nonawardee) individuals to attend training and technical assistance conferences, seminars, or classes or to visit a 

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

expenses that were included in the application were approved by the COPS Office as part of your agency’s 

CPD award and final budget. For more information, please refer to award condition #3 on page 4, “Allowable 

Costs.”

What you should do:

Your agency should refer to your FCM for a list of approved travel costs and use CPD funds only for those 

approved travel costs incurred during the award period. In addition, your agency should keep timely and 

accurate records of all travel expenses. If at any time these costs change, you should immediately contact 

your COPS Office Program Manager. 

5. Supplementing, not supplanting

State, local, and tribal government awardees must use Community Policing Development 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 (hiring, training, purchases, and/or activities) during the award 

period. In other words, state, local, and tribal government awardees 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 not be used to replace 

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

available for the award purposes.
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What you should do:

For state, local, and tribal awardees, CPD funds may not be used to pay for any item or cost funded under 

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

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

enforcement budget to another as a result of receiving CPD award funds. If you have questions concerning 

this award term, and how it pertains to your project budget, please contact your COPS Office Program 

Manager. 

6. Extensions

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

grant program. Such extensions do not provide additional funding. Only those awardees that can provide a 

reasonable justification for delays will be granted no-cost extensions. Extension requests must be received prior to 

the end date of the award. 

Why this condition:

Under federal regulations, requests to extend the 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. When justified, the COPS Office will seek to accommodate 

reasonable requests for no-cost time extensions 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 no-cost time extension is needed. Requests to extend the award period must be received by the COPS 

Office before the official award end date. 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. 

Please note that the project period of performance will be extended, if necessary, until the deliverable is 

considered final. If the award is set to expire, prior to the final approval of the deliverable, a no-cost extension 

will be executed for a reasonable amount of time for the awardee to complete the final deliverable. 

7. Modifications

Award modifications under the Community Policing Development program are evaluated on a case-by-case 

basis. All modification requests involving the reallocation of funding between budget categories that exceed or are 

expected to exceed 10 percent (10%) of the total award amount must be approved, in writing, by the COPS Office 

prior to their purchase or implementation. In addition, please be aware that the COPS Office will not approve any 

modification request that results in an increase of federal funds.

Why this condition:

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

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

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

required to expend federal funds only as approved in the FCM. Any request to change or alter an award 

should be submitted to the COPS Office for prior approval, prior to their purchase or implementation. 

Without prior written approval, you must continue to implement your award as it was originally outlined 

and accepted by your agency. Reprogrammed funds must be allocated for items covered within the scope 

of the original intent of the cooperative agreement. Please be advised that reprogramming requests for 

unallowable costs will not be approved. 
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Your agency may reprogram its budget up to an aggregate (over the course of your project) of 10 percent of 

the total project cost without prior written approval from the COPS Office. However, you should notify your 

COPS Office Program Manager of any reprogramming that falls below the 10 percent threshold as well. Once 

the reprogramming of funds totals an aggregate of 10 percent or more of the award, your agency must seek 

prior written approval from the COPS Office for any additional budget modification requests.

What you should do:

You are required to notify your COPS Office Program Manager if you determine that your agency will need 

to reprogram award funds. If your modification exceeds an aggregated (over the course of your project) 10 

percent of your overall award, your agency must access www.cops.usdoj.gov and select the “Account Access” 

link in the upper right corner to log in and submit your request to the COPS Office, providing the proposed 

changes, details of why the change is needed, etc.

Please contact your COPS Office Program Manager for further direction on any additional requirements 

that may apply to your modification request. The COPS Office will then evaluate your request and notify 

your agency of our decision in writing. Implementation of the modified award budget may begin following 

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

accompanied by a modified Financial Clearance Memo reflecting the approved changes. 

8. Evaluations

The COPS Office may conduct monitoring or sponsor national evaluations of the COPS Office Community 

Policing Development program. The awardee 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 CPD award. COPS Office staff or evaluators may study 

the effectiveness of funded programs, projects, and activities. Evaluators may collect information about 

the programs’ effect on crime, victims of crime, and the quality of life in communities. In addition, they 

may ask questions about the challenges encountered during project implementation, how residents feel 

about community policing, and how police feel about their work. This information will be useful to other 

communities and police agencies across the country.

What you should do:

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

In general, evaluators may need to speak with individuals in your agency or department, observe activities, 

and obtain written reports about and from your agency or department. You will be asked to facilitate any 

site visits and information-gathering activities. In addition, you will be asked to provide accurate and timely 

information about your award activities. You should fully comply with any requests made regarding these 

evaluations.

9. Reports/Performance goals

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.
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Why this condition:

The Public Safety Partnership and Community Policing Act of 1994 and other federal regulations and policies 

require that financial assistance provided by the Federal Government be monitored carefully to ensure 

the proper use of federal funds. In addition, the COPS Office seeks to document, on a continuing basis, the 

progress of our programs and awardees.

What you should do:

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

awards. All reports should be submitted to the COPS Office within the deadlines given to avoid suspension 

or possible termination of award funds or other remedial actions. For more information, please refer to 

section VII, “Reports,” on page 50 of this manual.

10. Award monitoring activities

Federal law requires that awardees receiving federal funding from the COPS Office must be monitored to ensure 

compliance with their grant conditions and other applicable statutory regulations. The COPS Office is also 

interested in tracking the progress of our programs and the advancement of community policing. Both aspects of 

grant implementation—compliance and programmatic benefits—are part of the monitoring process coordinated 

by the U.S. Department of Justice. 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 COPS Office Community Policing Development awardee, you agree to cooperate with and respond 

to any requests for information pertaining to your grant.

Why this condition:

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

contain a monitoring component. The COPS Office actively monitors how awardees are adhering to COPS 

Office award requirements and develops the best technical assistance based on this feedback.

What you should do:

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

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

and financially. The most common ways are:

•	 site visits. The COPS Office conducts awardee site visits to ensure compliance with award terms 

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

strategies. The purpose of site visits is threefold: review community policing activities, ensure awardee 

compliance, and provide customer service and technical assistance. If selected, you will be notified 

in writing in advance of any on-site review of your COPS Office awards. This review is generally 

performed over one or more days and also provides an opportunity for your agency representatives 

to seek assistance on any award implementation issues. Your agency will be notified in writing of the 

results and any action required to remedy identified grant violations to include potential and actual 

vulnerabilities. In addition, promising practices identified during the site visit are documented and may 

be shared with the law enforcement community. 

•	 enhanced office-based grant reviews (EOBGR). In lieu of a site visit, certain grants are selected for 

a review conducted at the COPS Office via teleconference or video conference. EOBGRs serve as a 

supplemental activity in support of the COPS Office’s overall grant monitoring strategy. The purpose 

of the EOBGR is threefold: review community policing activities, ensure grantee compliance, and 

provide customer service and technical assistance. If selected, you will be notified in writing in advance 

of any EOBGR of your COPS Office grants. This review is generally performed over a one or more day 
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period and also provides an opportunity for agency representatives to seek assistance on any grant 

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

to remedy identified grant violations to include potential and actual vulnerabilities. Additionally, 

promising practices identified during the EOBGR are documented and may be shared with the law 

enforcement community.

•	 alleged noncompliance reviews (ANCR) . An alleged noncompliance review is a follow up on 

complaints of alleged noncompliance received from external (media and/or citizen complaints) or 

internal (COPS Office/DOJ staff ) sources. On a case-by-case basis, COPS Office 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 Office of the Inspector General.

•	 audit liaison. The U.S. Department of Justice, Office of Inspector General (OIG) conducts random audits 

for all COPS Office grantees. In the event your agency has any audit recommendations (findings) 

resulting from noncompliance and/or poor accounting 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 grant funds and/or the submission of documentation.

Awardees are responsible for remedying any award noncompliance that is identified through these or 

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

suspending award funding, repaying award funds, voluntary withdrawal from or involuntary termination 

of remaining award funds, and restrictions from receiving future COPS Office awards. To avoid findings 

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

the life of a COPS Office award with questions concerning award requirements and also to maintain all 

relevant documentation that may demonstrate award compliance. In addition, grantees should familiarize 

themselves with the appropriate Grant Owner’s Manual for each COPS Office grant.For more information, 

please contact the COPS Office Response Center at 800-421-6770 or at AskCOPSRC@usdoj.gov.

11. Equal Employment Opportunity Plan (EEOP)

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

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

Why this condition:

It is the experience of the 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 C.F.R. § 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 has fewer than 50 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, it is exempt from the 

EEOP requirement. To claim the exemption, your organization must complete and submit section A of the 

Certification Form to the Office for Civil Rights (OCR), Office of Justice Programs, U.S. Department of Justice, 

810 7th Street NW, Washington, DC 20531. The Certification Form can be found at www.ojp.usdoj.gov/

about/ocr/pdfs/cert.pdf. 
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If your organization is a governmental agency or private business and has received an award between 

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

excluding political appointees), then it must prepare a Utilization Report (formerly called an EEOP Short 

Form), but it does not need to submit it to the OCR for review. Instead, your organization must maintain 

the Utilization Report on file and make it available to the OCR for review on request. In addition, your 

organization must complete and submit section B of the Certification Form to the Office for Civil Rights 

(OCR), Office of Justice Programs, U.S. Department of Justice, 810 7th Street NW, Washington, DC 20531. The 

Certification Form can be found at www.ojp.usdoj.gov/about/ocr/pdfs/cert.pdf.

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

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

appointees), then it must prepare a Utilization Report (formerly called an EEOP Short Form) and submit it 

to the Office for Civil Rights (OCR), Office of Justice Programs, U.S. Department of Justice, 810 7th Street 

NW, Washington, DC 20531 for review within 60 days of the notification of the award. In addition, your 

organization must complete and submit section C of the Certification Form to the OCR. The Certification 

Form can be found at www.ojp.usdoj.gov/about/ocr/pdfs/cert.pdf.

For assistance in developing a Utilization Report, please consult the OCR’s website at www.ojp.usdoj.

gov/about/ocr/eeop.htm. 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 

EEOPforms@usdoj.gov.

12. Criminal intelligence systems

Awardees using Community Policing Development funds to operate an interjurisdictional criminal intelligence 

system must comply with operating principles of 28 C.F.R. Part 23. The awardee acknowledges that it has 

completed, signed, and submitted with its grant application the Reviews and Certifications form certifying that it 

will comply with 28 C.F.R. Part 23.

Why this condition:

If your agency receives funding for equipment or technology that will be used to operate an interjurisdictional criminal intelligence system, you must comply with the operating principles found at 28 C.F.R. 

Part 23. An “inter-jurisdictional criminal intelligence system” is generally defined as a system that receives, 

stores, analyzes, and exchanges or disseminates data regarding ongoing pre-arrest criminal activities 

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

gambling, extortion, smuggling, bribery, and public corruption) and shares this data with other law 

enforcement jurisdictions. 28 C.F.R. Part 23 contains operating principles for these interjurisdictional criminal 

information systems that protect individual privacy and constitutional rights.

If your agency will use CPD award funds simply to operate a single agency database (or other unrelated 

forms of technology) and will not share criminal intelligence data with other jurisdictions, 28 C.F.R. Part 23 

does not apply to this award.

What you should do:

All CPD awardees were required to agree to the Certification of Review of Criminal Intelligence Systems/28 

C.F.R. Part 23 as part of their application proposal so the COPS Office can track which agencies intend to use 

their award funds to operate interjurisdictional criminal intelligence systems. If your agency intends to use 

award funds to operate an interjurisdictional criminal intelligence system, you should have indicated this 

in your application and certified your agency’s agreement to comply with the operating principles found 

at 28 C.F.R. Part 23. Your agency now must comply with 28 C.F.R. Part 23 in operating the inter-jurisdictional 

criminal intelligence system funded through your CPD award.
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13. Sole source justification

Awardees who have been awarded funding for the procurement of an item (or group of items) or service in excess 

of $150,000 and who plan to seek approval for use of a noncompetitive procurement process must provide a 

written sole source justification to the COPS Office for approval prior to obligating, expending, or drawing down 

award funds for that item or service.

Why this condition:

In general, award recipients are required to procure funded items through open and free competition. 

However, in some instances, awardees may have already determined that competition is not feasible.

What you should do:

If you have received an award for an item (or group of items) or service in excess of $150,000 and have 

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

provide a written justification that explains why it is necessary to contract noncompetitively.

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

exists:

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

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

solicitation

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

The COPS Office will review your request and the supporting information that you provide and will make a 

determination as to whether or not an exception can be awarded to the general rule regarding competition. 

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

section III, “Procurement Process,” on page 41 of this manual.

14. Employment eligibility

The awardee 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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15. State information technology point of contact

The awardee agrees to ensure that the appropriate State Information Technology Point of Contact receives written 

notification regarding any information technology project funded by this Community Policing Development 

award during the obligation and expenditure period. This is to facilitate communication among local and 

state governmental entities regarding various information technology projects being conducted with these 

award funds. In addition, the awardee agrees to maintain an administrative file documenting the meeting of 

this requirement. For a list of State Information Technology Points of Contact, go to http://it.ojp.gov/default.

aspx?area=policyAndPractice&page=1046.

Why this condition:

The COPS Office is committed to promoting communication between state and local law enforcement.

What you should do:

If applicable, upon receiving the award, your agency should contact your state information technology point 

of contact for further guidance.

The COPS Office is committed to avoiding duplication of existing law enforcement information-sharing 

networks or IT systems that involve interagency connectivity between jurisdictions. Therefore, such COPS 

Office-funded systems should employ, to the extent possible, existing systems such as Law Enforcement 

Online (LEO), Regional Information Sharing Systems (RISS), Joint Regional Information Exchange System 

(JRIES), etc., as the communication backbone to achieve interstate connectivity.

16. False statements

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

debarment from participating in federal grants or contracts, 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.

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.

17. Public release information

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

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

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

“This project was supported by Cooperative Agreement Number 2015-XX-XX-XXXX awarded by 

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

contained herein are those of the author(s) and do not necessarily represent the official position 

or policies of the U.S. Department of Justice. References to specific agencies, companies, 

products, or services should not be considered an endorsement by the author(s) or the U.S. 

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

issues.

The Internet references cited in this publication were valid as of the date of this publication. 

Given that URLs and websites are in constant flux, neither the author(s) nor the COPS Office can 

vouch for their current validity.”
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Why this condition:

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

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

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

Department of Justice.

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

publish, or otherwise use, and to authorize others to use, for Federal Government purposes: (1) the copyright 

in any work developed under the award including any related subaward or contract and (2) any copyright to 

which an awardee, including its subawardee or contractor, purchases ownership with financial support from 

award funds. 2 C.F.R. § 200.315(b).

What you should do:

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

statement listed above.

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

acquire the rights, to copyrighted material for inclusion in U.S. Department of Justice publications or other 

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

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

relevant party shall include provisions giving the Federal Government a royalty-free, non-exclusive, and 

irrevocable license to reproduce, publish, or otherwise use, and to authorize others to use, the publication 

for Federal Government purposes.

18. News media

The awardee agrees to comply with the COPS Office policy on contact with the news media. The policy establishes 

the COPS Office Communications Division as the principal point of contact for the news media for issues relevant 

to the COPS Office or parameters of the award. The awardee agrees to refer all media inquiries on these topics 

directly to the COPS Office Communications Division at 202-514-9079. 

Why this condition:

The COPS Office Communications Division will coordinate contacts with the news media, provide 

supplemental information that may be helpful to you and the media outlet, and make the appropriate U.S. 

Department of Justice offices and personnel aware of pending articles and interviews. 

What you should do:

If you are contacted by a media outlet seeking information, an interview, or other support related to 

your COPS Office project, please refer the requesting outlet to the COPS Office Communications Division 

at 202-514-9079.

19. Paperwork Reduction Act (PWRA)

The awardee agrees, if required, to submit all surveys, interview protocols, and other information collections funded 

by this award to the COPS Office for submission to the Office of Management and Budget (OMB) for clearance 

under the Paperwork Reduction Act (PWRA) of 1995.

Why this condition:

The purpose of the Paperwork Reduction Act is to reduce, minimize and control paperwork burdens on the 

public and to maximize the practical utility and public benefit of information created, collected, disclosed, 

maintained, used, shared, and disseminated by or for the Federal Government. 5 C.F.R. § 1320.1.
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A collection of information undertaken by an awardee is considered to be conducted or sponsored by a 

federal agency only if (1) the awardee is conducting the collection of information at the specific request 

of the agency, or (2) the terms and conditions of the award require specific approval by the agency of the 

collection of information or the collection procedures. 5 C.F.R. § 1320.3(d).

What you should do:

When surveys, interviews, and other methods of information collection are undertaken by you in 

furtherance of the objectives of the award, you should contact your COPS Office Program Manager. The 

COPS Office Program Manager will inform you whether Office of Management and Budget (OMB) approval 

of the information collection method is required and of the procedures necessary to obtain this approval. 

OMB approval may take several months to receive, so awardees are advised to allow ample time for 

processing of this request.

20. Human subjects research 

The awardee agrees to comply with the provisions of the U.S. Department of Justice’s common rule regarding 

Protection of Human Subjects, 28 C.F.R. Part 46, prior to the expenditure of Federal funds to perform such 

activity(ies), if applicable. The awardee also agrees to comply with 28 C.F.R. Part 22 regarding the safeguarding of 

individually identifiable information collected from research participants.

Why this condition:

Protections for human subjects of research are required under U.S. Department of Justice regulations at 

28 C.F.R. Part 46. This regulation constitutes the Federal Policy (Common Rule) for the Protection of Human 

Subjects. Each institution engaged in (nonexempt) COPS Office-supported human subjects research must 

provide a written assurance of compliance, satisfactory to the COPS Office, that it will comply with the DOJ 

human subjects regulations.

What you should do:

If any part of your CPD project contains research or statistical activities which involve human subjects that 

are not covered by an exemption set forth in 28 C.F.R. Part 46.101(b), you should ensure that you meet the 

provisions of the DOJ’s common rule regarding human subjects research risk protections, 28 C.F.R. Part 46, 

prior to the expenditure of federal funds to perform such activity(ies). By signing the award document, you 

also agree to comply with 28 C.F.R. Part 22 regarding the safeguarding of individually identifiable information 

collected from research participants.

21. Copyright 

If applicable, U.S. Department of Justice regulations permit an awardee to copyright any work that is subject to 

copyright and was developed, or for which ownership was purchased, under an award. The awardee agrees that 

the COPS Office reserves a royalty-free, nonexclusive, and irrevocable license to reproduce, publish, or otherwise use, 

and to authorize others to use, for Federal Government purposes: (1) the copyright in any work developed under 

the Community Policing Development award, subaward, or contract; and (2) any rights of copyright to which an 

awardee, subawardee, or a contractor purchases ownership with support from Community Policing Development 

funds. The awardee also agrees that it is responsible for acquiring the rights, and ensuring that its subawardees/

contractors/authors acquire the rights, to copyrighted material for inclusion in U.S. Department of Justice 

publications and other products and deliverables that are developed under the award, including the payment of 

required fees. The COPS Office may make available for reproduction material produced under this Cooperative 

Agreement by any means, including a DOJ website, a hard copy(ies), or in electronic form(s), without restriction. 

The awardee further agrees that the COPS Office reserves the right, at its discretion, to not publish deliverables and 

other materials developed under this Cooperative Agreement as a U.S. Department of Justice resource.
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When appropriate, U.S. Department of Justice publications and other products and deliverables developed 

under the Community Policing Development award should contain the following copyright notice: “Copyright 

© [year work was published] [name of copyright owner]. The U.S. Department of Justice reserves a royaltyfree, nonexclusive, and irrevocable license to reproduce, publish, or otherwise use, and authorize others to 

use, this publication for Federal Government purposes. This publication may be freely distributed and used for 

noncommercial and educational purposes only.”

Why this condition:

U.S. Department of Justice regulations allow the recipient of a COPS Office award to copyright any work that 

is subject to copyright and was developed, or for which ownership was purchased, under an award. 

As a Federal Government agency whose activities include producing and disseminating law enforcement 

materials to advance public safety through community policing across the nation, the COPS Office has 

an interest in making your deliverables and products widely available and accessible to the public. The 

COPS Office may make available for reproduction any material developed under the award by any means, 

including a DOJ website, a hard copy(ies), or in electronic form(s), without restriction. While the awardee 

owns the copyright in a COPS Office-funded work, the COPS Office reserves a royalty-free, nonexclusive, 

and irrevocable license to reproduce, publish, or otherwise use, and to authorize others to use, for Federal 

Government purposes: (1) the copyright in any work developed under the award including any related 

subaward or contract and (2) any copyright to which an awardee, including its subawardee or contractor, 

purchases ownership with financial support from award funds. 2 C.F.R. § 200.315(b).

In addition, the COPS Office retains sole discretion to determine whether to publish any final deliverables 

(e.g., reports, publications, manuals and training curricula) produced under an award as a DOJ resource.

What you should do:

The awardee is responsible for acquiring the rights, and ensuring that its subawardees/contractors/authors 

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

that are developed under this cooperative agreement, including the payment of required fees. All licensing, 

publishing, or similar agreements with a copyright holder, publisher, or other relevant party shall include 

provisions giving the Federal Government a royalty-free, non-exclusive, and irrevocable license to reproduce, 

publish, or otherwise use, and to authorize others to use, the copyrighted material for Federal Government 

purposes.

To help protect against unauthorized use, COPS Office-funded publications and other products or 

deliverables should contain the above-referenced copyright notice when appropriate.

If applicable, the awardee may copyright work that was developed, or for which ownership was purchased, 

under an award. However, please be advised that the DOJ is a nonexclusive licensee and only the legal or 

beneficial owner of an exclusive right under a copyright is entitled to institute an infringement action. An 

awardee should therefore consult its own legal counsel with any copyright infringement questions. For more 

information about registering a copyright, please visit the U.S. Copyright Office at www.copyright.gov.

22. Additional high-risk awardee requirements

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

performance period if the awarding agency determines that the recipient is a high-risk awardee (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).
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Why this condition:

In accordance with 2 C.F.R. § 200.207, the U.S. Department of Justice (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 awardee.

23. System for Award Management (SAM) and Universal Identifier requirements

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

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

A. Requirement for 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.
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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.II.210 of the attachment to OMB Circular A-133, 

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

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

consider a contract.

5. Subrecipient means an entity that:

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

a. 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 grant 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 grant application and 

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

subawards under its award, your agency may make subawards only to entities that have DUNS numbers. For 

more information about your DUNS number, please contact D&B using the 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.

24. Reporting subawards and executive compensation

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

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

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).
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2. Where and when to report.

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

www.fsrs.gov.

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

which the obligation was made. (For example, if the obligation was made on November 7, 2015, 

the obligation must be reported by no later than December 31, 2015.)

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—

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

ii. in the preceding fiscal year, you received—

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

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

at 2 C.F.R. Part 170.320 (and subawards); and

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

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

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

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

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

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

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

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

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

b.1. of this award term:

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

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

thereafter.

c. Reporting of Total Compensation of Subrecipient Executives.

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

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

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

subrecipient’s preceding completed fiscal year, if—

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

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

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

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

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

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

and

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

through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 
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(15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. (To determine 

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

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

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

paragraph c.1. of this award term:

i. To the recipient.

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

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

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

subrecipient by November 30 of that year.

d. Exemptions.

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

requirements to report:

i. Subawards, and

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

e. Definitions. For purposes of this award term:

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

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

ii. A foreign public entity;

iii. A domestic or foreign nonprofit organization;

iv. A domestic or foreign for-profit organization;

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

entity.

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

3. Subaward:

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

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

award to an eligible subrecipient.

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

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

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

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

or a subrecipient considers a contract.

4. Subrecipient means an entity that:

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

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

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

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

i. Salary and bonus.

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

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

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

Payments.

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

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

are available generally to all salaried employees.

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

pension plans.

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

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

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

property) for the executive exceeds $10,000.

Why this condition:

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

of 2006 (FFATA) requires, among other things, that information on federal awards (federal financial assistance and expenditures) be made available to the public via a single, searchable website, which is 

www.USASpending.gov. Awardees 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 totalling $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, furthering 

federal spending transparency.

For additional information regarding the executive compensation and subaward reporting requirements, 

please see Vol. 75, No. 177 (September 14, 2010) of the Federal Register, www.gpo.gov/fdsys/pkg/FR-2010-

09-14/pdf/2010-22705.pdf.

25. Federal civil rights laws

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

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

religion, national origin (which includes providing limited English proficient persons meaningful access to your 

programs), sex, disability or age, unlawfully exclude any person from participation in, deny the benefits of or 
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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 Equal 

Treatment for Faith-Based Organizations and its implementing regulations at 28 C.F.R. Part 38, which requires 

equal treatment of religious organizations in the funding process and nondiscrimination of beneficiaries by FaithBased 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, awardees are required to comply with the civil rights requirements 

found in the non-discrimination provisions referenced above. A hold may be placed on your award if it is 

deemed that your agency is not in compliance with federal civil rights laws 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:

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. 

26. Debarment and suspension

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 C.F.R. Part 180 (Government-wide Debarment and Suspension), and 2 C.F.R. Part 2867 (DOJ-specific 

requirements.) 

What you should do:

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

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

top managers) with whom you intend to do business is 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 subawardee to comply with subpart C of the OMB guidance in 2 C.F.R. 

Part 180 (Government-wide Debarment and Suspension) and subpart C of 2 C.F.R. Part 2867 (DOJ-specific 

requirements).
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27. Duplicative funding

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

same item or service also funded under this award. 

Why this condition:

This award was made 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 Program Manager or call the Response Center at 800-421-6770. 

If necessary, the COPS Office will work with your agency to reprogram funding for items or services that are 

allowable under this grant program.

28. Whistleblower protection

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 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. 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 G 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 

grants 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 grants 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 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;

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

negotiation of a contract) or grant. 
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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 grant 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;

•	 a management official or other employee of the contractor, subcontractor, or grantee 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 grant.

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 G on page 86 for a full text of the “Pilot program for enhancement of contractor 

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

29. Mandatory disclosure 

The 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 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.

30. Conflict of interest

Federal awardees and subawardees 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?

Awardees and subawardees 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.
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This means that awardees and subawardees 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

•	 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 awardee or subawardee

•	 This also means that awardees and subawardees 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;

•	 affecting negatively 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.

31. Contract provisions

All contracts made by the 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.

For the full text please refer to appendix H of the Award Owner’s Manual (AOM).

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 H of the Award Owner’s Manual.

32. Restrictions on internal confidentiality agreements

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, 2015 (Pub. L. 113-235), 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:

1. 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.

2. 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.

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;
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•	 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 

award-related 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 bar 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.

Accepting the award

After you have reviewed the conditions of your COPS Office CPD Program award and your agency agrees 

with these conditions, you are ready to accept the award. The Director (or Acting 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 

92 of this manual) 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; 

if applicable, the cooperative agreement that is incorporated by reference into the award document; and, if 

applicable, the special award conditions and high risk conditions in the award document supplement within 

45 days of the date shown on the award congratulatory letter. 

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 awardee. The 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, private organizations, 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 who signed the forms 

located in your CPD application package (if one or both of these individuals have changed, please complete 

a Change of Information (COI) form online at www.cops.usdoj.gov through the “Account Access” option). If 

you have any questions as to who should sign the award, please contact your organization’s legal counsel.
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By when must the award document be signed?

Please electronically sign the award document and all award condition pages within 45 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 electronically sign your original award document 

within the 45-day award acceptance period may result in your CPD award being withdrawn and the funds 

deobligated without additional notification. If your agency requires an extension for accepting the award 

beyond the 45-day acceptance timeframe, please submit a written request to your COPS Office Program 

Manager. Be sure to explain the circumstances that prevent your agency from electronically signing the 

award document within the 45-day period, and identify the date by which the award document will be 

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 45-day award acceptance period.
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II. The Cooperative Agreement

The cooperative agreement document 

If your project requires substantial involvement on the part of the COPS Office, a multi-page cooperative 

agreement document will accompany your award document. Under the Federal Grant and Cooperative 

Agreement Act of 1977, a cooperative agreement is the legal instrument used by a federal agency to 

enter into a relationship with a state, local government, or other recipient when the principal purpose 

of assistance is to carry out a public purpose of support or stimulation authorized by federal law and 

substantial involvement is expected between the federal agency and the awardee. 31 U.S.C. § 6305.

To officially accept and begin your CPD award, your agency must review the cooperative agreement 

document along with your award document and electronically sign for all documents within 45 days of the 

date shown on the award congratulatory letter. Please note that, if applicable to your award, the cooperative 

agreement is incorporated by reference into the award document and that by signing the award document, 

your agency has entered into the cooperative agreement with the COPS Office and agrees to abide by all 

the requirements in the cooperative agreement.

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

award document. 

The sections that follow describe in detail each aspect of the cooperative agreement, its rationale, and 

its implications. They also address many frequently asked questions. If you have any additional questions 

concerning your cooperative agreement, please contact your designated COPS Office Program Manager. 

I. Statement of authority

This cooperative agreement between the [Insert Agency Name] (“awardee”) and the U.S. Department of 

Justice Office of Community Oriented Policing Services (“COPS Office”) is hereby entered into under the 

authority of 42 U.S.C. 3796dd et seq. The purposes of this cooperative agreement are described below.

II. Statement of background and purpose

A. Background:

This section establishes why this cooperative effort is needed, including a history of the effort to date and 

why the effort is required now. This section also establishes the purpose of the project and explains the 

rationale for the work.

B. Primary objective:

The primary objective describes what the recipient will accomplish under this CPD award. In addition, the 

cooperative agreement highlights how CPD funds will be used to advance the practice of community 

policing. This is generally accomplished through the development of knowledge resource products and 

services such as training and technical assistance, implementing and testing innovative community policing 

strategies, conducting applied research, and developing guidebooks or other resources.

III. Scope of Work

This section outlines the specific personnel, travel, supplies, and activities necessary to perform the work 

being funded. It is organized into seven sections, which detail the services and support that the COPS Office 

will provide and the activities and requirements that the awardee agrees to accomplish and meet.
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For a period hereinafter set forth, the COPS Office and the awardee will cooperatively furnish the necessary 

personnel, travel, supplies, and otherwise perform all things necessary for, or incident to, the performance of 

work (the accomplishment of functional objectives) as set forth below: 

A. COPS Office responsibilities

Specifically, the COPS Office will do the following:

1. Designate a program manager to participate in the planning and management of this cooperative 

agreement and to coordinate activities.

2. Provide information and technical assistance from government sources within available resources and 

as determined appropriate by the program manager.

3. Provide guidance to the awardee in the planning and development of strategies used in the project 

and in the coordination of the project with law enforcement agencies and organizations interested in 

contributing their support.

4. Work with the awardee to meet the designated project tasks and timelines.

5. Review and approve required reports specific to each cooperative agreement, which will include 

periodic progress and financial reports, deliverables, evaluations, and other documentation requiring 

COPS Office approval.

6. Review and approve all proposed changes in key staff assignments to the project and any significant 

changes in the partner’s role or responsibilities.

7. Review and approve all proposed writers of any project deliverables.

8. Permit an awardee to copyright any work that is subject to copyright and was developed, or for 

which ownership was purchased, under an award in accordance with 2 C.F.R. § 200.315(b) as adopted 

by the U.S. Department of Justice in 2 C.F.R. §2800.101. The COPS Office will reserve a royalty-free, 

nonexclusive, and irrevocable license to reproduce, publish, or otherwise use, and to authorize 

others to use, for Federal Government purposes: (1) the copyright in any work developed under this 

cooperative agreement including any related subaward or contract; and (2) any rights of copyright to 

which the awardee, including its subawardee or contractor, purchases ownership with support from 

this cooperative agreement. In addition, the COPS Office may make available for reproduction material 

produced under this cooperative agreement by any means, including a U.S. Department of Justice 

website, a hard copy(ies), or in electronic form(s), without restriction. The COPS Office also reserves 

the right, at its discretion, to not publish deliverables and other materials (e.g., reports, publications, 

manuals, and training curricula) developed under this cooperative agreement as a U.S. Department of 

Justice resource.

B. Awardee responsibilities

This section provides additional details of awardee responsibilities common to all COPS Office cooperative 

agreements.

Specifically, the awardee will do the following:

1. Be responsible for acquiring the rights, and ensuring that its subawardees/contractors/authors acquire 

the rights, to copyrighted material for inclusion in U.S. Department of Justice publications or other 

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

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

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

use, the copyrighted material for Federal Government purposes.
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2. Work closely with the COPS Office and program manager to achieve the tasks specified in this 

cooperative agreement.

3. Provide further detail on project plans as requested by the program manager.

4. Adhere to the requirements or tasks specified in this cooperative agreement and not deviate from them 

unless requested adjustments are first presented to and approved by the program manager.

5. Submit for prior approval or disapproval to the program manager any proposed changes in key staff 

assignments to this project and any significant changes in any partner’s role or responsibilities.

6. Submit for prior approval to the program manager proposed writers of any project deliverables. The 

program manager will need to review the writer(s) resume and writing sample before approving the 

writer.

7. Obtain written approval from the COPS Office prior to obligating, expending, or drawing down 

cooperative agreement funds for the award of non-competitive contracts for goods or services 

(including equipment purchases) in excess of $150,000. See 2 C.F.R. § 200.324(b)(2).

8. Ensure that all proposed deliverables and publications follow and are in accordance with the COPS 

Office Editorial and Graphics Style Manual.

9. Submit one copy of all reports and proposed products and deliverables (written, visual, or sound; 

curricula, reports, or websites) or computer programs resulting from this cooperative agreement to the 

program manager ninety (90) days prior to public release.

10. All products and deliverables (written, visual, or sound; curricula, reports, or websites) or computer 

programs developed under this cooperative agreement shall contain the following statement: 

This project was supported by cooperative agreement number 2015-XX-XX-XXXX awarded by 

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

contained herein are those of the author(s) and do not necessarily represent the official position 

or policies of the U.S. Department of Justice. References to specific agencies, companies, products, 

or services should not be considered an endorsement by the author(s) or the U.S. Department of 

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

The Internet references cited in this publication were valid as of the date of this publication. Given 

that URLs and websites are in constant flux, neither the author(s) nor the COPS Office can vouch for 

their current validity.

When appropriate, U.S. Department of Justice publications and other products and deliverables 

developed under this cooperative agreement should contain the following copyright notice:

Copyright © [year work was published] [name of copyright owner]. The U.S. Department of Justice 

reserves a royalty-free, nonexclusive, and irrevocable license to reproduce, publish, or otherwise 

use, and authorize others to use, this publication for Federal Government purposes. This publication 

may be freely distributed and used for noncommercial and educational purposes only.

11. Contact the program manager to determine if revenue generated from your award constitutes program 

income. Program income must be used to defray program costs and reduce the federal share of the 

project. See 2 C.F.R. § 200.307. In some cases, awardees can work with the program manager to identify 

additional project-related allowable costs that could be supported by program income. The awardee 

may not earn or keep any profit resulting from this award unless expressly authorized, in writing, by the 

COPS Office. See 2 C.F.R. § 200.400(g).
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12. Ensure that all electronic and information technology deliverables (websites and web-based 

information, video and multimedia products, compact disks, software applications and operating 

systems, and telecommunication products) are developed and produced in a format that is accessible 

according to Section 508 accessibility requirements. Specifically, video should contain closedcaptioning and audio description options. Electronic publications should be created in HTML, PDF fully 

tagged, or accessible text file format and all web sites must be fully compliant with 508 accessibility 

standards. For more information on Section 508 accessibility requirements, consult http://www.

section508.gov/.

13. Ensure that web-based courses developed through this cooperative agreement are compatible with 

the current framework used in the Community Policing Learning Portal. Prior to the development of 

the web-based course, the awardee must contact the COPS Office to receive guidance to ensure this 

compatibility. At the request of the COPS Office, submit web-based courses that are developed through 

this cooperative agreement to the COPS Office.

14. At the request of the COPS Office, submit all website(s) and web-based information that are developed 

through this cooperative agreement to the COPS Office. The information will be submitted in a format 

that will enable the COPS Office to reproduce the website(s) and web-based information on an 

alternative web based platforms.

15. If required, submit all surveys, interview protocols, and other information collections to the COPS Office 

for submission to the Office of Management and Budget (OMB) for clearance under the Paperwork 

Reduction Act (PWRA) of 1995.

16. Agree to cooperate with the monitor or evaluator if monitoring or an evaluation of this project is to be 

undertaken by the COPS Office or a third party and, in consultation with the COPS Office, agree to make 

reasonable adjustments to programs and activities in recognition of significant points of evaluation or 

feedback and to remedy any violations of the terms and conditions of this award.

17. Be responsible for the development, approval, and operation of all subawards and require its 

subawardees to adhere to applicable federal requirements governing federal assistance. See 2 C.F.R. § 

200.101(b)(1). The awardee will ensure that subawardees maintain effective control and accountability 

over all funds, property and other assets covered by subawards and that each subawardee establishes 

and uses internal fiscal and program management procedures sufficient to prevent fraud, waste, or 

abuse.

18. Work to develop a marketing plan to increase the visibility of the project and any accompanying 

outcomes/deliverables at the request of the COPS Office. The awardee will coordinate any marketing 

activities with the COPS Office.

19. Work closely with the COPS Office and program manager to respond to peer reviewer, program 

manager, vetting, and other COPS Office staff comments prior to the cooperative agreement expiration 

date.

20. Obtain written approval from the COPS Office prior to entering into any contract, agreement, or other 

obligation for costs related to any conference, meeting, retreat, seminar, symposium, training activity, or 

similar event funded under this award. For more information on allowable costs, please follow this link: 

www.ojp.gov/funding/confcost.htm.

21. Ensure that all conference or similar event costs comply with current and future guidelines and policies 

that you receive from the COPS Office on conference planning, food and beverages, minimizing costs, 

and conference cost reporting.
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22. Within 45 days after the end of any conference, meeting, retreat, seminar, symposium, training activity, 

or similar event funded under this award, and the total cost of which exceeds $20,000 in award funds, 

the recipient must provide the program manager with the following information and itemized costs:

•	 Name of the event

•	 Event dates

•	 Location of event

•	 Number of federal attendees

•	 Number of nonfederal attendees

•	 Costs of event space, including rooms for break-out sessions

•	 Costs for audio visual services

•	 Other equipment costs (e.g., computer fees, telephone fees)

•	 Costs of printing and distribution

•	 Costs of meals provided during the event

•	 Costs of refreshments provided during the event

•	 Costs of event planner

•	 Costs of event facilitators

•	 Any other direct costs associated with the event

•	 The recipient must also itemize and report any of the following attendee (including participants, 

presenters, speakers) costs that are paid or reimbursed with cooperative agreement funds:

•	 Meals and incidental expenses (M&IE portion of per diem)

•	 Lodging

•	 Transportation to/from event location (e.g., common carrier, privately owned vehicle (POV))

•	 Local transportation (e.g., rental car, POV) at event location

•	 Note that if any item is paid for with registration fees, or any other non-award funding, then that 

portion of the expense does not need to be reported. 

23. If applicable, submit by the 5th day of each month information on all training and technical assistance 

events funded under this award to the COPS Office Grantee Training and Technical Assistance (TTA) 

Reporting Tool on the Community Policing Learning Portal. Reporting instructions are outlined in the 

COPS Office Training and Technical Assistance Reporting Guide.

24. Submit all approved indirect cost rates, if applicable, covering the award period to the COPS Office 

within 30 days of approval from the cognizant federal agency. 

If a provisional indirect cost rate is in effect at grant closeout, the awardee shall proceed with closeout 

but will complete an expenditure analysis upon receipt of the approved final indirect cost rate to 

determine if an adjustment is necessary. If the awardee drew down excess COPS Office funding for 

indirect costs, the awardee must return the overpayment to the COPS Office and submit a revised 

Federal Financial Report (SF-425). If the awardee incurred additional indirect costs, the awardee may 

request a budget modification if the award is still open and award funds are available. If the awardee 

returns or draws down COPS Office funding, the awardee will submit a revised final Federal Financial 

Report (SF-425).
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The awardee should pay particular attention to the two areas listed below to ensure that their 

application of indirect cost rate is in compliance with the existing requirements of the governmentwide award rules set out by the Office of Management and Budget (OMB):

A. $25,000 Subcontract/Subaward Limitation: Indirect cost rates negotiated on the basis of modified 

total direct costs may only be applied against the first $25,000 of any subcontract or subaward 

under the agreement. This limitation must be applied to all conference related subcontracts 

and subawards, including those with hotels and travel agents. See 2 C.F.R. § 200, Appendix 

III.C.2 (Indirect costs—Institutions of Higher Education); 2 C.F.R. § 200, Appendix IV.B.2c (Indirect 

costs—Nonprofit Organizations); or 2 C.F.R. § 200, Appendix VII.C.2c (Indirect costs—States, Local 

Governments, and Indian Tribes). 

B. Participant Support Costs: Participant support costs are generally excluded from the distribution 

base. Therefore, indirect costs may not be applied against participant support costs. Participant 

support costs are direct costs for items such as stipends or subsistence allowances, travel 

allowances, and registration fees paid to or on behalf of participants or trainees (but not 

employees) in connection with meetings, conferences, symposia, or training projects. See 2 C.F.R. 

§ 200.75. This exclusion applies to the entirety of any subcontracts for the lodging and travel 

of conference participants or trainees (but not employees). Costs related to contractors of the 

recipient who are acting in the capacity of a “Conference Trainer/Instructor/ Presenter/Facilitator” 

are considered participant support costs.

For more information on allowable costs for conferences and training, please follow this link: 

www.ojp.gov/funding/confcost.htm.

Indirect costs were removed from the budget if the Awardee did not provide, at the time of 

application, either a current approved federal indirect cost rate or documentation showing a pending 

request for approval by the cognizant federal agency. If the Awardee has never received a federally 

approved indirect cost rate, it may elect to charge a de minimis rate of 10% of modified total direct 

costs (MTDC) in lieu of negotiating a rate with the cognizant federal agency. See 2 CFR § 200.414(f ). 

25. Follow the COPS Office Curriculum Standards, Review and Approval Guide and COPS Office Instructor 

Quality Assurance Guide, if developing training curriculum or delivering training under this cooperative 

agreement. A copy of these guides will be supplied to you by your COPS Office Program Manager.

26. Notify and consult with the COPS Office prior to establishing a formal partnership with any non-federal 

entity, including soliciting and accepting free goods or services, on activities under this cooperative 

agreement.

C. Awardee acknowledgments

This section of the cooperative agreement is similar to the award conditions listed in section 1 and notifies 

you of important award requirements.

The awardee acknowledges the following:

1. If any part of the funded project contains research or statistical activities which involve human subjects 

that are not covered by an exemption set forth in 28 C.F.R. § 46.101(b), the awardee must meet the 

provisions of the U.S. Department of Justice’s common rule regarding the Protection of Human Subjects, 

28 C.F.R. Part 46, prior to the expenditure of federal funds to perform such activity(ies). The awardee 

also agrees to comply with 28 C.F.R. Part 22 regarding the safeguarding of individually identifiable 

information collected from research participants.
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2. Implementation of this award shall be subject to federal monitoring, auditing, or evaluation and/or 

a Single Audit Act audit (see 2 C.F.R. §200.501). The awardee agrees to cooperate with such activities 

by providing access to and copies of, as appropriate, all project-related records, documents and 

personnel. An awardee that expends $750,000 or more in federal award funds (from all sources) during 

the awardee’s fiscal year must have a single audit conducted in accordance with §200.514 Scope of 

audit, except when it elects to have a program-specific audit conducted in accordance with 2 C.F.R. 

§ 200.501(c). For-profit (commercial) entities should follow the dollar threshold in 2 C.F.R. § 200.501 in 

determining whether to conduct an audit in accordance with the Government Auditing Standards.

3. Failure to comply with the terms and conditions of this award may result in legal sanctions including, 

but not limited to, suspension and termination of funds, repayment of expended funds, and ineligibility 

to receive additional COPS Office funding.

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

imprisonment, debarment from participating in federal grants or contracts, or any other remedy 

available by law to the Federal Government.

D. Specific requirements

This section of the cooperative agreement will specify tasks that awardees agree to fulfill during the 

stated time frames including addressing peer reviewer and COPS Office staff comments to deliverables 

and producing an executive summary document for each publication developed under the award. Any 

proposed changes to these tasks must be submitted to the COPS Office Program Manager for approval.

At a minimum, the following specific requirements shall be fulfilled by the awardee during the specified 

timeframe.

[Tasks should include performance indicators (how will the performance be measured) What tasks must be 

accomplished to get the desired results/outcomes?]

Task 1

Task 2

Task 3. Awardee will produce a standalone executive summary document(s) for [specify document/

deliverables]. This document(s) is intended for use by law enforcement executives and others interested in 

an abridged version of the resource(s) developed under this award, and it will summarize the awardees’ work 

and highlight the major findings and recommendations. This document(s) will be subject to COPS Office 

review and approval. [This task should be included in all CAs when it is applicable. For example, it may not be 

applicable to training awards or when the documents produced are already abridged/summarized]. 

Task 4. Work with COPS Office and Program Manager to address peer review, program manager, vetting, and 

other COPS Office staff comments regarding [specify products and deliverables].

E. Performance timeline and deliverables 

A performance timeline for all deliverables that are considered to be significant in the performance of 

the cooperative agreement and due dates based upon the award start date will be listed in this section. 

One electronic copy of the deliverable items must be delivered to the COPS Office Program Manager in 

accordance with the agreed-upon schedule in the cooperative agreement.

The following is a performance timeline for all deliverables and their due dates (based upon an award date 

of XX/XX/XXXX) which are considered to be significant in the performance of this cooperative agreement. 

One electronic copy of deliverable items shall be delivered and in accordance with the following schedule:
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Deliverables Date

[List Project Deliverables]

All deliverable items shall be furnished to the following:

[Insert Program Manager]

U.S. Department of Justice

COPS Office

[Division]

145 N Street NE, 11th Floor

Washington, DC 20530

[insert contact information]

F. Financial status reports

The awardee will provide quarterly reports of project activity and expenditures. Specifically, the awardee is 

required to submit quarterly Federal Financial Reports on the Standard Form 425 (SF-425) within 30 days 

after the end of each quarter (January 1–March 31 / April 1–June 30 / July 1–September 30 / October 1–

December 31). A final SF-425 is due within 90 days after the end of the grant period. Awardees must 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, complete, and submit reports online.

G. Programmatic progress reports

The awardee will provide periodic progress reports detailing project activity. Specifically, the awardee 

will submit progress reports through the COPS Office online progress reporting system in the frequency 

requested. These progress reports should be received by the COPS Office within 30 days of the end of the 

reporting period. The awardee will also submit a final progress report to the COPS Office within 90 days of 

the end of the award period.

IV. Period of performance 

This section specifies the cooperative agreement period of performance (start and end dates).

The period of performance of this cooperative agreement is XXX months from the cooperative agreement 

award start date (award period XX/XX/20XX to XX/XX/20XX).

V. Financial administration

A. Funding

The total amount of federal funding to be provided under this cooperative agreement is stated on the award 

document, award congratulatory letter, and official Financial Clearance Memorandum (FCM).

B. Travel

All travel plans related to the cooperative agreement and to the development of the deliverables should be 

submitted to the COPS Office Program Manager for review by the COPS Office.

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

Community Policing Development Program with prior approval from the COPS Office. Payment for allowable 

travel costs will be in accordance with 2 C.F.R. § 200.474.
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C. Consultant rates

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

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

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

or contractors are hired through a noncompetitive bidding process. Authorization requires submitting a 

detailed written justification of the consultant rate to the program manager. Specific and detailed written 

justification for each additional consultant must be submitted to and approved by the COPS Office prior to 

obligation or expenditure of such funds. 

D. Project budget

The approved project budget is incorporated herein and made a part of this cooperative agreement. All 

modification requests involving the reallocation of funding between budget categories that exceed or are 

expected to exceed 10 percent (10%) of the total award amount must be approved, in writing, by the COPS 

Office prior to their purchase or implementation. In requesting a modification, the awardee will set forth 

the reasons and the basis for the proposed change and any other information deemed helpful for review by 

the COPS Office. Modifications are evaluated on a case-by-case basis. The COPS Office will not approve any 

modification request that results in an increase of federal funds.

E. Payment

All costs claimed for reimbursement and payment, including the final payment, shall be submitted via the 

Grant Payment Request System (GPRS).

F. No-cost extensions of time

Awardee must provide a reasonable justification for delays in implementing this cooperative agreement to 

be granted a no-cost extension. A request for an extension of the grant award period to receive additional 

time to implement the funded program is at the discretion of the COPS Office. Such extensions do not 

provide additional funding.

G. Employment

Awardee acknowledges that nothing in this cooperative agreement shall be construed to create an 

employment relationship with the COPS Office or with the Federal Government or to require provision of 

any benefits incident to employment.

VI. Program manager(s)

The contact information for the COPS Office Program Manager and the awardee project/program manager 

will be listed in the cooperative agreement including name, title, organization, telephone, and e-mail 

address. These program/project managers have the authority to propose and approve any modifications to 

the cooperative agreement for their respective organizations.

COPS Office

[Insert Program Manager]

U.S. Department of Justice

COPS Office

[Division]

145 N Street, NE, 11th Floor

Washington, DC 20530

[insert contact information]

Awardee

[Insert contact information, including phone number]
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VII. General provisions

The awardee of record must follow all requirements imposed by the U.S. Department of Justice as an award 

term, condition or administrative requirement of the award, including but not limited to: the COPS Office 

Community Policing Development Program Award Owner’s Manual; the COPS Office Assurances and 

Certifications; the COPS Office statute (42 U.S.C. 3796dd et seq.); 2 C.F.R. Part 200 (Uniform Administrative 

Requirements, Cost Principles, and Audit Requirements for Federal Awards); the current edition of the COPS 

Office Grant Monitoring Standards and Guidelines; the COPS Office Editorial and Graphics Style Manual; and 

all other applicable program requirements, laws, orders, regulations, or circulars.

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 crashed caused by 

distracted drivers.

VIII. Modifications

The designated COPS Office and awardee project officers (under section VI (A) and VI (B)) for their respective 

organizations shall have the authority to propose and approve any modifications to this cooperative 

agreement. Modifications to this cooperative agreement may be proposed at any time during the period of 

performance by either party, and shall become effective upon approval by both parties.

IX. Incorporation by reference; effective date

By signing the award document, the responsible parties designated below have entered into this 

cooperative agreement, which is incorporated by reference into the award document. This cooperative 

agreement is effective as of the date that the last responsible party signed the award document.

Ronald L. Davis, Director

Office of Community Oriented Policing Services

[Insert Law Enforcement Executive/Program Official Name]

[Insert Agency Name]

[Insert Government Executive/Financial Official Name]

[Insert Agency Name]

Updated September 2015
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III. Procurement Process

In general, award recipients are required to procure funded items through open and free competition 

when feasible. For the purchase of equipment, technology, or services under a COPS Office award, award 

recipients must follow their own policies and procedures on procurement as long as those requirements 

conform to the federal procurement requirements set forth in 28 C.F.R. § 66.36 and 28 C.F.R. § 70.40 et seq. 

(as applicable).

As described in award condition #13 on page 14, awardees are required to submit a sole source justification 

(SSJ) request for sole source procurements in excess of $150,000 prior to purchasing equipment, technology, 

or services; obligating funding for a contract; or entering into a contract with grant funds. For the purchase 

of equipment, technology, or services under a COPS Office grant or award, recipients must use their own 

documented procurement procedures that reflect applicable state and local laws and regulations, as long 

as those requirements conform to the federal procurement requirements set forth in 2 C.F.R. § 200.320 as 

adopted by the U.S. Department of Justice in 2 C.F.R. § 2800.101. A sole source justification request should be 

submitted if a recipient determines that the award of a contract through a competitive process is infeasible. 

The COPS Office may authorize a noncompetitive proposal if one or more of the following circumstances 

apply:

•	 The item/service is available only from one source.

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

competitive solicitation. 

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

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

approval?

Requests for sole source procurements of equipment, technology, or services in excess of $150,000 must be 

submitted to the COPS Office in writing, confirming that the award of the contract through full and open 

competition is infeasible. Please note that a justification must be submitted for each vendor providing goods 

or services in excess of $150,000.

To ensure that all of the necessary information is included and submitted to the COPS Office, the following 

checklist can be used when preparing your agency’s sole source request:

Letterhead. The sole source request must be signed by an authorized representative and submitted on 

awardee department letterhead, and must include the agency ORI and the award number for which the 

approval is being sought. The request should also include the following information:

Section I. Description of Project A brief description of the project, the amount to be designated for 

the sole source procurement, and the purpose of the contract.

Section II. Reason for Request An explanation as to why full and open competition is infeasible 

(e.g., why it is necessary to contract in a noncompetitive manner), and which one (or more) of 

the three required categories identified below applies to the requested sole source procurement 

transaction(s).

•	 The item/service is available only from one source.

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

competitive solicitation.

•	 Competition is determined inadequate after solicitation of a number of sources.
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Section III. Supporting Documentation The information below should support the applicable 

category(ies) identified in Section II.

If the item/service is available only from one source, please include the following:

•	 Uniqueness of items/services to be procured from the proposed contractor or vendor 

(compatibility, patent issues, etc.)

•	 How the agency determined that the item/service is only available from one source (e.g., 

market survey results, independent agency research, patented or proprietary system)

•	 Explanation of need for contractor’s expertise linked to the current project (e.g., knowledge 

of project management, responsiveness, experience of contractor personnel, prior work on 

earlier phases of project)

•	 Any additional information that would support the case

If the public exigency or emergency for the requirement will not permit a delay resulting from 

competitive solicitation, please include the following:

•	 Explanation of the specific public emergency

•	 Impact on project if deadline/dates are not met

•	 When the contractual coverage is required by your department and why

•	 Any additional information that would support the case

If competition is determined inadequate after solicitation of a number of sources, please include 

the following:

•	 Results of a market survey to determine competition availability (if no survey is conducted, 

please explain why not)

•	 Any additional information that would support the case

Section IV. Best Interest Statement A statement declaring that this action/choice is in the best 

interest of the agency.

Failure to provide all of the necessary information will delay the processing of your request. Your agency 

will be contacted if any of the identified information is missing or if additional supporting information is 

required. If the COPS Office determines that the request does not meet the standards set forth above, the 

request will be denied. Please be advised that conflicts of interest are prohibited under the procurement 

standards set forth in 2 C.F.R. § 200.318 as adopted by the U.S. Department of Justice in 2 C.F.R. § 2800.101. 

In addition, the grant recipient agrees not to award federal funds under this program to any party that is 

debarred or suspended from participation in federal assistance programs.

Contact the COPS Office

If you have any questions regarding the federal requirements that guide procurement procedures, please 

contact your COPS Office Grant Program Specialist or program point of contact.

For more information about COPS Office programs and resources, please call the COPS Office Response 

Center at 800-421-6770 or visit the COPS Office online at www.cops.usdoj.gov.
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IV. 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 method of payment available for accessing federal grant funds—the Grant Payment 

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

connection to request funds. Approved payment requests will automatically be scheduled for payment by 

the U.S. Department of the Treasury. A grantee will be able to review previous requests made since July 2009. 

For more information on the GPRS, please go to www.ojp.usdoj.gov/about/offices/ocfogprs.htm to view the 

user guide.

Setting up your account

How do we set up a GPRS account?

If you are a new grantee to the COPS Office, your law enforcement executive or government executive 

should receive notification about GPRS shortly after the COPS Office receives your original signed award 

document. This notification will contain all of the information that your agency needs to set up the GPRS 

payment method. If your law enforcement executive or government executive does not perform drawdown 

requests for your agency, your grant administrator will need to go online to https://grants.ojp.usdoj.gov/

gprs/welcome to log in and register to become a Drawdown Specialist. Once you are 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 or government 

executive or other financial points of contact to validate information provided by the Drawdown Specialist.

If you are already registered for a COPS Office grant username in GPRS, and would like to add a newly 

awarded COPS Office grant to the existing COPS Office grant username, contact the COPS Office GPRS 

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

User name

First/Last name

Vendor Number

Grant /Award number (s) to be added

How do we fill out the payment enrollment forms?

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

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

COPS Office website at the following address: www.cops.usdoj.gov/Default.asp?Item=100.

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 7th Street NW

Washington, DC 20531
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Your agency must complete the “Payee/Company Information” section following the directions on the back 

of the form and also provide the 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 awardee, you should already have filled out an ACH enrollment form. 

Therefore, your agency will not be required to submit a new ACH enrollment form for the newly awarded 

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.

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 award account if the SF-425 for the most recent reporting quarter is not on 

file with the COPS Office by the deadline date. Awardees 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 VII of this 

award owner’s manual, titled “Reports,” on page 50.

Filing the FFR (SF-425) identifies your federal and local expenditures made during that calendar quarter. 

However, to receive actual payment, you must request it through GPRS.

Additional payment questions

Can we receive advances?

Yes. If you receive funds through electronic transfer, the period allowed is 10 days in advance. In general, the 

concept of “minimum cash on hand” applies to COPS 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.

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 

awardee

•	 is unwilling or unable to attain project goals;

•	 maintains excess cash on hand;

•	 does not adhere to the terms and conditions of the award;

•	 fails to submit reliable or timely reports.

How often do we request reimbursement of costs?

There are no limitations on how often your agency may request reimbursements. However, reimbursement 

is only for costs that were approved in the Financial Clearance Memorandum. 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.
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Can we earn interest on our award funds?

Your agency should minimize the time between your draw down of award 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:

•	 COPS grant award recipients must adhere to the standards set forth in the applicable Office of 

Management and Budget (OMB) uniform guidance 2 C.F.R. § 200.305(b)(9) that states that interest 

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

be retained by the awardee for administrative expense. Interest earned on Federal advance payments 

deposited in interest-bearing accounts in excess of $500 must be remitted annually to the U.S. 

Department of Health and Human Services. Make check payable to “The Department of Health and 

Human Services” and 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 Payment Management System (PMS) account). 

•	 Please notify your COPS Office Staff Accountant in the COPS Office Financial Division when any interest 

that is earned is remitted to U.S. Department of Health and Human Services, Payment Management 

Systems, P.O. Box 6021, Rockville, MD 20852.

•	 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.

Matching funds

Under the COPS Office Community Policing Development Program, no local match is required. The 

COPS Office is funding 100 percent of the allowable items approved in your FCM. Any agency desiring to 

contribute additional funds to this project is encouraged to do so and report these funds on SF-425 as a 

recipient share of expenditures.
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V. Financial Record Maintenance

Under the COPS Office CPD 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?

Your agency needs to establish and maintain accounting systems and financial records to accurately 

account for the funds awarded.

As stated in 2 C.F.R. 200.62 (Internal Control over Compliance Requirements for Federal Awards), your 

accounting system should

•	 present and itemize actual expenditures of funded items;

•	 demonstrate that funds are spent in compliance with your award conditions;

•	 be able to provide the necessary information for periodic financial review and audit.

What records must be kept?

Your agency’s fiscal control and accounting systems should enable you to make accurate, current, and 

complete disclosure of the financial activity under your CPD 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, canceled checks, purchase orders, 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 documents be kept?

All financial records, including payroll, time and attendance records, canceled checks, purchase orders, and 

similar documents associated with your CPD award must be kept for three years from the date of submission 

of the final expenditure report. See 2 C.F.R. § 200.333. Your agency should maintain records so that you can 

identify them by grant 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.

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 DOJ, 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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VI. 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 

(DOJ) Office of the Inspector General (OIG) audits.

Requirements and audits

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 June 27, 2003 and again 

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 C.F.R. 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?

An awardee that expends $750,000 or more during the awardee’s fiscal year in federal awards must have a 

single audit conducted in accordance with 2 C.F.R. §200.514 Scope of audit except when it elects to have a 

program-specific audit conducted in accordance with 2 C.F.R. §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 awardee’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 the 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 §200.338 Remedies for noncompliance could include the 

following:

•	 Temporarily withhold cash payments pending correction of the deficiency by the non-Federal entity or 

more severe enforcement action by the Federal awarding agency or pass-through entity.

•	 Disallow (that is, deny 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 suspend or terminate the Federal award.

•	 Initiate 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).

•	 Withhold further Federal awards for the project or program.

•	 Take other remedies that may be legally available.

Your Single Audit Act reports should not be sent to the COPS Office. If the U.S. Department of Justice is your 

cognizant federal agency (see the Glossary of Terms on page 92 of this manual), they should be sent to the 

Federal Audit Clearinghouse at:
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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 awardees and 

auditors in the conduct of SAA audits. Questions and comments regarding SAA audits may be directed to 

the COPS Office Response Center at 800-421-6770.

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

The OIG is a separate component of the U.S. Department of Justice and is independent of the COPS Office. 

The primary objective of OIG audits is to assess compliance with award conditions. OIG audits are designed to 

promote economy, efficiency, and effectiveness in the administration of awards by evaluating compliance with 

laws, regulations, policies, and procedures governing the operations encompassed in the scope of the audit.

How are COPS Office awards selected for an OIG audit?

The OIG may conduct a COPS Office award audit in response to a referral that the OIG believes warrants 

further evaluation. The OIG also surveys DOJ agencies on an annual basis to solicit input on suggested audit 

areas for the upcoming fiscal year. In most instances, however, the OIG selects awards based on a number of 

factors, including the geographical distribution of awards awarded, award amount, population served, and 

type of award (both active and expired). As such, the fact that your award has been selected for an OIG audit 

is not necessarily indicative of a suspected concern or problem area.

The COPS Office Grant Monitoring Division serves as the liaison between awardees and the OIG’s Audit 

Division, which conducts the audit. After the OIG notifies the COPS Office of upcoming audits to be 

conducted, the COPS Office Grant Monitoring Division will send out a notification letter to the awardee 

outlining the scope of each audit and the anticipated audit timeframe. This notification letter also advises 

awardees of the supporting documentation required and information necessary for the OIG during their 

scheduled field work, and provides a COPS Office point of contact to address questions and concerns. If you 

have any questions regarding an OIG audit, please contact the COPS Office Grant Monitoring Division at 

800-421-6770. Questions and comments regarding the administration of your COPS Office CPD award, not 

specifically related to an audit, should be referred to your COPS Office Program Manager.

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. Awardee incurred costs that were not approved in the original budget, 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, or award 

expenditures were in excess of actual award costs.

lack of complete/timely programmatic and financial reporting. Awardee failed to submit required 

programmatic and financial reports in a timely manner or had inadequate record keeping systems.

supplanting. Awardee could not document efforts to backfill vacant positions or awardee could not explain 

reductions in local law enforcement budget during the award period.
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funds to better use. Funds could be used more efficiently based on management actions such as: a) 

reductions in outlays; b) deobligation of funds; c) withdrawal; d) costs not incurred by implementing 

recommended improvements; or e) any other savings which are specifically identified.

questioned costs. Costs that are questioned by the auditor because of an audit finding which resulted 

from a violation or possible violation of a provision of law, regulation, 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.

After the final OIG audit report has been issued, the COPS Office Audit Liaison 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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VII. Reports

As part of the CPD program, your agency will be required to submit quarterly Federal Financial Reports as 

well as quarterly Program Progress Reports. Awarded agencies should be prepared to track and report CPD 

program award funding separately from other funding sources (including other COPS Office and federal 

grants and 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 CPD program funding 

and ensure that its use is consistent with the grant award terms and conditions. Good practices in this area 

would include written accounting practices, an accounting system that tracks all drawdowns and award 

expenditures, and the ability to track when award-funded positions are filled or approved purchases are 

made. Failure to submit complete reports or submit them in a timely manner may result in the suspension 

and possible termination of your agency’s COPS Office award funding or other remedial actions.

Federal Financial Reports

Your agency is required to submit quarterly Federal Financial Reports (FFR) 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 grant end date; 

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

down funds for eligible expenditures incurred before the grant end date.

How do we file Federal Financial Reports?

All COPS Office awardees are required to submit quarterly FFRs using the SF-425.

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

Awardees 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, complete, and 

submit reports online. The online SF-425 requires the same reporting information as the paper version. 

The use of this online application enables authorized users to view past SF-425s, and allows them to file or 

amend the SF-425 for the current quarter.
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For your first SF-425 submission, determine when the most recent SF-425 reporting quarter ended and 

complete an SF-425 to cover the period from the award start date of your award to that particular end 

date. You are required to submit an SF-425 even if you have not spent any money or incurred any costs 

during a reporting period. The due dates for online filing of SF-425s are the same as for the submission of 

paper copies.

Example: 

If your award start date is 02-01-13 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 quarter). This SF-425 must be on file with the COPS Office so that you can successfully 

complete a drawdown of funds through GPRS.

Awardees who do not submit SF-425s by the due date will be unable to draw down funds. The payment 

system contains a function which checks for SF-425 delinquency and will reject a drawdown attempt if the 

SF-425 is not up to date. Subsequent e-mail, fax, or hard copy reminders may be sent to the awardee if the 

SF-425 is delinquent.

For general information concerning online filing of SF-425 reports, go to www.cops.usdoj.gov/Default.

asp?Item=740 or contact the COPS Office Response Center by phone at 800-421-6770 or by e-mail at 

AskCOPSRC@usdoj.gov.

If you need assistance in completing the SF-425, please contact the COPS Office Response Center at 800-

421-6770 or by e-mail at AskCOPSRC@usdoj.gov, or review the “Helpful Hints Guide for Completing the 

Federal Financial Report (SF-425)” at www.cops.usdoj.gov/pdf/SF-425_Helpful_Hints_Guide_5.9.13.pdf.

How will award funds be monitored?

The COPS Office and designated representatives from the Office of the Chief Financial Officer, Office of 

Justice Programs monitor the financial aspects of your agency’s award through financial reports, on-site 

visits, office based award reviews, meetings, telephone contacts, reports, audits, reviews of award change 

requests, and special request submissions.

Program Progress Reports

Program progress reports and a final closeout report will be required as requested by the COPS Office during 

the life of the award. The COPS Office will notify the agency when the progress report is due and provide 

instructions for submission. The report must be submitted online by the awardee agency’s representative.

What kind of information will these reports require?

These reports will request information about the status of your award in terms of purchasing equipment, 

hiring personnel, delivering services and progress in meeting milestones identified in the cooperative 

agreement, as well as general information about your agency.

Do we need to request a progress report?

No. The COPS Office will contact your agency when progress reports are being requested. A notification 

for submitting your Program Progress Report to the COPS Office will be sent in January/April/July/October, 

covering activities for the preceding calendar quarter. Notification for submitting your final Program Progress 

Report will be sent to your agency in the month following your grant end date. 
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How do we file progress reports? 

All awardees will be required to submit their COPS Office progress reports through the COPS Office Account 

Access site at www.cops.usdoj.gov. 

If your agency has any questions regarding the submission of these required reports, please call the COPS 

Office Progress Report Team at 800-659-7379.

Will the data that we submit be publicly available? 

Reports submitted to the COPS Office may be reported publicly in response to a Freedom of Information Act 

request. 

How can we complete a COPS Office progress report online? 

Please access the COPS Office website at www.cops.usdoj.gov and click on “Account Access” at the top righthand side of the page. Once you are logged in, select “Applications” from the agency portal menu, click on 

the “Progress Report” icon, and follow the instructions to complete your report.

If you do not have login access, you should contact your agency portal administrator to set up an account 

for you. 

If you have a registered account but do not remember your password, you may reset your password by 

going to the agency portal homepage. In “Account Access,” enter your e-mail address and click on the 

“Forgot Password” link. For additional assistance, you may contact the COPS Office Response Center by 

phone at 800-421-6770 or send an e-mail to AskCOPSRC@usdoj.gov.

How do we obtain access to complete the COPS Office progress report? 

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 AM and 5:00 PM Eastern time) or e-mail the 

Response Center at AskCOPSRC@usdoj.gov. 

What if we make a mistake or need to modify our progress report after it is submitted? 

Awardees 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 or the Response Center at 800-659-7379. 

Contact points to obtain technical assistance and report violations 

Any alleged violations, serious irregularities, or acts that may result in the use of public funds in a manner 

inconsistent with the Public Safety Partnership and Community Policing Act of 1994 or the purposes of 

this grant may be reported to the U.S. Department of Justice. Furthermore, the COPS Office welcomes 

the opportunity to provide assistance regarding the implementation of grant provisions to help ensure 

that federal grant funds are spent responsibly. As such, the following contacts are provided to address 

noncompliance and technical assistance issues:

•	 If you suspect violations of a criminal nature, please contact the U.S. Department of Justice, Office of 

the Inspector General (OIG) at OIG.hotline@usdoj.gov, www.justice.gov/oig/FOIA/hotline.htm, or 800-

869-4499.

•	 If you suspect grant violations (not criminal in nature) related to the grant conditions listed in this 

manual, please contact the COPS Office Grant Monitoring Division at 202-514-9202.

•	 If you have any questions or need assistance regarding your award, please contact your COPS Office 

Program Manager at 800-421-6770.
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VIII. When the Award Period Has Ended

At the end of your agency’s Community Policing Development 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 programmatic and financial requirements of the award.

After the end of the award period, your agency will be asked to submit a final Federal Financial Report and 

any applicable final program reports.

Final Federal Financial Report (SF-425)

The final FFR (SF-425) for your grant is due to the COPS Office no later than 90 days after the end of the grant 

period. The final report should reflect the total amount of allowable federal expenditures that were incurred 

during the life of the grant, as well as the amount of unobligated funds remaining, if any. In addition, once 

you have completed your final drawdown, this report should reconcile with the total amount of funds 

drawn down by your agency.

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 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 C.F.R. § 200.343(a) requires grantees to submit final SF-425s and 2 C.F.R. § 200.343(b) 

requires grantees to draw down the final reimbursement for expended funds within 90 days after the expiration 

of the grant. In addition, be advised that failure to complete the 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.

Equipment disposition

Each awardee must use any equipment funded through a COPS Office award for approved award-related 

purposes and must retain the equipment for the life of the award. After the conclusion of the award 

period, property records must be maintained by the awardee. The records should include a description of 

the property; a serial number or other identification number; the source of the property; the name of the 

person or entity that holds the title; the acquisition date and cost of the property; the percentage of federal 

participation in the cost of the property; the location, use, and condition of the property; and any ultimate 

disposition data, including the date of disposal and sale price of the property. A control system must be 

developed to ensure adequate safeguards to prevent loss, damage, or theft of the property.
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When the award has expired and original or replacement equipment obtained under the award is no longer 

needed for the original project or for other activities currently or previously supported by a federal agency, 

disposition of the equipment shall be made as follows:

Items of equipment with a current per-unit fair market value of $5,000 or less may be retained, sold, or 

otherwise disposed of with no further obligation to the awarding agency.

Items of equipment with a current per-unit fair market value in excess of $5,000 may be retained or sold 

and the awarding agency is entitled to an amount calculated by multiplying the current market value or 

proceeds from sale by the awarding agency’s federal share in the cost of the original purchase.

For more information, please see 2 C.F.R. § 200.313.
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IX. 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 COPS Office CPD Program and the materials we have 

developed for its administration. If you have specific comments regarding this manual or have any questions 

about your award, please call your COPS Office Program Manager 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. 3796dd et seq.

B. Secondary Sources

Code of Federal Regulations (C.F.R.)/Office of Management and Budget (OMB):

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

2 C.F.R. Part 200.305(b)(9), “Payment-Remittance of Interest Earned”

4 C.F.R. Parts 101-105, U.S. Department of Justice/Government Accountability Office, “Joint Federal Claims 

Collections Standards”

5 C.F.R. Part 1320, “Controlling the Paperwork Burden on the Public”

5 C.F.R. Part 151, “Political Activities of State and Local Officials or Employees”

28 C.F.R. Part 23, “Criminal Intelligence Systems Operating Policies”

28 C.F.R. Part 61, “Procedures for Implementing the National Environmental Policy Act”

28 C.F.R. Part 67, “Government-wide Requirements for Drug-Free Workplaces (Grants)”

28 C.F.R. Part 69, “Government-wide New Restrictions on Lobbying”

31 C.F.R. Part 205, “Treasury Department Regulations Implementing for Cash Management Improvement Act 

of 1990”

OMB Circular A-33, “Audits of Educational Institutions”

OMB Circular A-129, “Managing Federal Credit Programs”

48 C.F.R. Part 31.000, et seq. (FAR-31.2), “Cost Principles for Commercial Organizations”

Executive Orders:

Executive Order 12291, “Regulations”

Executive Order 12372, 28 C.F.R. Part 30 “Intergovernmental Review of Federal Programs”

Executive Order 12547, “Non-Procurement Debarments and Suspension”
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Appendix B. Assurances and Certifications 

Assurances

Several provisions of federal law and policy apply to all grant programs. The Office of Community Oriented 

Policing Services 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 grant funds. In particular, the applicant assures 

us that:

1. It has been legally and officially authorized by the appropriate governing body (for example, mayor or 

city council) to apply for this grant and that the persons signing the application and these assurances 

on 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 grantee 

employees whose principal employment is in connection with an activity financed in whole or in part 

with this grant. These restrictions are set forth in 5 U.S.C. § 1501, et seq.

3. It will comply with the minimum wage and maximum hours provisions of the Federal Fair Labor 

Standards Act, 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.

5. 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 grant.

6. It will comply with all requirements imposed by the U.S. Department of Justice as a condition or 

administrative requirement of the grant, 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. § 38.1; the applicable COPS Office Application Guide; the 

applicable COPS Office Grant Owner’s Manuals; and with all other applicable program requirements, 

laws, orders, or regulations.

7. 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.

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 
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to discrimination in connection with any programs or activities funded in whole or in part with federal 

funds. These civil rights requirements are found in the non-discrimination provisions of Title VI of the 

Civil Rights Act of 1964, as amended (42 U.S.C. § 2000d); the Omnibus Crime Control and Safe Streets 

Act of 1968, as amended (42 U.S.C. § 3789d); Section 504 of the Rehabilitation Act of 1973, as amended 

(29 U.S.C. § 794); the Age Discrimination Act of 1975 (42 U.S.C. § 6101, et seq.); Title IX of the Education 

Amendments of 1972, as amended (20 U.S.C. § 1681, et seq.); and the corresponding DOJ regulations 

implementing those statutes at 28 C.F.R. Part 42 (subparts C, D, E, G, and I). It will also comply with 

Executive Order 13279 Equal Treatment for Faith-Based Organizations and its implementing regulations 

at 28 C.F.R. Part 38, which requires equal treatment of religious organizations in the funding process and 

nondiscrimination of beneficiaries by Faith-Based Organizations on the basis of belief or non- belief.

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. If your organization has received an award for $500,000 or more and has 50 or more employees, 

then it has to prepare an Equal Employment Opportunity Plan (EEOP) and submit it to the 

Office for Civil Rights (“OCR”), Office of Justice Programs, 810 7th Street, N.W., Washington, DC 

20531, for review within 60 days of the notification of the award. If your organization received 

an award between $25,000 and $500,000 and has 50 or more employees, your organization still 

has to prepare an EEOP, but it does not have to submit the EEOP to OCR for review. Instead, your 

organization has to maintain the EEOP 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 

OCR. If your organization received an award for less than $25,000; or if your organization has less 

than 50 employees, regardless of the amount of the award; or if your organization is a medical 

institution, educational institution, nonprofit organization or Indian tribe, then your organization is 

exempt from the EEOP requirement. However, your organization must complete Section A of the 

Certification Form and return it to OCR.

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’ (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.
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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, rented or personally owned vehicles.

15. 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 

and/or the increased officer redeployment level, as applicable, with state or local funds for a minimum 

of 12 months following expiration of the grant period.

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.

19. None of the funds made available under this award may be distributed to the Association of 

Community Organizations for Reform Now (ACORN) or its subsidiaries.

False statements or claims made in connection with COPS Office grants (including cooperative agreements) 

may result in fines, imprisonment, disbarment 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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Certifications Regarding Lobbying; Debarment, Suspension and Other Responsibility Matters; 

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 read the regulations cited below and the instructions for certification included in the regulations to 

understand the requirements and whether they apply to a particular applicant. Signing this form complies 

with certification requirements under 28 C.F.R. Part 69, “New Restrictions on Lobbying,” 2 C.F.R. Part 2867, 

“Nonprocurement Debarment and Suspension,” the applicable appropriations Acts, 28 C.F.R. Part 83, 

“Government-Wide Requirements for Drug-Free Workplace (Grants),” and the coordination requirements 

of the Public Safety Partnership and Community Policing Act of 1994. The certifications shall be treated as 

a material representation of fact upon which reliance will be placed when the 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 that:

A. No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, 

to any person for influencing or attempting to influence an officer or employee of any agency, 

a member of Congress, an officer or employee of Congress, or an employee of a member of 

Congress in connection with the making of any federal grant; the entering into of any cooperative 

agreement; and the extension, continuation, renewal, amendment or modification of any federal 

grant or cooperative agreement;

B. If any funds other than federal appropriated funds have been paid or will be paid to any person 

for influencing or attempting to influence an officer or employee of any agency, a member 

of Congress, an officer or employee of Congress, or an employee of a member of Congress in 

connection with this federal grant or cooperative agreement, the undersigned shall complete and 

submit Standard Form - LLL, “Disclosure of Lobbying Activities,” in accordance with its instructions; 

C. 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; and

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.

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;
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B. Have not within a three-year period preceding this application been convicted of a felony criminal 

violation under any Federal law, or been convicted or had a civil judgment rendered against them 

for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or 

performing a public (federal, state or local) or private agreement or transaction; violation of federal 

or state antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or 

destruction of records, making false statements, tax evasion or receiving stolen property, making 

false claims, or obstruction of justice, or commission of any offense indicating a lack of business 

integrity or business honesty that seriously and directly affects your present responsibility;

C. Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity 

(federal, state or local) with commission of any of the offenses enumerated in paragraph (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.

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.

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.
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5. Drug-Free Workplace (Grantees Other Than Individuals)

As required by the Drug-Free Workplace Act of 1988, and implemented at 28 C.F.R. Part 83, for 

grantees/recipients, as defined at 28 C.F.R. § 83.660 -

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

i. Publishing a statement notifying employees that the unlawful manufacture, distribution, 

dispensing, possession or use of a controlled substance is prohibited in the grantee’s 

workplace and specifying the actions that will be taken against employees for violation of such 

prohibition;

ii. Establishing an on-going drug-free awareness program to inform employees about -

a. The dangers of drug abuse in the workplace;

b. The grantee’s policy of maintaining a drug-free workplace;

c. Any available drug counseling, rehabilitation and employee assistance programs; and

d. The penalties that may be imposed upon employees for drug-abuse violations occurring 

in the workplace; 

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;

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).
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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

The Public Safety Partnership and Community Policing Act of 1994 requires applicants to certify that 

there has been appropriate coordination with all agencies that may be affected by the applicant’s grant 

proposal if approved. Affected agencies may include, among others, the Office of the United States 

Attorney, state or local prosecutors, or correctional agencies. The applicant certifies that there has been 

appropriate coordination with all affected agencies.

Where the applicant is unable to certify to any of the statements in this Certifications form, he or she shall attach 

an explanation to this application regarding the particular statement that cannot be certified. Please check 

here  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 (including cooperative agreements) 

may result in fines, imprisonment, disbarment 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)

Appendix C. Community policing defined

Community policing is a philosophy that promotes organizational strategies that support the systematic use 

of partnerships and problem-solving techniques, to proactively address the immediate conditions that give 

rise to public safety issues such as crime, social disorder, and fear of crime. 

Community policing is composed of three key components:

1. Community partnerships

2. Organizational transformation

3. Problem solving

Community partnerships 

Community partnerships are collaborative partnerships between law enforcement agencies and the 

individuals and organizations they serve to develop solutions to problems and increase trust in police.
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Community policing, recognizing that police rarely can solve public safety problems alone, encourages 

interactive partnerships with relevant stakeholders. The range of potential partners is large, and these 

partnerships can be used to accomplish the two interrelated goals of developing solutions to problems 

through collaborative problem solving and improving public trust. The public should play a role in 

prioritizing and addressing public safety problems.

Other government agencies

Law enforcement organizations can partner with a number of other government agencies to identify 

community concerns and offer alternative solutions. Examples of agencies include legislative bodies, 

prosecutors, probation and parole departments, public works departments, neighboring law enforcement 

agencies, health and human services departments, child support services, ordinance enforcement, and schools.

Community members or groups

Individuals who live, work, or otherwise have an interest in the community—volunteers, activists, formal 

and informal community leaders, residents, visitors and tourists, and commuters—are a valuable resource 

for identifying community concerns. These factions of the community can be engaged in achieving specific 

goals at town hall meetings, neighborhood association meetings, decentralized offices or storefronts in the 

community, and team beat assignments.

Nonprofits or service providers

Advocacy and community-based organizations that provide services to the community and advocate on its 

behalf can be powerful partners. These groups often work with or are composed of individuals who share 

common interests and can include such entities as victims groups, service clubs, support groups, issue 

groups, advocacy groups, community development corporations, and the faith community.

Private businesses

For-profit businesses also have a great stake in the health of the community and can be key partners 

because they often bring considerable resources to bear in addressing problems of mutual concern. 

Businesses can help identify problems and provide resources for responses, often including their own 

security technology and community outreach. The local chamber of commerce and visitor centers can 

also assist in disseminating information about police and business partnerships and initiatives, and crime 

prevention practices.

Media

The media represent a powerful mechanism by which to communicate with the community. They can 

assist with publicizing community concerns and available solutions, such as services from government 

or community agencies or new laws or codes that will be enforced. In addition, the media can have a 

significant impact on public perceptions of the police, crime problems, and fear of crime.

Organizational transformation 

Organizational transformation is the alignment of organizational management, structure, personnel, and 

information systems to support community partnerships and proactive problem-solving efforts.

The community policing philosophy focuses on the way that departments are organized and managed 

and how the infrastructure can be changed to support the philosophical shift behind community policing. 

It encourages the application of modern management practices to increase efficiency and effectiveness. 

Community policing emphasizes changes in organizational structures to institutionalize its adoption and 

infuse it throughout the entire department, including the way it is managed and organized, its personnel, 

and its technology.
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Agency management

Under the community policing model, police management infuses community policing ideals throughout 

the agency by making a number of critical changes in climate and culture, leadership, formal labor 

relations, decentralized decision-making and accountability, strategic planning, policing and procedures, 

organizational evaluations, and increased transparency.

Climate and culture Changing the climate and culture means supporting a proactive orientation that values 

systematic problem solving and partnerships. Formal organizational changes should support the informal 

networks and communication that take place within agencies to support this orientation.

Leadership Leaders serve as role models for taking risks and building collaborative relationships to 

implement community policing and they use their position to influence and educate others about it. 

Leaders, therefore, must constantly emphasize and reinforce community policing’s vision, values, and 

mission within their organization and support and articulate a commitment to community policing as the 

predominant way of doing business.

Labor relations If community policing is going to be effective, police unions and similar forms of organized 

labor must be a part of the process and function as partners in the adoption of the community policing 

philosophy. Including labor groups in agency changes can ensure support for the changes that are 

imperative to community policing implementation.

Decision making Community policing calls for decentralization both in command structure and decisionmaking. Decentralized decision making allows front-line officers to take responsibility for their role in 

community policing. When an officer is able to create solutions to problems and take risks, he or she 

ultimately feels accountable for those solutions and assumes a greater responsibility for the well-being of 

the community. Decentralized decision making involves flattening the hierarchy of the agency, increasing 

tolerance for risk taking in problem-solving efforts, and allowing officers discretion in handling calls. In 

addition, providing sufficient authority to coordinate various resources to attack a problem and allowing 

officers the autonomy to establish relationships with the community will help define problems and develop 

possible solutions.

Strategic planning The department should have a written statement reflecting a department-wide 

commitment to community policing and a plan that matches operational needs to available resources and 

expertise. If a strategic plan is to have value, the members of the organization should be well-versed in it 

and be able to give examples of their efforts that support the plan. Components such as the organization’s 

mission and values statement should be simple and communicated widely. 

Policies Community policing affects the nature and development of department policies and procedures to 

ensure that community policing principles and practices have an effect on activities on the street. Problem 

solving and partnerships, therefore, should become institutionalized in policies, along with corresponding 

sets of procedures, where appropriate.

Organizational evaluations In addition to the typical measures of police performance (arrests, response 

times, tickets issued, and crime rates) community policing calls for a broadening of police outcome 

measures to include such things as greater community satisfaction, less fear of crime, the alleviation of 

problems, and improvement in quality of life. Community policing calls for a more sophisticated approach to 

evaluation—one that looks at how feedback information is used, not only how outcomes are measured.
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Transparency Community policing involves decision-making processes that are more open than traditional 

policing. If the community is to be a full partner, the department needs mechanisms for readily sharing 

relevant information on crime and social disorder problems and police operations with the community.

Organizational Structure It is important that the organizational structure of the agency ensure that local 

patrol officers have decision-making authority and are accountable for their actions. This can be achieved 

through long-term assignments, the development of officers who are generalists, and using special units 

appropriately.

Geographic deployment of patrol officers and specialized components With community policing, there is a 

shift to the long-term assignment of officers to specific neighborhoods or areas. Geographic deployment of 

patrol officers and specialized components can help enhance customer service and facilitate more contact 

between police and citizens, thus establishing a strong relationship and mutual accountability. Patrol 

beat boundaries should be aligned to neighborhood boundaries to enhance officers’ understanding of 

communities within their patrol areas and to build trust within the community. Other community policing 

partners should become familiar with both the patrol officers and community policing officers assigned 

within each patrol beat to coordinate government and nongovernment community policing activities.

Despecialization To achieve community policing goals, the culture of policing should strive to have officers 

have to be able to handle multiple responsibilities and take a team approach to collaborative problem 

solving and partnering with the community. Community policing encourages its adoption agency-wide, not 

just by special units, although there may be a need for some specialist units that are tasked with identifying 

and solving particularly complex problems or managing complex partnerships.

Resources (time, finances, and people) Agencies have to devote the necessary human and financial 

resources and the investment of time to support community policing to ensure that problem-solving efforts 

are robust and that partnerships are sustained and effective.

Personnel

The principles of community policing need to be infused throughout the entire personnel system of an 

agency including recruitment, hiring, selection, and retention of all law enforcement agency staff, from 

sworn officers to civilians and volunteers. Personnel evaluations, supervision, and training must also be 

aligned with the agencies’ community policing values.

Recruitment, hiring, and selection Agencies need a systematic means of incorporating community 

policing elements into their recruitment, selection, and hiring processes. Job descriptions should recognize 

community policing and problem-solving responsibilities and encourage the recruitment of officers 

who have a spirit of service, instead of only a spirit of adventure. A community policing agency must also 

thoughtfully examine where it is seeking recruits, whom it is recruiting and hiring, and what is being tested. 

Agencies are also encouraged to seek community involvement in this process through the identification of 

competencies and participation in review boards.

Personnel supervision/evaluations Supervisors must tie performance evaluations to community policing 

principles and activities that are incorporated into job descriptions. Performance, reward, and promotional 

procedures should support sound problem-solving activities, proactive policing, community collaboration, 

and citizen satisfaction with police services.

Training Training at all levels—academy, field, and in-service—must support community policing principles 

and tactics. It also needs to encourage creative thinking, a proactive orientation, communication and 

analytical skills, and techniques for dealing with quality-of-life concerns and maintaining order. Officers can 
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be trained to identify and correct conditions that could lead to crime, raise public awareness, and engage 

the community in finding solutions to problems. Field training officers and supervisors need to learn how to 

encourage problem solving and help officers learn from other problem-solving initiatives. Until community 

policing is institutionalized in the organization, training in its fundamental principles will need to take place 

regularly.

Information technology systems 

Community policing is highly information-intensive, and technology plays a central role in helping to 

provide ready access to quality information. Accurate and timely information makes problem-solving 

efforts more effective and ensures that officers are informed about the crime and community conditions of 

their patrol beat. In addition, technological enhancements can greatly assist with accessing information to 

provide vital resources, with improving two-way communication with citizens, and for developing agency 

accountability systems and performance outcome measures.

Communication/access to data Technology provides agencies with an important forum by which to 

communicate externally with the public and internally within their organization. To communicate with the 

public, community policing encourages agencies to develop two-way communication systems through the 

Internet that allow for online reports; reverse 911; e-mail alerts; Internet social media discussion forums; and 

feedback on interactive applications (such as surveys and geographical information), thereby creating open, 

ongoing dialogues and increasing transparency.

Technology encourages effective internal communication through memoranda, reports, newsletters, 

e-mail and enhanced incident reporting, dispatch functions, and communications interoperability with 

other entities for more efficient operations. Community policing also encourages the use of technology to 

develop accountability and performance measurement systems that are timely and contain accurate metrics 

and a broad array of measures and information.

Community policing encourages the use of technology to provide officers with ready access to timely 

information on crime and community characteristics within their beats, either through laptop computers 

in their patrol cars or through personal data devices. In addition, technology can support crime/problem 

analysis functions by enabling agencies to gather more detailed information about offenders, victims, crime 

locations, and quality-of-life concerns, and to further enhance analysis.

SAFECOM guidance The U.S. Department of Homeland Security Office of Emergency Communications, in 

coordination with various stakeholder groups, develops the annual SAFECOM Guidance on Emergency 

Communications Grants. The guidance provides recommendations to grantees seeking funding for 

interoperable emergency communications projects, including allowable costs, items to consider when 

funding emergency communications projects, grants management best practices for emergency 

communications grants, and information on standards that ensure greater interoperability. The guidance 

is intended to ensure that federally funded investments are compatible and support national goals and 

objectives for improving interoperability nationwide. Grantees (including sub-grantees) that are using 

TRGP funds to support emergency communications activities should comply with the latest version of 

SAFECOM Guidance, including provisions on technical standards that ensure and enhance interoperable 

communications. The most recent version of SAFECOM guidance is available at www.safecomprogram.gov/

grant/Default.aspx.

Quality and accuracy of data Information is only as good as its source, and therefore it is not useful if it is of 

questionable quality and accuracy. Community policing encourages agencies to put safeguards in place to 

ensure that information from various sources is collected in a systematic fashion and entered into central 

systems that are linked to one another and checked for accuracy so that it can be used effectively for 

strategic planning, problem solving, and performance measurement.
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Problem solving

The process of engaging in the proactive and systematic examination of identified problems to develop and 

evaluate effective responses.

Community policing emphasizes proactive problem solving in a systematic and routine fashion. Rather than 

responding to crime only after it occurs, community policing encourages agencies to proactively develop 

solutions to the immediate underlying conditions contributing to public safety problems. Problem solving 

must be infused into all police operations and guide decision-making efforts. Agencies are encouraged to 

think innovatively about their responses and view making arrests as only one of a wide array of potential 

responses. A major conceptual vehicle for helping officers to think about problem solving in a structured 

and disciplined way is the SARA (scanning, analysis, response, and assessment) problem-solving model.

Scanning: Identifying and prioritizing problems

The objectives of scanning are to identify a basic problem, determine the nature of that problem, determine 

the scope of seriousness of the problem, and establish baseline measures. An inclusive list of stakeholders 

for the selected problem is typically identified in this phase. A problem can be thought of as two or more 

incidents similar in one or more ways and that is of concern to the police and the community. Problems can 

be a type of behavior, a place, a person or persons, a special event or time, or a combination of any of these. 

The police, with input from the community, should identify and prioritize concerns.

Analysis: Researching what is known about the problem

Analysis is the heart of the problem-solving process. The objectives of analysis are to develop an 

understanding of the dynamics of the problem, develop an understanding of the limits of current responses, 

establish correlation, and develop an understanding of cause and effect. As part of the analysis phase, it is 

important to find out as much as possible about each aspect of the crime triangle by asking who?, what?, 

when?, where?, how?, why?, and why not? about the victim, offender, and crime location.

Response: Developing solutions to bring about lasting reductions in the number and extent of 

problems

The response phase of the SARA model involves developing and implementing strategies to address an 

identified problem by searching for strategic responses that are both broad and uninhibited. The response 

should follow logically from the knowledge learned during the analysis and should be tailored to the specific 

problem. The goals of the response can range from totally eliminating the problem through substantially 

reducing the problem or reducing the amount of harm caused by the problem to improving the quality of 

community cohesion.

Assessment: Evaluating the success of the responses

Assessment attempts to determine if the response strategies were successful by understanding if the 

problem declined and if the response contributed to the decline. This information not only assists the 

current effort but also gathers data that build knowledge for the future. Strategies and programs can be 

assessed for process, outcomes, or both. If the responses implemented are not effective, the information 

gathered during analysis should be reviewed. New information may have to be collected before new 

solutions can be developed and tested. The entire process should be viewed as circular rather than linear, 

meaning that additional scanning, analysis, or responses may be required.

Using the crime triangle to focus on immediate conditions (victim/offender/ location)

To understand a problem, many problem solvers have found it useful to visualize links among the victim, 

offender, and location (the crime triangle) and those factors that could have an impact on them, for 

example, capable guardians for victims (e.g., security guards, teachers, and neighbors), handlers for offenders 

(e.g., parents, friends, and probation), and managers for locations (e.g., business merchants, park employees, 
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and motel clerks). Rather than focusing primarily on addressing the root causes of a problem, the police 

focus on the factors that are within their reach, such as limiting criminal opportunities and access to victims, 

increasing guardianship, and associating risk with unwanted behavior.

Appendix D. Sole source justification facts 

What is “sole source” procurement?

Sole source or procurement by noncompetitive proposals is procurement through solicitation of a proposal 

from only one source. Sole source procurements must adhere to the standards set forth in the Uniform 

Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, 2 C.F.R. § 200.318, 

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

When is sole source approval required by the COPS Office?

A grant recipient must request written approval from the COPS Office for sole source procurements in 

excess of $150,000 prior to purchasing equipment, technology, or services; obligating funding for a contract; 

or entering into a contract with grant funds. For the purchase of equipment, technology, or services under 

a COPS Office grant or award, recipients must use their own documented procurement procedures that 

reflect applicable state and local laws and regulations, as long as those requirements conform to the federal 

procurement requirements set forth in 2 C.F.R.

§ 200.320 as adopted by the U.S. Department of Justice in 2 C.F.R. § 2800.101. A sole source justification 

request should be submitted if a recipient determines that the award of a contract through a competitive 

process is infeasible. The COPS Office may authorize a noncompetitive proposal if one or more of the 

following circumstances apply:

•	 The item/service is available only from one source.

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

competitive solicitation.

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

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

Requests for sole source procurements of equipment, technology, or services in excess of $150,000 must 

be submitted to the COPS Office in writing certifying that the award of the contract through full and open 

competition is infeasible.

The outline below may be helpful in preparing your agency’s sole source request and ensuring that all of the 

necessary information is included. 

Letterhead. The sole source request must be signed and submitted on grantee department letterhead and 

must include the agency’s ORI number and the grant number for which the approval is being sought. The 

request should also include the following information:

Section I. 

A brief description of the project, the amount to be designated for the sole source 

procurement, and the purpose of the contract 
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Section II. 

(a) An explanation as to why it is necessary to contract in a noncompetitive manner 

and (b) Which one (or more) of the three circumstances identified below applies to the 

procurement transaction (include supporting information as identified below under the 

applicable section(s)):

a. If the item or service is available only from one source, please include the following:

•	 Uniqueness of items or services to be procured from the proposed contractor or 

vendor (compatibility, patent issues, etc.

•	 How the agency determined that the item or service is only available from one 

source (e.g., market survey results, independent agency research, patented or 

proprietary system, etc.

•	 Explanation of need for contractor’s expertise linked to the current project (e.g., 

knowledge of project management, responsiveness, experience of contractor 

personnel, prior work on earlier phases of project)

•	 Any additional information that would support the case

b. If the public exigency or emergency for the requirement will not permit a delay resulting 

from competitive solicitation, please include the following:

•	 When the contractual coverage is required by your department and why

•	 Impact on project if deadline/dates are not met

•	 How long it would take an alternate contractor to reach the same required level of 

competence (equate to dollar amounts, if desired)

•	 Any additional information that would support the case

c. If competition is determined inadequate after solicitation of a number of sources, please 

include the following:

•	 Results of a market survey to determine competition availability; if no survey is 

conducted, please explain why not

•	 Any additional information that would support the case

Section III. A declaration that this action/choice is in the best interest of the agency.

Failure to provide all of the necessary information will delay the processing of your request. Your agency 

will be contacted if any of the identified information is missing or if additional supporting information is 

required. If the COPS Office determines that the request does not meet the standards set forth above, the 

request will be denied.

Please be advised that conflicts of interest are prohibited under the procurement standards set forth in 2 

C.F.R. § 200.318 as adopted by the U.S. Department of Justice in 2 C.F.R. § 2800.101. In addition, the grant 

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

from participation in federal assistance programs.

If you have any questions regarding the federal requirements that guide procurement procedures, please 

contact your Grant Program Specialist or program point of contact at 800-421-6770. 
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Contact the COPS Office

If you have any questions regarding the federal requirements that guide procurement procedures, please 

contact your COPS Office Program Manager.

For more information about COPS Office programs and resources, please call the COPS Of﻿﻿fice Resp

Center at 800-421-6770 or visit the COPS Office online at www.COPS.usdoj.gov.

Appendix E. Conference reporting requirements

The sample submission forms on the following pages show the required reporting categories for conference 

expenses.
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Appendix F. Consultant/contractor rate information sheet

Awardee guidelines on consultant rate approval requests

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

and allocable in accordance with 2 C.F.R. Part 225 (OMB Circular A-87) (Cost Principles for State, Local, and 

Indian Tribal Governments), 2 C.F.R. Part 220 (OMB Circular A-21) (Cost Principles for Educational Institutions), 

2 C.F.R. Part 230 (OMB Circular A-122) (Cost Principles for Non-Profit Organizations), and 48 C.F.R. Part 31.000, 

et seq. (FAR 31.2) (Cost Principles for Commercial Organizations), as applicable, and consistent with that paid 

for similar services in the marketplace.

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

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

receive fringe benefits from their primary employer, such fringe benefit costs should not be included in 

the calculation of consultant rates. For consultant or contractor rates which exceed $550 per day, the COPS 

Office requires written justification if the consultants or contractors are hired through a noncompetitive 

bidding process. The awardee agency must provide justification for any such rate in excess of $550 per day 

and receive COPS Office approval of that rate before drawing down grant funds. Any jurisdiction that does 

not provide sufficient written justification will be limited to $550 per day for each consultant or contractor. 

Please note that this does not mean that the rate can or should be $550 for all consultants. 

Note: Consultant and contractor daily rates do not include travel or subsistence, but may include 

preparation, evaluation, and travel time.

Guidance for requesting a consultant rate based on employment

Consultants associated with educational institutions (including state-run educational institutions). If 

representing the academic institution, the maximum rate of compensation that will be allowed is the 

consultant’s academic salary projected for 12 months, divided by 260. These individuals normally receive 

fringe benefits that include sick leave for a full 12-month period, even though they may only work nine 

months per year in their academic positions. This does not apply to individuals providing consultant 

work outside of their academic commitments. In such cases, the rate of compensation will be based on 

reasonable cost principles and requires documentation supporting the requested rate.

Consultants employed by state and local government. Compensation for these consultants will be 

allowed only when the unit of government will not provide these services without cost. If a state or local 

government employee is providing services under a federal grant and is representing his or her agency 

without pay from its respective unit of government, the rate of compensation is not to exceed the daily 

salary rate for the employee paid by the unit of government. If the state or local government employee is 

providing services under a federal grant and is not representing his or her agency, the rate of compensation 

is based on the necessary and reasonable cost principles. Please note that under the nonsupplanting 

requirement of the COPS Office statute, COPS Office award funds may not be used to supplant (replace) 

local funding which otherwise would have been spent on consultants employed by state or local 

government. The statute bars federal funding of existing consultants and also of newly hired consultants 

that a community is committed to fund in the absence of a COPS Office award.
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Consultants employed by commercial and not-for-profit organizations. These organizations are normally 

subject to competitive bidding procedures. Thus, if they have been selected through competitive bidding, 

they are not subject to the $550 per day maximum compensation threshold. In those cases where an 

individual has authority to consult without employer involvement, the rate of compensation should not 

exceed the individual’s daily salary rate paid by his or her employer, subject to the $550 limitation.

To request approval of a consultant rate in excess of $550 per day, please submit the signed request on 

awardee department letterhead and include the agency ORI and the award number for which the approval 

is being sought.

Please include the following:

•	 Description of the services to be provided by the consultant(s) or contractor(s), including

•	 the number of days and hours to be worked by each consultant/contractor;

•	 the daily rate of each consultant/contractor that exceeds $550/day (indicate fringe benefits, if 

applicable);

•	 a resume or curriculum vitae (CV) for each consultant or contracted individual whose rate 

exceeds $550 per day. 

•	 Documented prior instances when a similar rate has been charged by or paid to the consultant/

contractor

•	 If the consultant is not self-employed and has a primary employer, documentation showing that 

the requested daily rate is proportionate to the consultant’s regular salary (e.g., pay stubs, letter from 

employer).

•	 Optional: You may submit other important information about the consultant(s) or contractor(s) at 

this time, such as letters of reference; lists of any relevant publications, papers, or honors; advanced 

experience as a practitioner or academic in the subject area; advanced training relating to the focus of 

your project; and/or any unique circumstances which you feel should be considered as the COPS Office 

reviews your proposed consultant/contractor rates.

To request approval of a consultant/contractor rate in excess of $550 per day, please return this information 

to your Grant Program Specialist or project manager as soon as possible to expedite the consultant/

contractor rate review process. 

Appendix G. 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) in-formation 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. 
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(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 U.S. 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 ex-ecutive 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 sub-section (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 con-cerned, and the head of the agency. 

(2). Inspector General action.—

(A). Determination or submission of report on findings.—Except as provided under subparagraph 

(B), the In-spector 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 com-plaint. 
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(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 com-plainant 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 

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, 
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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 exec-utive agency. Review shall conform to chapter 7 of title 

5. Filing such an appeal shall not act to stay the en-forcement 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 

dis-crimination 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. 

(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 of the enactment of this section.
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Appendix H. 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 

nonfederal 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, U.S. 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 nonfederal entities must include 

a provision for compliance with the Davis-Bacon Act (40 U.S.C. 3141–3144, and 3146–3148) as 

supplemented by U.S. 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 nonfederal entity must place 

a copy of the current prevailing wage determination issued by the U.S. 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 nonfederal 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 U.S. 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 nonfederal 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 nonfederal 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 

U.S. 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 half times the basic rate of pay for all hours worked in 
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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 nonfederal 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. Mandatory standards and policies relating to energy efficiency which are contained in the state energy 

conservation plan issued in compliance with the Energy Policy and Conservation Act (42 U.S.C. 6201). 

I. 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 Excluded Parties List System 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.” The Excluded Parties List System in SAM 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.

J. Byrd Anti-Lobbying Amendment (31 U.S.C. 1352). Contractors that apply or bid for an award of $150,000 

or more must file the required certification. Each tier certifies to the tier above that it will not use 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 

nonfederal funds that takes place in connection with obtaining any federal award. Such disclosures are 

forwarded from tier to tier up to the nonfederal award.

K. See § 200.322 Procurement of recovered materials.
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Glossary of Terms

allowable costs. Allowable costs are expenses that may be funded by this grant program. The COPS Office 

CPD award must be limited to funding for equipment, services, personnel, and other costs purchased or 

hired on or after the award start date. Upon review of your submitted budget, any unallowable costs were 

removed. The Financial Clearance Memorandum (FCM) that was included in your award package specifies 

your allowable costs, contains the final budget category amounts for which your agency was approved, and 

notes any relevant revisions that were made to your original budget submission.

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: (a) compliance with laws and regulations; (b) 

economy and efficiency of operations; (c) effectiveness in achieving program results; and (d) allowability of 

costs claimed against the award.

authorized officials. The authorized officials are the individuals in your organization who have final authority 

and responsibility for all programmatic and financial decisions regarding this grant 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. For non-law 

enforcement agencies (institutions of higher education, private organizations, etc.), the authorized officials 

are the programmatic and financial officials who have the ultimate signatory authority to sign contracts 

on behalf of your organization. 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 submit the correct 

information to the COPS Office by completing an official Change of Information form available online at 

www.cops.usdoj.gov.

award start date. This is the date on or after which your agency is authorized to purchase or hire any 

allowable equipment, services, personnel, or other costs that were approved by the COPS Office. The award 

start date is found on your grant award document. Awardees may not expend funds prior to this date 

without written approval from the COPS Office.

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.

Catalog of Federal Domestic Assistance (CFDA). The CFDA is an annual government-wide publication that 

contains a description and index of all forms of federal assistance. Each program is assigned a CFDA number, 

which is used by auditors to track 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 CPD Program award is 16.710.

closeout. This is the process in which the awarding agency, the COPS Office, determines that all applicable 

administrative actions and all required work and conditions of the award have been completed and met by 

the recipient and awarding agency.

cognizant federal agency. Your cognizant federal agency is generally the federal agency that provides your 

agency with the most federal money. The Office of Management and Budget (OMB) may have already 

assigned your cognizant federal agency to you. If this is the first federal award that your organization has 

received, the U.S. Department of Justice (DOJ) is your cognizant federal agency. 
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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.

Computer Aided Dispatch (CAD) system. A computer database that can track calls for service, maintain 

status of units available, provide various reports, produce address histories, and support electronic mail. With 

the installation of integrated CAD systems, officers are able to receive calls for service on their mobile data 

computers rather than over the radio. Radios can then be used only for serious emergencies. 

consortium. A consortium is a group of two or more governmental entities that agree to form a partnership 

to provide law enforcement services to their constituent communities. 

COPS Office finance staff. The COPS Office finance staff handles your agency’s financial and budgetary 

needs related to this award. A staff accountant has been assigned to your state, and is available to answer 

any questions that you may have concerning the financial aspects of your grant. To identify your staff 

accountant, please call the COPS Office Response Center at 800-421-6770, or visit the COPS Office website at 

www.cops.usdoj.gov.

COPS Office. The Office of Community Oriented Policing Services (COPS Office) is the division within the U.S. 

Department of Justice that is the grantor agency for your award. The COPS Office is responsible for assisting 

your agency with the administration and maintenance of your award for the entire award period. You can 

reach the COPS Office at 800-421-6770.

COPS Office Program Manager. COPS Office Program Managers are trained to assist you with implementing 

and maintaining your Community Policing Development award. A Program Manager is assigned to 

your project and is available to answer any questions that you may have concerning the administrative, 

programmatic, and substantive aspects of your award. Your Program Manager can assist you with such 

matters as requesting an extension on your award or modifying the award, and reviewing outlines for 

project deliverables. The name and phone number of your COPS Office Program Manager is provided on the 

award congratulatory letter and available by contacting the COPS Office Response Center at 800-421-6770.

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 

grant recipient information throughout the grant cycle and to provide consistent name and address data for 

electronic grant application systems. To obtain a DUNS number, visit the Dun & Bradstreet website at www.

dnb.com or call 866-705-5711.

Employer Identification Number (EIN) / OJP vendor number. This number is usually your agency’s nine-digit 

federal tax identification number as assigned to you by the Internal Revenue Service (IRS). Your accounting/

bookkeeping department should have this number. In some cases, the EIN has been previously assigned 

to another agency within your jurisdiction. In this instance, a new vendor number will be assigned to 

you by the Office of the Chief Financial Officer. The newly assigned number is to be used for COPS Office 

administrative purposes only and should not be used for IRS purposes.
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federally recognized tribe. Tribal entities that are recognized and eligible for funding and services from 

the BIA by virtue of their status as Indian tribes. They are acknowledged to have the immunities and 

privileges available to other federally recognized Indian tribes by virtue of their government-to-government 

relationship with the United States as well as the responsibilities, power, limitations, and obligations of 

such tribes. Only federally recognized tribes are eligible to apply for COPS Office tribal grant funds. For 

further information, contact BIA, Division of Tribal Government Services, MS-4631 – MIB, 1849 C Street NW, 

Washington, DC 20240, 202-208-2475. 

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/award number. The award number identifies your agency’s specific Community Policing Development 

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 format 2015-CKWX-0000 for awards made 

in FY 2015. The COPS Office tracks award information based upon this number.

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. 

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 awardee, award funds are obligated 

when monies are spent or orders are placed for purchasing approved technology or services under your 

Community Policing Development 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 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 (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;
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•	 encourage the development and implementation of innovative programs to permit members of the 

community to assist law enforcement agencies in the prevention of crime;

•	 encourage the development of new technologies to assist law enforcement agencies in reorienting the 

emphasis of their activities from reacting to crime to preventing crime.

System for Award Management (SAM). The SAM database is the repository for standard information about 

federal financial assistance applicants, recipients, and sub-recipients. Organizations that have previously 

submitted applications via Grants.gov are already registered with SAM, as it is a requirement for 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.

supplanting. For the purposes of your COPS Office Community Policing Development award, supplanting 

means replacing state, local, or Bureau of Indian Affairs (BIA) funds that otherwise would have been spent 

on award purposes with federal COPS Office funds. State, local, and tribal governments are prohibited from 

supplanting throughout the award period. This means that your agency may not use COPS Office funds to 

pay for any equipment/technology, services, personnel, or other items which, in the absence of the COPS 

Office program, would otherwise have been funded with state or local funds or with funds supplied by 

the BIA. The COPS Office funds must instead be used to supplement, or increase, your budget on award 

purposes. For additional information on supplanting, please review award condition #5 on page 8 in this 

manual.
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2015 Community Policing Development (CPD) 

Program Award Owner’s Manual

This manual was created to assist COPS Office Community Policing Development (CPD) Program awardees with the 

administrative and financial matters associated with the award.

For more information about your Community Policing Development award, please contact your COPS Office Program 

Manager. If you do not know the name or telephone number of your COPS Office Program Manager, 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 2015