2013 COPS Tribal Resources 

Grant Program (TRGP) 

Grant Owner’s Manual

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

Joshua Ederheimer, Acting Director

www.cops.usdoj.gov
2013 COPS Tribal Resources Grant Program

Grant Owner’s Manual

Coordinated Tribal Assistance Solicitation 

Purpose Area #1: Public Safety and Community Policing

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

financial matters associated with the grant.

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

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

Response Center at 800-421-6770.

U.S. Department of Justice

Office of Community Oriented Policing Services

145 N Street NE, 11th Floor

Washington, DC 20530

The COPS Office online: www.cops.usdoj.gov

September 2013
COPS Tribal Resources Grant Program (TRGP) Grant Owner’s Manual

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CONTENTS

GETTING STARTED.

I. GRANT ACCEPTANCE, TERMS, AND CONDITIONS.

The Award Document.

Grant Conditions.

Reasons for Grant Conditions.

Review of Grant Conditions.

1. Grant Owner’s Manual.

2. Assurances and Certifications.

3. Allowable Costs.

4. Supplementing, Not Supplanting.

5. Extensions. .

6. Modifications. .

7. Evaluations. .

8. Reports. .

9. Grant Monitoring Activities. .

10. Federal Civil Rights Laws. .

11. Equal Employment Opportunity Plan (EEOP). .

12. Community Policing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

13. Contracts with Other Jurisdictions  .

14. False Statements  .

15. Duplicative Funding. .

16. Additional High-Risk Grantee Requirements. .

17. System for Award Management and Universal Identifier Requirements. .

18. Reporting Sub-awards and Executive Compensation. .

19. Public Release Information. .

FOR TRGP-HIRING GRANTS ONLY  .

20. Retention  .

21. Employment Eligibility  .

FOR TRGP-EQUIPMENT/TRAINING GRANTS ONLY  .

22. Criminal Intelligence Systems  .

23. Sole Source Justification  .

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

Accepting the Grant Award. .

Who should sign the Award Document for our agency?. .

When must the Award Document be returned?. 

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

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

III. ACCESSING GRANT FUNDS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29

Payment Method. .

What method of payment is used?. .

Setting Up Your Account. .

How do we set up a GPRS account?. .

How do we fill out the payment enrollment forms?. .

When should Federal Financial Reports be filed?. .
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Additional Payment Questions ...................................................................... 30

Can we receive advances? ...................................................................... 30

How often do we request reimbursement of costs? ............................................. 30

Can we earn interest on our grant funds? ....................................................... 31

Matching Funds .................................................................................... 31

IV. FINANCIAL RECORD MAINTENANCE ................................................................ 32

Accounting Systems and Records ................................................................... 32

What accounting systems are required? ......................................................... 32

What records must be kept? .................................................................... 32

How long must documents be kept? ........................................................... 32

What if we have more than one grant? .......................................................... 32

Who may access our records? ................................................................... 32

V. FEDERAL AUDIT REQUIREMENTS .................................................................... 33

Requirements and Audits ........................................................................... 33

What are the regulations governing SAA requirements? ......................................... 33

Who must have an SAA audit? .................................................................. 33

What is the role of the Office of the Inspector General (OIG)? ................................... 34

How are COPS Office grants selected for an OIG audit? .......................................... 34

Typical Audit Findings .............................................................................. 34

VI. REPORTS ............................................................................................ 36

Federal Financial Reports ........................................................................... 36

How do we file Federal Financial Reports? ....................................................... 36

How will grant funds be monitored? ............................................................ 37

Program Progress Reports .......................................................................... 37

When will these reports be due? ............................................................... 37

What kind of information will these reports require? ............................................. 37

Do we need to request a progress report? ....................................................... 37

Contact Points to Obtain Technical Assistance and Report Violations ................................ 38

VII. WHEN THE GRANT PERIOD HAS ENDED ............................................................ 39

Final Federal Financial Report (SF-425) .............................................................. 39

When should all of the grant monies be spent? ................................................. 39

Final Program Progress (Closeout) Report ........................................................... 39

Equipment Disposition ............................................................................. 39

VIII. CONCLUSION ...................................................................................... 40

IX. GLOSSARY OF TERMS ............................................................................... 41

Appendix A – List of Source Documents ............................................................ 46

Appendix B – Assurances and Certifications. .

Appendix C – Community Policing Defined. .

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

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GETTING STARTED

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

Policing Services (COPS Office). The 2013 COPS Tribal Resources Grant Program (TRGP) provides funding 

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

designed to expand the implementation of community policing and meet the most serious needs of law 

enforcement in tribal communities through a broadened comprehensive program. 

In Fiscal Year 2013, the U.S. Department of Justice (DOJ) issued a single Coordinated Tribal Assistance 

Solicitation (CTAS) that encompasses the department’s available tribal government-specific grant programs. 

CTAS enabled each tribe to submit a single application for available grant funding, according to the tribes’ 

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

DOJ grant-making components to coordinate in making award decisions to address these public safety 

needs on a more comprehensive basis. 

The 2013 TRGP, which was also CTAS Purpose Area #1: Public Safety and Community Policing, consists of 

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

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

background investigations, training, uniforms, basic issue equipment, technology, and vehicles for tribal law 

enforcement agencies. 

To support community policing, particularly the development of partnerships and problem solving, 2013 

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

assistance providers. Trainings will assist grantees in the advancement of community policing and may 

address specific public safety issues facing tribal communities. The COPS Office and/or its technical 

assistance providers will notify TRGP grantees about training and technical assistance opportunities. 

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

public safety efforts.

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

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

grantees clearly understand and meet the requirements of their grant. Please review this manual carefully, as 

a failure to follow grant requirements may result in serious penalties. Please do not hesitate to call the COPS 

Office Response Center at 800-421-6770 if you need assistance with the implementation of your grant. 

Thank you for providing us with the opportunity to work in partnership with your community.
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I. GRANT ACCEPTANCE, TERMS, AND CONDITIONS

To officially accept and begin your TRGP grant, your agency must access www.cops.usdoj.gov and select 

the Account Access link in the upper right corner to log in, review, and electronically sign the Award 

Document (including Grant Terms and Conditions) and, if applicable, the Special Award Conditions and/or 

High Risk Conditions in the Award Document Supplement within 90 days of the date shown on the award 

congratulatory letter. 

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

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

The Award Document

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

grant conditions, and the award start and end dates.

The Award Document is pre-printed with your agency’s government executives’ name and address. If this 

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

www.cops.usdoj.gov through the Account Access link. If the government official has changed since the time 

of application, please have the current government executive for your agency create an account through 

the Account Access link, log in through the Account Access link, and sign the Award Document, once a COI 

form has been submitted. Once you have reviewed your Award Document, please electronically sign it, and 

make a copy of all pages of the document for your records, along with all award condition pages, within 90 

days of the date shown on the award congratulatory letter.

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

allowable costs incurred on or after this date. The duration of the TRGP award is three years (36 months).

Your grant number is in the following format: 2013-HE-WX-0000 for TRGP-E/T awards and 2013-HH-WX-0000 

for TRGP-Hiring grants awarded in FY2013. The COPS Office tracks grant information based upon this 

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

readily available when corresponding with the COPS Office.

Your ORI number begins with your state abbreviation followed by five numbers and/or letters (e.g., 

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

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

ORI number. If your agency does not have an ORI number assigned by the FBI, the COPS Office assigns a nonofficial ORI code to use as an agency identifier (in such cases, the last two digits will be “ZZ”). If you have any 

questions regarding your grant, please refer to your grant award number or your agency’s ORI number when 

you contact the COPS Office.

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

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

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

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

Service purposes.
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Grant Conditions

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

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

As part of that agreement, your agency acknowledges that it will comply with these conditions (and, if 

applicable, additional special conditions specific to your agency). The section that follows describes in detail 

each of the award conditions, the rationale, and the implications. It also addresses many frequently asked 

questions. If you have additional questions concerning any of these grant conditions, please contact your 

COPS GPS at 800-421-6770.

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

from drawing down or accessing grant funds until the special conditions are satisfied as determined 

by the COPS Office. Any special conditions will be included with your award, which may be accessed 

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

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

Reasons for Grant Conditions

The requirements of your grant are established within:

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

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

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

Treasury

•	 The specific TRGP programmatic requirements established by the COPS Office

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

reference document from:

Office of Administration, Publication Unit 

New Executive Office Building, Room G 236 

Washington, DC 20503

COPS-specific documents may be requested directly from the COPS Office.

Review of Grant Conditions

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

grant conditions:

1. Grant Owner’s Manual

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

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

requirements for grants and cooperative agreements); 2 C.F.R. Part 225 (OMB Circular A-87), 2 C.F.R. Part 220 (OMB 

Circular A-21), 2 C.F.R. Part 230 (OMB Circular A-122), and 48 C.F.R. Part 31.000 et seq. (FAR 31.2) as applicable 

(governing cost principles); OMB Circular A-133 (governing audits); other representations made in the grant 

application for the COPS TRGP; and all other applicable program requirements, laws, orders, regulations, or 

circulars.

Why This Condition:

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

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

for implementing your grant in compliance with the applicable terms, conditions, and regulations. More 

detailed guidance regarding any particular grant requirement or your agency’s specific circumstances can 

be requested through your COPS GPS.
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What You Should Do:

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

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

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

2. Assurances and Certifications

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

as part of its grant application.

Why This Condition:

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

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

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

What You Should Do:

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

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

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

required to keep Assurances and Certifications forms that were signed as part of its grant application. Please 

read these documents carefully as signatures on these documents are treated as a material representation 

of fact upon which reliance will be placed when the U.S. Department of Justice determines whether to 

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

Appendix B of this manual. If you have any questions about the Assurances and Certifications, please 

contact your COPS GPS at 800-421-6770.

3. Allowable Costs

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

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

limited to those listed on the Financial Clearance Memorandum (FCM), which are included in your agency’s award 

package. 

The FCM specifies the exact items that your agency is allowed and the overall amount approved for each budget 

request category. The document describes any costs which have been disallowed after review of your proposed 

budget. Your agency may not use TRGP grant funds for any costs that are not identified as allowable in the FCM.

Why This Condition:

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

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

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

initiatives in your agency. 

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

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

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

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

as shown in the FCM.

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

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

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

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

local funds. 
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TRGP-Hiring grant funding may also be used to pay the approved entry-level salaries and fringe benefits of 

newly hired officer recruits while they are in basic academy training prior to swearing them in, if it is your 

agency’s standard practice to pay recruits while in training.

What You Should Do:

All grantees should keep and maintain the most recent, approved version of 2013 TRGP application, which 

will contain the approved costs for this grant. Refer to your FCM for the list of approved allowable costs. 

As long as funds are spent during the grant period on the approved salaries/benefits (as applicable), 

equipment, technology, training, or other costs that were documented in your application’s budget 

summary and were approved through the issuance of the FCM , this grant condition will be satisfied. 

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

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

payments must be based on payroll records supported by time and attendance records or their equivalent. 

Examples of the types of records your agency must keep to document allowable costs are described in 

Section IV of this manual. Any additional costs above the approved entry-level salaries and fringe benefits 

are the responsibility of the grantee agency. Civilian positions, overtime, training, weapons, communication equipment, and 

vehicles cannot be funded with your TRGP-Hiring grant.

For TRGP-Hiring Grants

Allowable Costs: Approved Salary and Benefits 

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

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

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

submitted to the COPS Office. Your agency may only be reimbursed for the approved cost categories and 

amounts that are documented within the FCM. In addition, your agency may not use TRGP funds for any 

costs that are not identified as allowable in the FCM.

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

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

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

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

after an agency has drawn down for the costs of salaries and fringe benefits incurred during the 36-month 

funding period for each awarded position will be deobligated during the closeout process, and should not 

be spent by your agency.

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

A. Allowable Costs: Background Investigations 

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

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

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

such investigations can be reimbursed. Funded background investigations may not be initiated prior to the 

official award start date of the grant period.
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B. Allowable Costs: Training 

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

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

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

the Navajo Nation’s Academy. Basic law enforcement training is encouraged for existing police officers who have 

not received it, depending on the needs of your department and the availability of funding. Grant funding may only 

be used for one cycle of basic training per officer. The grantee agency will be responsible for any additional costs 

associated with an officer not completing basic training on the first attempt.

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

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

related to Indian Country jurisdictional issues. Only requests for training by recognized training providers 

such as the Federal Law Enforcement Training Center, the FBI, the BIA Indian Police Academy, a state police 

academy, COPS Regional Community Policing Institutes, or a tribal community college will be considered. 

In addition, funding may be used to attend training conferences such as the National Native American Law 

Enforcement Association’s annual training conference, or any COPS-sponsored conference. 

Funding for community policing or other law enforcement training will only cover travel, lodging, and 

per diem for each representative to and from the training site (if training is conducted more than 50 miles 

from your agency headquarters). State academy training costs include training instruction fees, academy 

tuition, course fees, textbooks, manuals, supplies, and travel in connection with the training (transportation, 

lodging, per diem, etc.) if the training is located more than 50 miles from the job site. If your state academy 

does not charge for the training, your department will be reimbursed only for travel in connection with 

the training. Departments that send officers to the BIA Indian Police Academy will be reimbursed for travel 

costs only, as there is no cost for tuition at the BIA Indian Police Academy for tribal officers.

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

but may not be utilizing to the fullest extent due to of a lack of training. Applicants must demonstrate that 

the training enhances law enforcement activities, particularly in support of community policing. TRGP-E/T 

funding may only be used for training costs not already funded in the applicant’s budget with state, local, or 

BIA funds. 

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

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

C. Allowable Costs: Uniforms and Basic Issue Equipment 

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

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

D. Allowable Costs: Technology 

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

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

Office, and they must meet the guidelines described in 28 C.F.R. Part 66 or 28 C.F.R. Part 70, as applicable. 

Equipment or technology purchased on or after the award start date must be in addition to purchases that 

the grantee is obligated or funded to make in its current budget. Funds currently allocated to purchase 

equipment or technology may not be reallocated to other purposes or reimbursed upon the award of your 

agency’s TRGP-E/T grant.
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E. Allowable Costs: Police Vehicles 

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

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

applied for and approved by the COPS Office. 

F. Allowable Costs: Travel

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

TRGP-E/T grant if specifically approved by the COPS Office. For grantees subject to 2 C.F.R. Part 220 (OMB 

Circular A-21) Cost Principles for Educational Institutions; 2 C.F.R. Part 225 (OMB Circular A-87) Cost Principles 

for State, Local and Indian Tribal Governments; or 2 C.F.R. Part 230 (OMB Circular A-122) Cost Principles for 

Non-Profit Organizations, travel costs incurred directly by the grantee or costs incurred for project-related 

non-grantee travel will be reimbursed based upon the grantee’s written institutional travel policy (if 

available) and if the costs are reasonable and allocable under the project. In the absence of an acceptable 

and available institutional travel policy, allowable per diem travel costs for lodging, meals, and incidentals 

will be reimbursed based on the established GSA per diem rates for the relevant geographic area. These 

rates can be found at www.gsa.gov. Allowable airfare travel costs will be reimbursed based upon the lowest 

discount commercial airfare, the federal government contract airfare, if authorized and available, or standard 

coach airfare.

For grantees subject to 48 C.F.R. Part 31.000, et seq. (FAR-31.2) Cost Principles for Commercial Organizations, 

travel costs incurred directly by the grantee will be reimbursed if the costs are reasonable and allocable 

under the project. Travel costs for lodging, meals, and incidental expenses may be reimbursed based upon 

per diem, actual expenses, or a combination of these methods, as long as the reimbursement rate does not 

exceed established GSA per diem rates as set forth in the Federal Travel Regulation. Transportation costs may 

be reimbursed based on mileage rates, actual costs incurred, or a combination of these methods. Allowable 

airfare travel costs will be reimbursed based upon standard coach fare, unless otherwise authorized in 

advance by the COPS Office.

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

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

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

that were included in the application have been approved by the COPS Office as part of the TRGP-E/T award 

and final budget. Your agency should keep timely and accurate records of all travel expenses. If at any time 

these costs change, you should immediately contact your COPS GPS to obtain a grant modification.

G. Allowable Costs: Supplies

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

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

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

applicable.

H. Allowable Costs: Contracts/Consultants

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

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

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

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

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

or contractors are hired through a non-competitive bidding process and grantees must receive COPS Office 

approval of those rates before drawing down grant funds. Determinations will be made on a case-by-case basis.
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I. Allowable Costs: Other Costs

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

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

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

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

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

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

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

Allowable Costs: Indirect Costs

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

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

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

and administrative salaries. Indirect Costs must adhere to the standards set forth in the applicable Office of 

Management and Budget (OMB) Costs Principles for your entity, 2 C.F.R. Part 225, Appendix E (state, local, 

and Indian tribal governments), 2 C.F.R. Part 230, Appendix A (nonprofit organizations), or 2 C.F.R. Part 220, 

Appendix A (educational institutions). 

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 

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

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

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

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

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

rate change. 

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

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

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

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

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

See the COPS Office website for a fact sheet on indirect costs, www.cops.usdoj.gov/Default.asp?Item=2489.
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4. Supplementing, Not Supplanting

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

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

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

(replace) state, local, or BIA funds that would have been dedicated to the COPS-funded item(s) in the absence of the 

COPS grant.

Why This Condition:

The COPS Office statutory non-supplanting requirement mandates that grant funds may not be used to 

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

made available for the grant purposes.

What You Should Do:

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

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

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

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

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

funds to pay for new computer equipment may not reallocate those funds to pay for any other law 

enforcement cost as a result of receiving TRGP-E/T grant funds for the same computer equipment.

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

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

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

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

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

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

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

funded positions that you had on the date of your Coordinated Tribal Assistance Solicitation (CTAS), 

including funded but vacant positions, but over and above the number of locally-funded officer 

positions during the grant award period.

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

you would have if you had not received your grant. Your agency may not cancel or postpone spending 

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

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

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

to your TRGP-Hiring grant-funded positions.
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TRGP Equipment and Training – To meet this grant condition, you must ensure that:

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

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

obligated funding in the current budget to make. Funds currently allocated to purchase equipment 

or technology may not be reallocated to other purposes or reimbursed upon the award of a TRGPE/T grant. Example: Grantees who have budgeted local funds to pay for a new computer system may 

not reallocate those funds to pay for any other law enforcement cost as a result of receiving TRGP-E/T 

funds for the same computer system.

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

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

purposes.

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

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

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

5. Extensions

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

grant program. Such extensions do not provide additional funding. Grants may be extended a maximum of 

36 months beyond the initial award expiration date. Any request for an extension beyond 36 months will be 

evaluated on a case-by-case basis. Only those grantees that can provide a reasonable justification for delays will 

be granted no-cost extensions. Reasonable justifications may include difficulties in filling COPS-funded positions, 

officer turnover, or other circumstances that interrupt the 36-month grant funding period. An extension allows 

your agency to compensate for such delays by providing additional time to complete the full 36 months of 

funding for each position awarded. Extension requests must be received prior to the end date of the award. 

Why This Condition: 

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

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

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

seeks to accommodate reasonable requests for no-cost time extensions in order to fully implement the 

COPS Office grant. 

What You Should Do: 

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

whether a no-cost time extension is needed; extensions will not be processed prior to 90 days of the grant 

end date. Requests to extend the grant award period must be received by the COPS Office before the 

official grant award end date. Extension requests received after the expiration date will only be considered 

when the grantee provides justification of extraordinary circumstances; an example of this would be an 

instance where an unforeseen natural disaster prevented a grantee from requesting an extension. Failure to 

submit a request for a no-cost time extension by the end date may result in the immediate deobligation of 

any remaining grant funds. 

Automatic extensions will be granted for grantee requests of 6 months or less. All extension requests 

beyond six months will require review and approval by the COPS Office. Individual or cumulative requests 

greater than one-half of the grant’s original term (i.e., 18 months) will require additional justification and 

must include a detailed timeline.
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If your agency has excess funds remaining at the end of the grant due to salary and fringe benefits costs 

that were lower than anticipated, your agency cannot extend the 36-month funding period for the purpose 

of expending those excess funds. Grantees are entitled to a maximum of 36 months of federal funding 

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

remaining grant funds during the closeout process. If you have any additional questions regarding a no-cost 

time extension, please contact your COPS Grant Program Specialist.

6. Modifications

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

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

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

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

request that results in an increase of federal funds.

Why This Condition:

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

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

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

expend grant funds only as approved in the FCM. Any requests to change or alter grant awards require 

written approval from the COPS Office prior to their implementation. Without prior written approval, you 

must continue to implement your grant as it was originally awarded and accepted by your agency. Please 

be advised that reprogramming requests for unallowable costs will not be approved (e.g., construction).

What You Should Do:

For all modifications, 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.

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

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

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

may begin following written approval from the COPS Office. Please note that modification approvals for 

active grants will often be accompanied by a Modified Award Document reflecting the approved changes. 

If applicable, your agency is required to sign and submit the Modified Award Document via the Account 

Access link to officially accept the grant modification.

7. Evaluations

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

to cooperate with the monitors and evaluators.

Why This Condition:

The Public Safety Partnership and Community Policing Act of 1994 states that evaluations of the program 

may be carried out or commissioned by the Attorney General for the furtherance of the purposes of the 

Act. The COPS Office conducts evaluations to determine what programs are working, how programs may 

be improved, and why certain programs are more successful than others. Specifically, the COPS Office 

may assess the way in which your agency implements its grant. In some jurisdictions, COPS 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.
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What You Should Do:

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

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

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

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

timely information about your grant activities. You should fully comply with any requests regarding these 

evaluations.

8. Reports

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

programmatic progress reports and quarterly financial reports. 

Why This Condition:

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

policies require that financial assistance provided by the federal government be monitored carefully to 

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

basis, the progress of our programs and grantees.

What You Should Do:

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

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

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

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

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

within 90 days after the end of the grant period. This report reflects the actual cumulative federal monies spent, 

unliquidated obligations incurred, and the unobligated balance of federal funds. Agencies with more than one 

delinquent programmatic and/or financial report submission per fiscal year may be subject to delays in receiving 

reimbursement for allowable expenses and may be required to receive technical assistance to improve compliance 

with reporting. These reports are discussed in greater detail in Section VI, “Reports,” of this manual. All reports 

should be submitted within the deadlines given to avoid suspension or possible termination of grant funds 

or other remedial actions.

9. Grant Monitoring Activities

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

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

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

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

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

include site visits, office-based grant reviews, alleged noncompliance reviews, financial and programmatic 

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

for information pertaining to your grant.

Why This Condition:

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

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

Office grant requirements.
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What You Should Do:

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

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

and financially. The most common ways are:

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

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

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

the law enforcement community. Technical assistance and follow-up are conducted to address 

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

policing activities, ensure grantee compliance, and provide customer service and technical assistance. 

If selected, you will be notified in writing in advance of any on-site review of your COPS Office grants. 

This review is generally performed over a one or more day period and also provides an opportunity 

for agency representatives to seek assistance on any grant implementation issues. Your agency will be 

notified in writing of the results and any action required to remedy identified grant violations.

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

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

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

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

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

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

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

conditions.

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

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

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

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

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

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

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

Office Grant Monitoring Division at 800-421-6770 or at AskCopsRC@usdoj.gov.

10. Federal Civil Rights Laws

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

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

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

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

employment to any person, or subject any person to discrimination in connection with any programs or activities 

funded in whole or in part with federal funds. These civil rights requirements are found in the non-discrimination 

provisions of Title VI of the Civil Rights Act of 1964, as amended (42 U.S.C. § 2000d); the Omnibus Crime Control 

and Safe Streets Act of 1968, as amended (42 U.S.C. § 3789d); Section 504 of the Rehabilitation Act of 1973, as 

amended (29 U.S.C. § 794); the Age Discrimination Act of 1975 (42 U.S.C. §6101, et seq.); Title IX of the Education 

Amendments of 1972, as amended (20 U.S.C. 1681 et seq.); and the corresponding DOJ regulations implementing 

those statutes at 28 C.F.R. Part 42 (subparts C, D, E, G, and I). You also agree to comply with Executive Order 13279 

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

requires equal treatment of religious organizations in the funding process and non-discrimination of beneficiaries 

by Faith-Based Organizations on the basis of belief or non-belief. 
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Why This Condition:

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

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

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

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

with an on-going 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 grant award until you comply with 

federal civil rights laws and/or cooperate with any on-going federal civil rights investigation.

What You Should Do:

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

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

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

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

11. Equal Employment Opportunity Plan (EEOP)

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

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

Why This Condition:

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

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

full and equal participation of women and minority individuals in employment opportunities in the criminal 

justice system is a necessary component to the Safe Streets Act’s program to reduce crime and delinquency 

in the United States” 28 C.F.R. § 42.301. The Equal Employment Opportunity Plan (EEOP) does not impose 

quotas or hiring requirements on recipients of federal funds. 

What You Should Do:

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

the number of its employees, and the amount of the award.

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, then 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. 

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 has to prepare a Utilization Report (formerly called an EEOP Short 

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

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

organization has to 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.
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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 has to 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 has to 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. Community Policing

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

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

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

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

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

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

TRGP grants must be used to initiate or enhance community policing activities. All newly hired, additional, 

or rehired officers (or an equal number of redeployed veteran officers) funded under TRGP-Hiring must 

engage in community policing activities. While the COPS Office recognizes that your COPS-funded officer(s) 

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

community policing plan and advance your agency’s community policing activities over the life of the grant, 

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

community policing.

Why This Condition: 

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

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

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

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

initiating or enhancing community policing in accordance with your proposed plan, and that the officers 

hired (or an equal number of redeployed veteran officers) are used to implement this plan and advance 

your agency’s community policing activities over the life of the grant. The COPS Office may also use this 

information to understand the needs of the field, and potentially provide for training, technical assistance, 

problem solving, and community policing implementation tools. 

What You Should Do: 

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

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

this plan may be made without prior approval of the COPS Office. If your agency’s community policing plan 

changes significantly, however, you must submit those changes in writing to the COPS Office for approval. 

Changes are “significant” if they deviate from the range of possible community policing activities identified 

and approved in the original community policing plan submitted with your application.
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13. Contracts with Other Jurisdictions 

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

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

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

exclusively benefit the population that your agency serves.

Why This Condition: 

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

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

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

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

What You Should Do: 

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

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

that COPS-funded items must exclusively benefit the grantee service population. For example, if your jurisdiction 

has both a tribal police department and a BIA department, items funded under the grant might be able to be 

utilized by the BIA department as long as this would result in an exclusive benefit to the population that you 

serve. You may not, however, allow officers, equipment, technology, or vehicles funded under the grant to be 

utilized by any agency or transferred to any agency that does not exclusively benefit the population that you serve. 

For example, you cannot, during the grant term, loan two of your awarded computers to a neighbouring county’s 

sheriff’s department.

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

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

funded under TRGP-Hiring to provide contract law enforcement services to a neighboring county, but can 

use the officer to provide direct law enforcement services to the population within your agency’s own 

jurisdiction.

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

Grant Program Specialist (GPS) at 800-421-6770 for additional guidance.

14. False Statements 

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

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

Why This Condition:

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

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

What You Should Do:

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

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

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

same item or service also funded under this award.

Why This Condition:

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

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

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

What You Should Do:

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

this award, please contact your COPS GPS at 800-421-6770. If necessary, the COPS Office will work with your 

agency to reprogram funding for items or services that are allowable under this grant program.

16. Additional High-Risk Grantee Requirements

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

performance period if the awarding agency determines that the recipient is a high-risk grantee (28 C.F.R. Parts 66 

and 70). 

Why This Condition: 

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

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

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

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

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

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

production of documentation, financial grant administration training, on-site monitoring, prior approval for 

expenditure of funds, quarterly progress reports, separate bank accounts, or other requirements. 

What You Should Do: 

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

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

recipient is a high-risk grantee.

17. System for Award Management 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.
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C. Definitions

For purposes of this award term:

1. System for Award Management (SAM) means the federal repository into which an entity must 

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

about registration procedures may be found at the SAM Internet site at www.sam.gov.

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

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

DUNS number may be obtained from D&B by telephone (currently 866-705-5711) or the Internet at 

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

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

subpart C:

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

b. A foreign public entity;

c. A domestic or foreign non-profit organization;

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

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

4. Subaward:

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

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

to an eligible subrecipient.

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

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

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

Why This Condition:

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

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

direct subrecipients (if applicable), and to establish the SAM as the repository for standard information about 

applicants and recipients.

What You Should Do:

At the time of 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.
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18. Reporting Sub-awards and Executive Compensation

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

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

Reporting Sub-awards and Executive Compensation.

a. Reporting of first-tier sub-awards.

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 sub-award to an entity (see definitions in paragraph e. of this award term).

2. Where and when to report.

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

www.fsrs.gov. 

ii. For sub-award 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, 2013, the 

obligation must be reported by no later than December 31, 2013.)

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

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

b. Reporting Total Compensation of Recipient Executives.

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

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

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

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 sub-awards); 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 sub-awards); and

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

periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 

78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. (To determine if the public 

has access to the compensation information, see the U.S. Security and Exchange Commission total 

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

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

b.1. of this award term:

i. As part of your registration profile at www.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 Sub-recipient Executives.

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

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

compensation of each of the sub-recipient’s five most highly compensated executives for the subrecipient’s preceding completed fiscal year, if—

i. in the sub-recipient’s preceding fiscal year, the sub-recipient 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 sub-awards); and
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(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 sub-awards); 

and

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

periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 

78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. (To determine if the public 

has access to the compensation information, see the U.S. Security and Exchange Commission total 

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

2. Where and when to report. You must report sub-recipient 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 sub-award.

For example, if a sub-award is obligated on any date during the month of October of a given year 

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

sub-recipient by November 30 of that year.

d. Exemptions.

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. Sub-awards, and

ii. The total compensation of the five most highly compensated executives of any sub-recipient.

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 non-profits organization;

iv. A domestic or foreign for-profit organization;

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

entity.

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

3. Sub-award:

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 sub-recipient.

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

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

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

iii. A sub-award may be provided through any legal agreement, including an agreement that you 

or a sub-recipient considers a contract.

4. Sub-recipient means an entity that:

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

ii. Is accountable to you for the use of the federal funds provided by the sub-award.

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

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

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

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

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

are available generally to all salaried employees.

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

pension plans.

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

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

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

property) for the executive exceeds $10,000.

Why This Condition:

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

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

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

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

and sub-award information and the award term provides guidance to report the related information, as 

required by FFATA.

What You Should Do:

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

and systems in place to comply with the applicable sub-award 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 sub-awards 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 sub-recipients. The FFATA Sub-award Reporting System (FSRS), accessible via 

the website at www.fsrs.gov, is the reporting tool that your agency will use to capture and report sub-award 

information and any executive compensation data required by FFATA. The sub-award 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 sub-award reporting requirements, 

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

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

19. Public Release Information

The grantee agrees to submit one copy of all reports and proposed publications resulting from this award 20 days 

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

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

“This project was supported by Grant Number 2013-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."

Why This Condition:

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

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

official federal documents and should not be construed to reflect the official policy or position of the DOJ.
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In addition, the COPS Office reserves a royalty-free, nonexclusive, and irrevocable license to reproduce, 

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

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

which an award recipient, sub-awardee, or a contractor purchases ownership with support from this award.

What You Should Do:

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

statement listed above.

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

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

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

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

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

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

government purposes.

FOR TRGP-HIRING GRANTS ONLY 

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

20. Retention 

(For Hiring grants only) 

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

the TRGP Hiring grant with state and/or local funds for a minimum of 12 months following the conclusion of 36 

months of federal funding for each position, over and above the number of locally-funded sworn officer positions 

that would have existed in the absence of the grant. Your agency cannot satisfy the retention requirement by using 

TRGP funded positions to fill locally-funded vacancies resulting from attrition.

Why This Condition:

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

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

What You Should Do:

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

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

Your agency committed to retaining each awarded position for at least 12 months following the conclusion 

of 36 months of federal funding for that position. The retention period begins for an awarded officer 

position once that position has completed the 36-month implementation period. If an agency is awarded 

several officer positions, the retention period for each individual officer position begins upon completion of 

36 months of funding for that position (not based on the cumulative grant award end date). 

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

and/or local funds at the conclusion of grant funding, over and above the number of locally-funded sworn 

officer positions that would have existed in the absence of the grant. Absorbing TRGP-funded positions 

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

meet the retention requirement.
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Your agency should maintain documentation demonstrating when the 36-month grant funding period 

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

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

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

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

or other evaluation of your grant compliance.

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

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

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

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

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

demonstrating that you did not delay filling the position and that the steps your agency took to fill the 

position were consistent with your hiring policies and procedures.

At the conclusion of federal funding, agencies that fail to retain the sworn officer positions awarded under 

the TRGP Hiring grant may be ineligible to receive future COPS Office grants for a period of three years. If 

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

further review.

21. Employment Eligibility 

(For Hiring Grants only)

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

Employment Eligibility Verification Form (I-9). This form is to be used by recipients of federal funds to verify that 

persons are eligible to work in the United States and can be found at www.uscis.gov/files/form/i-9.pdf.

Why This Condition:

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

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

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

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

What You Should Do:

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

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

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

contact the Bureau’s Office of Business Liaison at 800-357-2099 or the National Customer Service Center at 

800-375-5283.
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FOR TRGP-EQUIPMENT/TRAINING GRANTS ONLY 

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

22. Criminal Intelligence Systems 

(For Equipment/Training grants only)

Grantees using TRGP funds to operate an inter-jurisdictional criminal intelligence system must comply with 

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

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

Why This Condition:

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

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

stores, analyzes, and exchanges or disseminates data regarding on-going 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 inter-jurisdictional criminal 

intelligence systems which protect individual privacy and constitutional rights.

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

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

does not apply to this grant.

What You Should Do:

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

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

intend to use their grant funds to operate inter-jurisdictional criminal intelligence systems. If your agency 

intends to use grant funds to operate an inter-jurisdictional criminal intelligence system, you should indicate 

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

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

agency’s agreement to comply with the operating principles found at 28 C.F.R. Part 23. Your agency now must 

comply with 28 C.F.R. Part 23 in operating the inter-jurisdictional criminal intelligence system funded through 

your COPS Office grant.

23. Sole Source Justification 

(For Equipment/Training grants only)

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

group of items) or service in excess of $100,000, and who plan to seek approval for use of a non-competitive oncompetitive procurement process must provide a written sole source justification to the COPS Office for approval 

prior to obligating, expending, or drawing down grant funds for that item.

Why This Condition:

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

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

What You Should Do:

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

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

provide a written justification that explains why it is necessary to contract non-competitively.
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The initial determination that competition is not feasible can be made if one of the following circumstances 

exists:

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

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

solicitation; or

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

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

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

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

Section II, “Procurement Process.”

What are the specific rules regarding termination of grant funding?

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

that your agency:

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

law;

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

•	 Is not adhering to grant requirements or conditions;

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

the application being denied funding;

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

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

grant-related documents; and/or

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

In these instances, the COPS Office may:

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

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

•	 Wholly or partly suspend or terminate your grant;

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

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

actions are taken to ensure compliance;

•	 Withhold or bar your agency from obtaining future awards;

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

•	 Take other remedies that may be legally available.

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

of our decision and the reason(s) for that decision.
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Accepting the Grant Award

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

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

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

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

draw down your funds, the authorized officials (see Section IX, “Glossary of Terms”) of your agency must 

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

and electronically sign the Award Document along with all award condition pages.

Who should sign the Award Document for our agency?

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

programmatic and financial decisions regarding this grant as the representative of the legal grantee. COPS 

Office grants require the top government executive (e.g., Tribal Chairman, President, Chief, or equivalent) 

to sign the Award Document. Typically, this is the same executive named on your agency’s 2013 TRGP 

application. (If this individual has changed, please complete a Change of Information form online at www.

cops.usdoj.gov through the Account Access option.) If you have any questions as to who should sign the 

award, please contact your jurisdiction’s local legal advisor. 

When must the Award Document be returned?

Please electronically sign the Award Document and all award condition pages within 90 days of the date 

on the award congratulatory letter. Grant funds will not be released until we have received your agency’s 

signed Award Document, your budget has received final clearance, and any other relevant grant conditions 

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

day award acceptance period may result in your TRGP award being withdrawn and the funds deobligated 

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

90-day acceptance timeframe, please submit a written request to your COPS Grant Program Specialist. Be 

sure to explain the circumstances that prevent your agency from signing the Award Document within the 

90-day period, and identify the date by which the Award Document will be electronically signed. The COPS 

Office will review such requests on a case-by-case basis. The COPS Office reserves the right to deny requests 

to extend the 90-day award acceptance period.
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II. PROCUREMENT PROCESS (FOR TRGP-EQUIPMENT/TRAINING 

GRANTS ONLY)

In general, grant recipients are required to procure funded items through open and free competition when 

feasible. For the purchase of equipment, technology, or services under a COPS Office grant award, grant 

recipients must follow their own policies and procedures on procurement as long as those requirements 

conform to the federal procurement requirements set forth in 28 C.F.R. § 66.36 and 28 C.F.R. § 70 (as 

applicable).

As described in Grant Condition #23 on page 24, grantees are required to submit a sole source justification 

(SSJ) request if competitive bidding will not be possible and the threshold of $100,000 for goods or services 

to be procured through a sole source is met. The COPS Office will review your request and supporting 

information to determine whether an exception can be granted to the general rule of open competition. 

Written approval from the COPS Office for the use of a sole source must be received prior to purchasing 

items or services, obligating funding for a contract, or entering into a contract with grant funds. All grantees 

are expected to review and abide by 28 C.F.R. Part 66.36 Procurement (or 28 C.F.R. Part 70.40 - 70.48 for 

institutions of higher education, hospitals, and other nonprofit organizations) in determining if an SSJ 

must be completed. Please contact your COPS Grant Program Specialist (GPS) at 800-421-6770 for further 

assistance with this federal regulation.

A sole source justification request should be submitted if a grant recipient determines that the award of 

a contract through a competitive process is infeasible, and if one or more of the following circumstances 

apply:

1. The item (or group of items) or service is available only from one source; 

2. The public exigency or emergency for the item/service will not permit a delay resulting from 

competitive solicitation; or

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

What documentation must be submitted to the COPS Office for sole 

source review?

Requests for sole source procurements of equipment, technology, or services in excess of $100,000 must 

be submitted to the COPS Office in writing, confirming that the award of the contract through full and 

open competition is infeasible. Please note that a justification must be submitted for each vendor providing 

goods or services in excess of $100,000.

To ensure that all of the necessary information is included and submitted to the COPS Office, the following 

checklist can be used when preparing your agency’s sole source request:

Letterhead – The sole source request must be signed by an authorized representative and submitted on 

grantee department letterhead, and must include the agency ORI and the grant number for which the 

approval is being sought. The request should also include the following information:

Section I. Description of Project – A brief description of the project, the amount to be designated for the 

sole source procurement, and the purpose of the contract.

Section II. Reason for Request

1. An explanation as to why full and open competition is infeasible (e.g., why it is necessary to contract in 

a non-competitive manner), and 
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2. Which one (or more) of the three required categories identified below applies to the requested sole 

source procurement transaction(s).

•	 The item/service is available only from one source;

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

competitive solicitation; and/or

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

Section III. Supporting Documentation – The information below should support the applicable 

category(ies) identified in Section II.

1. If the item/service is available only from one source, please include the following:

•	 Uniqueness of items/services to be procured from the proposed contractor or vendor 

(compatibility, patent issues, etc.);

•	 How the agency determined that the item/service is only available from one source (e.g., market 

survey results, independent agency research, patented or proprietary system);

•	 Explanation of need for contractor’s expertise linked to the current project (e.g., knowledge of 

project management, responsiveness, experience of contractor personnel, prior work on earlier 

phases of project); and/or

•	 Any additional information that would support the case.

2. If the public exigency or emergency for the requirement will not permit a delay resulting from 

competitive solicitation, please include the following:

•	 Explanation of the specific public emergency;

•	 Impact on project if deadline/dates are not met;

•	 When the contractual coverage is required by your department and why; and/or

•	 Any additional information that would support the case.

3. If competition is determined inadequate after solicitation of a number of sources, please include the 

following:

•	 Results of a market survey to determine competition availability;

•	 If no survey is conducted, please explain why not; and/or

•	 Any additional information that would support the case.

Section IV. Best Interest Statement – A statement declaring that this action/choice is in the best interest 

of the agency.

Failure to provide all of the necessary information will delay the processing of your request. Your agency will be 

contacted if any of the identified information is missing or if additional supporting documentation is required. 

The COPS Office will notify your agency in writing after completion of the review.

Please be advised that conflicts of interest are prohibited under the procurement standards set forth in 28 

C.F.R. § 66 and 28 C.F.R. § 70.

Contact the COPS Office

If you have any questions regarding the federal requirements that guide procurement procedures, please 

contact your COPS Grant Program Specialist or program point of contact.

For more information about COPS Office programs and resources, please call the COPS Office Response 

Center at 800-421-6770, or visit the COPS Office online at www.cops.usdoj.gov.
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III. ACCESSING GRANT FUNDS

This section provides answers to payment-related questions, including all the information needed to set 

up your payments. For assistance with financial management and grant administration, please contact the 

COPS Office Response Center at 800-421-6770 or visit our website at www.cops.usdoj.gov.

Payment Method

What method of payment is used?

There is currently one method of payment available for accessing federal grant funds—the Grant Payment 

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

connection to request funds. Approved payment requests will automatically be scheduled for payment 

by the U.S. Treasury Department. A grantee will be able to review previous requests made since 2007. For 

more information on the GPRS please go to www.ojp.usdoj.gov/about/offices/ocfogprs.htm to view the 

User Guide.

Setting Up Your Account

How do we set up a GPRS account?

If you are a new grantee to the COPS Office, your law enforcement executive and/or government executive 

should receive notification about GPRS shortly after 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 and/or government executive do not perform 

drawdown requests for your agency, your grant administrator will need to go online to https://grants.ojp.

usdoj.gov/gprs/login to log in and register to become a Drawdown Specialist. You will receive, via e-mail, a 

temporary password and information on how to use GPRS. Please note that part of the verification process 

may involve outreach to your law enforcement executive and/or government executive or other financial 

points of contact to validate information provided by the Drawdown Specialist.

If you are already registered in GPRS, and would like to add a newly awarded grant to the existing username, 

please contact the COPS GPRS Registration Team via e-mail at COPSGPRSRegistration@usdoj.gov and 

provide the following information:

•	 User name

•	 First/Last name

•	 Vendor Number

•	 Grant numbers to be added 

How do we fill out the payment enrollment forms?

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

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

COPS Office website at the following address: www.cops.usdoj.gov/Default.asp?Item=100. 

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

Office of Justice Programs

Office of the Chief Financial Officer 

810 7th Street NW

Washington, DC 20531

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

back of the form and also provide the grant number (printed on the Award Document). Next, your financial 

institution must complete the “Financial Institution Information” section and have the appropriate financial 

official sign the form.
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If you are already a COPS Office grantee, you should already have filled out an ACH enrollment form. 

Therefore, your agency will not be required to submit a new ACH enrollment form for the newly awarded 

grant as long as your OJP vendor number has not changed. If you have any questions, or wish to verify your 

ACH enrollment form information, please call the COPS Office Response Center at 800-421-6770.

When should Federal Financial Reports be filed?

After your agency returns the signed Award Document to the COPS Office, under current regulations, you 

are required to submit quarterly Federal Financial Reports (FFRs) using a Standard Form 425 (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 grant account if the SF-425 for the most recent reporting quarter 

is not on file with the COPS Office by the deadline date. Grantees are encouraged to submit their SF-425 

reports via the Internet at www.cops.usdoj.gov.

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

manual titled “Reports.”

Filing the FFR (SF-425) identifies your federal and local expenditures made during that calendar quarter. However, 

to receive actual payment, you must request it through GPRS. 

Additional Payment Questions

Can we receive advances?

Yes. If you receive funds through electronic transfer, the period allowed is 10 days in advance. In general, the 

concept of “minimum cash on hand” applies to COPS Office grants. This concept requires that your agency 

request funds based upon immediate cash disbursement needs. You should time your request for payment 

to ensure that federal cash on hand is the minimum that you need.

There should be no excess federal grant funds on hand, except for advances not exceeding 10 days, as 

noted above.

The federal government has four basic rules regarding advances. Advances can be terminated if the 

grantee:

•	 Is unwilling or unable to attain project goals;

•	 Maintains excess cash on hand;

•	 Does not adhere to the terms and conditions of the grant; or

•	 Fails to submit reliable and/or timely reports. 

How often do we request reimbursement of costs?

There are no limitations on how often your agency may request reimbursements. However, reimbursement 

is only for costs that were approved in the FCM. As a general guideline, most agencies request 

reimbursement on a monthly or quarterly basis. Also, please note that a date range can only be used once.
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Can we earn interest on our grant funds?

Your agency should minimize the time between your drawdown of grant funds and your payment of 

grant costs to avoid earning excess interest on your grant funds. You must account for interest earned on 

advances of federal funds as follows:

•	 Local units of government may keep interest earned on all advances of federal funds up to $100 per 

federal fiscal year in the aggregate. Interest earned in excess of $100 must be remitted promptly, but at 

least quarterly, to the U.S. Department of Health and Human Services, Payment Management Systems, 

P.O. Box 6021, Rockville, MD 20852.

•	 Except as provided in 28 C.F.R. Part 70.22(l), nonprofit organizations may keep interest earned on all 

advances of federal funds up to $250 per federal fiscal year in the aggregate. Interest earned in excess 

of $250 must be remitted annually to the U.S. Department of Health and Human Services, Payment 

Management Systems, P.O. Box 6021, Rockville, MD 20852.

•	 Please notify the COPS Office Financial Division when any interest that is earned is remitted to 

Department of Health and Human Services, Payment Management Systems, P.O. Box 6021, Rockville, 

MD 20852.

•	 State governments, including any agency or instrumentality of a state, should follow the provisions of 

the Intergovernmental Cooperation Act (31 U.S.C. 6501 et. seq.) pertaining to the disposition of interest 

earned on federal funds.

Matching Funds

Under the 2013 COPS TRGP Programs, no local match is required. The COPS Office is funding 100 percent of 

the allowable items approved in your FCM. [Any costs higher than entry-level must be paid by your agency 

with local funds.] Please note: If the total cost exceeds the approved budget, then the addition expenditures 

are encouraged to be reported on the SF-425 as recipient share of expenditures.
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IV. FINANCIAL RECORD MAINTENANCE

Your agency is required to establish and maintain accounting systems and financial records to accurately 

account for grant funds awarded and disbursed. These records must include both federal funds and any 

local funds contributed to this project.

Accounting Systems and Records

Under the COPS TRGP grant, your agency is required to establish and maintain accounting systems and 

financial records to accurately account for funds awarded and disbursed. These records must include both 

federal funds and any local funds contributed to this project.

What accounting systems are required?

Your agency needs to establish and maintain accounting systems and financial records to accurately 

account for the funds awarded.

Your accounting system should:

•	 Present and itemize actual expenditures of funded items;

•	 Demonstrate that funds are spent in compliance with your grant conditions; and

•	 Be able to provide the necessary information for periodic financial review and audit.

What records must be kept?

Your agency’s fiscal control and accounting systems should enable you to make accurate, current, and 

complete disclosure of the financial activity under your grant. Your accounting records should contain 

information showing expenditures under the grant and must be supported by items such as cancelled 

checks, purchase orders, or similar documents.

Your agency must adequately safeguard grant funds and make sure that they are used for authorized 

purposes only. Your agency will be responsible for refunding any unallowable expenses.

How long must documents be kept?

All financial records, including cancelled checks, purchase orders, and similar documents associated with 

your grant should be kept for at least three years from the date the COPS Office officially closes the grant. 

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 grant expenditures may result in a requirement to repay all federal funds 

that cannot be supported with appropriate records.

Your agency should maintain records so that you can identify them by grant year or by fiscal year, whichever 

you find more convenient.

What if we have more than one grant?

If your agency has more than one COPS Office grant or a grant from another federal agency, funds received 

under one project may not be used to support another project without specific written authorization 

from the COPS Office, or in the case of a grant from another agency, from both awarding agencies. Your 

accounting systems and financial records must reflect expenditures for each project separately.

Who may access our records?

Authorized federal representatives, including representatives from the U.S. Department of Justice, the 

Comptroller General of the United States, the COPS Office, and any entity designated by the COPS Office 

may access these records for the purposes of conducting audits, site visits, or other examinations.

Records must be kept for at least three years from the date that the COPS Office has officially closed your 

agency’s grant.
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V. FEDERAL AUDIT REQUIREMENTS

In addition to oversight by the COPS Office, your grant may be subject to an audit by independent 

examiners. The two primary types of audit are Single Audit Act (SAA) audits and Department of Justice (DOJ) 

Office of the Inspector General (OIG) audits.

Requirements and Audits

What are the regulations governing SAA requirements?

The Single Audit Act of 1984 established uniform guidelines for state and local governments receiving 

federal financial assistance. The 1984 Act was amended in July 1996 and revised again June 27, 2003 and 

June 26, 2007, and is effective for fiscal years after December 31, 2003, to reflect revised audit criteria and 

reporting requirements. The Office of Management and Budget Circular A-133 (OMB A-133), Audits of 

States, Local Governments and Non-Profit Organizations, provides additional guidelines regarding the 

implementation of SAA requirements.

Who must have an SAA audit?

Each non-federal entity that expends a total amount of federal awards equal to or in excess of $500,000 in 

a fiscal year is required to have a Single Audit conducted, except when it elects to have a program-specific 

audit conducted. An auditee may be a recipient, a sub-recipient, and/or a vendor. Specifically, “Federal awards 

expended as a recipient or a sub-recipient would be subject to audit under A-133, Subpart B, Section 210.”

SAA audits are conducted annually unless a state or local government is required by constitution or statute, 

in effect on January 1, 1987, to undergo audits less frequently than annually. The primary objective of an SAA 

audit is to express opinions on the grantee’s financial statements, internal controls, major and non-major 

grant programs, and compliance with government laws and regulations. Single Audits may also address 

specific compliance issues with respect to COPS Office grant requirements.

Failure to have an audit performed may result in sanctions imposed by federal agencies for noncompliance 

with OMB Circular A-133. These sanctions under A-133, Section 225 could include the following: (A) 

withholding a percentage of federal awards until a required audit is completed satisfactorily; (B) withholding 

or disallowing overhead costs; (C) suspending your award until the audit is performed; or (D) terminating 

your award.

Your Single Audit Act reports should not be sent to the COPS Office. If the U.S. Department of Justice is your 

Cognizant Federal Agency (see Section IX, “Glossary of Terms”), they should be sent to the Federal Audit 

Clearinghouse at:

Federal Audit Clearinghouse 

Bureau of Census

1201 E. 10th Street

Jeffersonville, IN 47132

The U.S. Department of Justice, Office of Justice Programs (OJP) serves as the liaison between grantees and 

auditors in the conduct of SAA audits. Questions and comments regarding SAA audits may be directed to 

the COPS Office Response Center at 800-421-6770.
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What is the role of the Office of the Inspector General (OIG)? 

The OIG is a separate component of the U.S. Department of Justice and is independent of the COPS 

Office. The primary objective of OIG audits is to assess compliance with grant conditions. OIG audits are 

designed to promote economy, efficiency, and effectiveness in the administration of grants by evaluating 

compliance with laws, regulations, policies, and procedures governing the operations encompassed in the 

scope of the audit.

How are COPS Office grants selected for an OIG audit?

The OIG may conduct a COPS Office grant audit in response to a referral that the OIG believes warrants 

further evaluation. The OIG also surveys DOJ agencies on an annual basis to solicit input on suggested audit 

areas for the upcoming fiscal year. In most instances, however, the OIG selects grants based on a number of 

factors, including the geographical distribution of grants awarded, award amount, population served, and 

type of grant (both active and expired). As such, the fact that your grant has been selected for an OIG audit is 

not necessarily indicative of a suspected concern or problem area.

The COPS Grant Monitoring Division serves as the liaison between grantees and the OIG’s Audit Division, 

which conducts the audit. After the OIG notifies the COPS Office of upcoming audits to be conducted, the 

COPS Audit Liaison Division will send out a notification letter to the grantee outlining the scope of each 

audit and the anticipated audit timeframe. This notification letter also advises grantees of the supporting 

documentation required and information necessary for the OIG during their scheduled field work, and 

provides a COPS Office point of contact to address questions and concerns. If you have any questions 

regarding an OIG audit, please contact the COPS Grant Monitoring Division at 800-421-6770. Questions 

and comments regarding the administration of your COPS Office grant, not specifically related to an audit, 

should be referred to your COPS Grant Program Specialist.

Typical Audit Findings

The OIG has typically reported the following audit findings pertaining to grants as a result of lack of proper 

documentation, poor business practices, or inadequate accounting and record keeping systems:

•	 Unallowable costs – Grantee incurred costs which were not approved in the original budget, were 

in excess of the approved budget, or were charged to the grant after the expiration date and a grant 

extension was not obtained.

•	 Unsupported costs – Specific grant expenditures and reimbursements could not be supported by 

adequate documentation, or grant expenditures were in excess of actual grant costs.

•	 Lack of complete/timely programmatic and financial reporting – Grantee failed to submit required 

programmatic and financial reports in a timely manner and/or had inadequate record keeping systems.

•	 Failure to retain – Grantee lacked documentation to support retention planning efforts during the 

grant period and/or failed to demonstrate an increase in the baseline of locally-funded sworn officer 

positions at the conclusion of the 36 months of federal funding, over and above what the grantee 

would have funded in absence of the grant.

•	 Supplanting – Grantee could not document efforts to backfill vacant local sworn officer positions, or 

grantee could not explain reductions in local law enforcement budget during the grant award period.

•	 Lack of adequate community policing – Grantee had difficulty demonstrating community policing 

activities.
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•	 Funds to better use – Funds could be used more efficiently based on management actions such as: 

a) reductions in outlays; b) deobligation of funds; c) withdrawal; d) costs not incurred by implementing 

recommended improvements; or e) any other savings which are specifically identified.

•	 Questioned costs – Costs that are questioned by the auditor because of an audit finding which 

resulted from a violation or possible violation of a provision of law, regulation, grant terms and 

conditions, or other document governing the use of federal funds; or because costs incurred 

appear unreasonable and do not reflect the actions a prudent person would take under the 

same circumstances; or because costs at the time of the audit are not supported by adequate 

documentation.

After the final OIG audit report has been issued, the COPS Audit Liaison Division will continue working as 

the liaison between your agency and the OIG to obtain closure on any audit findings. 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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VI. REPORTS

As part of the TRGP program, your agency will be required to submit quarterly FFRs as well as program 

progress reports. Awarded agencies should be prepared to track and report TRGP grant funding separately 

from other funding sources (including other COPS Office and federal grants) to ensure accurate financial 

and programmatic reporting on a timely basis. Your agency should ensure that you have financial internal 

controls in place to monitor the use of TRGP grant funding and ensure that its use is consistent with 

the grant terms and conditions. Good practices in this area would include written accounting practices, 

an accounting system that tracks all drawdowns and grant expenditures, and the ability to track when 

approved purchases are made. Failure to submit complete reports, or submit them in a timely manner, 

may result in the suspension and possible termination of your agency’s COPS Office grant funding or other 

remedial actions. 

Federal Financial Reports

Your agency is required to submit quarterly FFRs using SF-425 within 30 days after the end of each calendar 

quarter. A final SF-425 will be due within 90 days after the end of the grant period. This report reflects the 

actual cumulative federal monies spent, unliquidated obligations incurred, and the unobligated balance of 

federal funds.

How do we file Federal Financial Reports?

All COPS Office grantees are required to submit quarterly FFRs using the SF-425.

SF-425s for COPS Office grants must be submitted every quarter and no later than 30 days after the last day 

of each reporting quarter, as detailed below:

Reporting Quarters SF-425 Due Date

January 1 – March 31 April 30

April 1 – June 30 July 30

July 1 – September 30 October 30

October 1 – December 31 January 30

Grantees are strongly encouraged to submit the quarterly SF-425 online. Visit the COPS 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. 

For your first SF-425 submission, determine when the most recent SF-425 reporting quarter ended and 

complete an SF-425 to cover the period from the award start date of your grant to that particular end date. 

You are required to submit an SF-425 even if you have not spent any money or incurred any costs during 

a reporting period. The due dates for online filing of SF-425s are the same as for the submission of paper 

copies.

Example:

If your award start date is 02-01-13 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.
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Grantees who do not submit SF-425s by the due date will be unable to draw down funds. The payment 

system contains a function which checks for SF-425 delinquency and will reject a drawdown attempt if the 

SF-425 is not up to date. Subsequent e-mail, fax, and/or hard copy reminders may be sent to the grantee if 

the SF-425 is delinquent.

For general information concerning online filing of SF-425 reports, go to www.cops.usdoj.gov/RIC/

ResourceDetail.aspx?RID=547 or contact the COPS Office Response Center by phone at 800-421-6770 or by 

e-mail at AskCopsRC@usdoj.gov.

If you need assistance in completing the SF-425, please contact the COPS Office Response Center at 800-

421-6770, by e-mail at AskCopsRC@usdoj.gov, or review the “Helpful Hints Guide for Completing the Federal 

Financial Report (SF-425)” at www.cops.usdoj.gov/RIC/ResourceDetail.aspx?RID=545.

How will grant funds be monitored?

The COPS Office and designated representatives from the Office of the Chief Financial Officer, Office of 

Justice Programs monitor the financial aspects of your agency’s grant through financial reports, on-site visits, 

office based grant reviews, meetings, telephone contacts, reports, audits, reviews of grant change requests, 

and special request submissions.

Program Progress Reports

Quarterly programmatic progress reports and a final programmatic closeout report will be required to be 

submitted directly to the COPS Office through the Account Access portion of the COPS Office website at 

www.cops.usdoj.gov.

When will these reports be due? 

The quarterly reports submitted to the COPS Office will be due no later than 30 days after the calendar 

quarter ends.

Reporting Quarters Program Progress 

Report Date Due

January 1 – March 31 April 30

April 1 – June 30 July 30

July 1 – September 30 October 30

October 1 – December 31 January 30

What kind of information will these reports require?

Quarterly reports for TRGP-Hiring will request information about the status of your agency’s hiring and/or 

rehiring of additional career law enforcement officers and your grant-related community policing activities. 

The TRGP-E/T progress reports will request information about the status of your grant in terms of the 

purchase of equipment and services, as well as general information about your department.

Do we need to request a progress report?

No. The COPS Office will notify your agency directly when the report is due. A notification for submitting 

your quarterly Program Progress Report to the COPS Office will be sent in January/April/July/October, 

covering activities for the preceding calendar quarter. Notification for submitting your final Program Progress 

Report will be sent to your agency in the month following your grant end date. 
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How do we file progress reports? 

All grantees will be required to submit their quarterly COPS Office reports through the COPS Account Access 

site at www.cops.usdoj.gov. If your agency has any questions regarding the submission of these required 

reports, please call the COPS Progress Report Team at 800-659-7379.

Will the data that I submit be publicly available? 

Reports submitted to the COPS Office may be reported publicly in response to a Freedom of Information 

Act request. 

How can I complete a COPS 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 setup an account 

for you. 

If you have a registered account, but do not remember your password you may reset your password by 

going to the agency portal homepage, in Account Access enter your e-mail address, click on the “Forgot 

Password” link. For additional assistance, you may contact the COPS Office Response Center by phone at 

800-421-6770 or send an e-mail to AskCopsRC@usdoj.gov.

How do I obtain access to complete the COPS Office progress report? 

If you do not have your user name and/or password, please contact the COPS Office Response Center by 

phone at 800-421-6770 (from Monday through Friday between 9:00 AM and 5:00 PM Eastern Time) or e-mail 

the Response Center at AskCopsRC@usdoj.gov.

What if I make a mistake or need to modify my progress report 

after it is submitted? 

Grantees may need to make a change or may be asked by a subsequent COPS 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 Progress Report Team at 800-659-7379. 

Contact Points to Obtain Technical Assistance and Report Violations

Any alleged violations, serious irregularities, or acts that may result in the use of public funds in a manner 

inconsistent with the Public Safety Partnership and Community Policing Act of 1994 or the purposes of 

this grant may be reported to the U.S. Department of Justice. Furthermore, the COPS Office welcomes 

the opportunity to provide assistance regarding the implementation of grant provisions to help ensure 

that federal grant funds are spent responsibly. As such, the following contacts are provided to address 

noncompliance and technical assistance issues:

•	 If you suspect violations of a criminal nature, please contact the U.S. Department of Justice, Office of 

the Inspector General (OIG) at OIG.hotline@usdoj.gov, www.justice.gov/oig/FOIA/hotline_plus.htm, or 

800-869-4499. 

•	 If you suspect grant violations (not criminal in nature) related to the grant conditions listed in this 

manual, please contact the COPS Grant Monitoring Division at 202-514-9202.

•	 If you have any questions and/or need assistance regarding your grant, please contact your COPS Grant 

Program Specialist at 800-421-6770.
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VII. WHEN THE GRANT PERIOD HAS ENDED

At the end of your agency’s TRGP grant period, the COPS Office is responsible for the “closeout” of your grant. 

As part of this process, the COPS Office requires documentation demonstrating that your agency has met all 

of the programmatic and financial requirements of the grant. 

After the end of the grant period, your agency will be asked to submit a final FFR and any applicable final 

program reports. 

Final Federal Financial Report (SF-425)

The final FFR (SF-425) for your grant is due to the COPS Office no later than 90 days after the end of the 

grant period. The final report should reflect the total amount of federal expenditures and the amount 

of unobligated funds, if any. Additionally, it should reconcile with the amount of funds drawn down by 

your agency. 

When should all of the grant monies be spent? 

Grant funds reflecting allowable project costs must be obligated before the end of the grant period. 

Obligated funds cover monies spent and expenses for all approved items in the FCM that your agency 

has incurred but not yet paid. Your agency has up to 90 days after the end of the grant period to request 

reimbursement for funds obligated. 

Please be advised that 28 C.F.R. Part 66.50(c) requires grantees to submit final SF-425s and to draw down the final 

reimbursement for expended funds within 90 days after the expiration of the grant. In addition, be advised that 

failure to complete the 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 grant funds remaining in your account following the grant 

period due to an overestimate of item costs during the grant period. Your agency should review its records 

carefully to ensure that it draws down and expends only the amount required for actual costs incurred 

during the grant period. Any excess unobligated or unspent funds should remain in your account, and will 

be deobligated during the closeout process.

Final Program Progress (Closeout) Report

After your grant period has ended, your agency may be sent a final progress or closeout report from the 

COPS Office and asked to complete it. This report will serve as your agency’s final programmatic report on 

the grant, and the information your agency provides in this report will be used to make a final assessment of 

your grant progress.

Equipment Disposition 

Each grantee must use any equipment funded through a COPS Office award for approved grant-related 

purposes and must retain the equipment for the life of the grant. After the conclusion of the grant period, 

property records must be maintained by the grantee. The records should include a description of the 

property; a serial number or other identification number; the source of the property; the name of the 

person or entity that holds the title; the acquisition date and cost of the property; the percentage of federal 

participation in the cost of the property; the location, use, and condition of the property; and any ultimate 

disposition data, including the date of disposal and sale price of the property. A control system must be 

developed to ensure adequate safeguards to prevent loss, damage, or theft of the property.
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When the grant has expired and original or replacement equipment obtained under the grant is no longer 

needed for the original project or for other activities currently or previously supported by a federal agency, 

disposition of the equipment shall be made as follows:

•	 Items of equipment with a current per-unit fair market value of less than $5,000 may be retained, sold, 

or otherwise disposed of with no further obligation to the awarding agency.

•	 Items of equipment with a current per-unit fair market value in excess of $5,000 may be retained or 

sold and the awarding agency shall have a right to an amount calculated by multiplying the current 

market value or proceeds from sale by the awarding agency’s share of the equipment.

For more information, please see 28 C.F.R. Part 66.32 or 28 C.F.R. Part 70.34, as applicable.

VIII. CONCLUSION

We hope that this manual has assisted you and your agency with your grant questions. We welcome and 

encourage any comments you have regarding the COPS TRGP and the materials we have developed for its 

administration. If you have specific comments regarding this manual, please send them to:

U.S. Department of Justice

Office of Community Oriented Policing Services 

Attn: TRGP/CTAS Control Desk

145 N Street NE, 11th Floor

Washington, DC 20530

If you have any questions about your grant, please call your COPS Grant Program Specialist or the COPS 

Office Response Center at 800-421-6770.

Pursuant to Executive Order 13513, “Federal Leadership on Reducing Text Messaging While Driving,” the 

COPS Office encourages recipients of 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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IX. GLOSSARY OF TERMS

Allowable Costs

TRGP-Equipment/Training – Allowable costs are expenses that may be funded by this grant program. COPS 

TRGP provides funding for equipment, services, and technology purchased on or after the award start date. 

Upon review of your submitted budget, any unallowable costs were removed. The FCM that was included in 

your award package outlined your allowable costs and noted any relevant revisions that were made to your 

original budget submission.

TRGP-Hiring – Allowable costs are costs that will be paid for by this grant program. The only allowable 

costs under TRGP-Hiring are the approved full-time, entry-level salaries and fringe benefits of sworn career 

law enforcement officers hired or rehired on or after the grant award start date. TRGP-Hiring grant funds 

may be used to hire or rehire experienced officers, but any costs higher than entry-level must be paid by 

your agency with local funds. Grant funding must be limited to your agency’s entry-level sworn officer 

salary and benefits. Upon review of your submitted budget, any unallowable costs were removed. The 

FCM, which was included in your award package, specifies the amount of TRGP-Hiring funds awarded to 

your agency for officer salaries and approved benefits, and it identifies the final officer salary and fringe 

benefit categories and amounts for which your agency was approved. Approved entry-level salaries and 

benefits paid during basic academy training are allowable when it is the agency’s policy to pay all newly hired 

officers during this training.

Audit

Work done by auditors, including both the OIG and state or local auditors, to examine financial statements 

and to review: (a) compliance with laws and regulations; (b) economy and efficiency of operations; (c) 

effectiveness in achieving program results; and (d) allowability of costs claimed against the award.

Authorized Official

The authorized official is the individual in your organization who has final authority and responsibility for 

all programmatic and financial decisions regarding this grant award. At the time of grant application, your 

agency listed the government executive (usually the Tribal Chief, Chairman, President, etc.) for your agency. 

This executive is listed on your Award Document and is understood to be your authorized official. If any of the 

executive information is incorrect, please submit the correct information to the COPS Office by completing an 

official Change of Information form available online at www.cops.usdoj.gov.

Automated Booking System

An automated booking system captures arrestee fingerprints and photographic information electronically 

and often has the ability to transfer that information to a departmental or state-wide database.

Automated Fingerprint Identification System (AFIS)

An AFIS system is a highly specialized biometrics system that compares a single fingerprint image with 

a database of fingerprint images. Fingerprint images are collected from crime scenes or are taken from 

criminal suspects when they are arrested. Fingerprint images may be captured by placing a finger on a 

scanner or by electronically scanning inked impressions on paper.

Award Package

The award package includes your TRGP award document, Financial Clearance Memorandum (FCM), and 

award congratulatory letter; it may be accessed through the Account Access link on the COPS Office website 

(www.cops.usdoj.gov). Your agency’s TRGP award document will list your grant number, government 

executive, award amount, number and hiring category of positions awarded, award start and end dates, 

and all terms and conditions (including any special conditions placed on your agency’s TRGP grant). Your 

law enforcement and government executives have 90 days from the date on your award congratulatory 

letter to log on to their accounts in Account Access and electronically sign the award document and submit 

it to the COPS Office. Your agency’s FCM will specify the final amount of TRGP funds awarded to your agency 

for officer salaries and approved fringe benefits.
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Award Start Date

This is the date on or after which your agency is authorized to purchase any allowable equipment, services, 

or other costs that were approved by the COPS Office. The award start date is found on your grant Award 

Document. Grantees may not expend funds prior to this date without written approval from the COPS Office.

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 grant 

revenues under the Single Audit Act. It is also used in participating states by State Single Points of Contact in 

conducting the required intergovernmental reviews under Executive Order 12372. The CFDA number for the 

COPS TRGP grant is 16.710.

Closeout

This is the process in which the awarding agency, the COPS Office, determines that all applicable 

administrative actions and all required work and conditions of the award have been completed and met by 

the recipient and awarding agency.

Cognizant Federal Agency

Your Cognizant Federal Agency is generally the federal agency that provides your agency with the most 

federal money. The Office of Management and Budget (OMB) may have already assigned your Cognizant 

Federal Agency to you. If this is the first federal grant that your organization has received, the U.S. 

Department of Justice (DOJ) is your Cognizant Federal Agency.

Community Policing

Community policing is a philosophy that promotes organizational strategies, which support the systematic 

use of partnerships and problem-solving techniques, to proactively address the immediate conditions that 

give rise to public safety issues such as crime, social disorder, and fear of crime. All newly hired, additional 

or rehired officers (or an equal number of redeployed veteran officers) funded under COPS Office programs 

must engage in community policing activities, and in the implementation of your community policing plan.

Computer Aided Dispatch (CAD) System

Computer database that can track calls for service, maintain status of units available, provide various reports, 

produce address histories, and support electronic mail. With the installation of integrated CAD systems, 

officers are able to receive calls for service on their mobile data terminals rather than over the radio. Radios 

can then be used only for serious emergencies.

Consortium

A consortium is a group of two or more governmental entities that agree to form a partnership to provide 

law enforcement services to their constituent communities.

COPS Office Finance Staff

The COPS Office Finance Staff handles your agency’s financial and budgetary needs related to this grant. A 

staff accountant has been assigned to your state and is available to answer any questions that you may have 

concerning the financial aspects of your grant. To identify your staff accountant, please call the COPS Office 

Response Center at 800-421-6770, or visit the COPS Office website at www.cops.usdoj.gov.
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COPS Office

The Office of Community Oriented Policing Services (COPS Office) is the division of the U.S. Department of 

Justice that is the “grantor agency” for your grant. The COPS Office is responsible for assisting your agency with 

the administration and maintenance of your grant for the entire grant period. You can reach the COPS Office 

at 800-421-6770.

Data Universal Numbering System (DUNS) Number

Since FY2004, the Office of Management and Budget (OMB) has required all agencies applying for federal 

funding to obtain this number prior to application. The DUNS number is a unique nine or thirteen-digit 

identification number that is assigned upon request to agencies by Dun & Bradstreet (D&B). This number will 

be used by the federal government to better track grant recipient information throughout the grant cycle 

and to provide consistent name and address data for electronic grant application systems. To obtain a DUNS 

number, visit the Dun & Bradstreet website at www.dnb.com or call 866-705-5711.

Employer Identification Number (EIN)/OJP Vendor Number

This number is usually your agency’s nine-digit federal tax identification number as assigned to you by the 

Internal Revenue Service (IRS). Your accounting/bookkeeping department should have this number. In some 

cases, the EIN has been previously assigned to another agency within your jurisdiction. In this instance, a 

new vendor number will be assigned to you by the Office of the Chief Financial Officer. The newly assigned 

number is to be used for the COPS Office administrative purposes only and should not be used for IRS 

purposes.

Federally Recognized Tribe 

Tribal entities that are recognized and eligible for funding and services from the BIA by virtue of their 

status as Indian tribes. They are acknowledged to have the immunities and privileges available to other 

federally acknowledged Indian tribes by virtue of their government-to-government relationship with the 

United States as well as the responsibilities, power, limitation, and obligations of such tribes. Only federally 

recognized tribes are eligible to apply for COPS grant funds. For further information, contact: BIA, Division of 

Tribal Government Services, MS-4631-MIB, 1849 C Street NW, Washington, DC 20240, 202-208-2475.

Gas Mask

A gas mask is connected to a chemical air filter and is used to protect the face and lungs from toxic gases.

Global Positioning System (GPS) 

Global Positioning Systems are a series of 24 geosynchronous satellites that continuously transmit their 

position. Each system is used in personal tracking, navigation, and automatic vehicle location technologies.

Grant Monitoring Specialist

COPS Grant Monitoring Specialists are trained and available to assist you in addressing any compliancerelated questions regarding your grant. Grant Monitoring Specialists plan and conduct site visits and officebased grant reviews. During the life of your grant, you may be selected for a monitoring site visit to assess 

your compliance with the terms and agreements of the grant program, to review your community policing 

initiatives, and to provide technical and administrative support for your grant award. Please contact the 

COPS Office Response Center at 800-421-6770 if you have any compliance-related questions.

Grant Number

The grant number identifies your agency’s specific TRGP grant, and can be found on your grant Award 

Document. This number should be used as a reference when corresponding with the COPS Office. Your grant 

number is in the following format: 2013-HE-WX-0000 for TRGP-E/T grants and 2013-HH-WX-0000 for TRGPHiring grants awarded in FY2013. The COPS Office tracks grant information based upon this number.
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Grant Program Specialist

COPS Grant Program Specialists are trained to assist you with implementing and maintaining your grant. 

A Grant Program Specialist is assigned to your state, and is available to answer any questions that you 

may have concerning the administrative aspects of your grant. Your Grant Program Specialist can assist 

you with such matters as requesting an extension on your grant or modifying the grant award. To obtain 

the name and phone number of your Grant Program Specialist, please contact the COPS Office Response 

Center at 800-421-6770 or refer to the COPS Office website, www.cops.usdoj.gov.

Indirect Costs 

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

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

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

and administrative salaries. Indirect Costs must adhere to the standards set forth in the applicable Office 

of Management and Budget (OMB) Costs Principles for your entity, 2 C.F.R. Part 225, Appendix E (state, 

local, and Indian tribal governments), 2 C.F.R. Part 230, Appendix A (nonprofit organizations), or 2 C.F.R. 

Part 220, Appendix A (educational institutions). See the COPS Office website for a factsheet on indirect 

costs, www.cops.usdoj.gov/Default.asp?Item=2489.

Interoperable Communications 

Communications interoperability refers to the ability of emergency response officials to share information 

via voice and data signals on demand, in real time, when needed, and as authorized. Interoperable 

communications policies, procedures, and technology are used to increase voice and data information 

sharing among the law enforcement, fire service, and emergency medical service communities.

Local Budget Cycle

Your agency’s fiscal year: some common examples include January 1 to December 31, October 1 to 

September 30, and July 1 to June 30. Some local budget cycles may extend up to 24 months.

Matching Funds

What a locality must contribute as a cash match toward total allowable project costs over the life of the 

program. There is no matching fund requirement for the TRGP program (although higher than entry-level 

costs for hired or rehired officers must be paid with local funds). 

Mobile Data Computer/Laptop

A Mobile Data Computer (MDC) is a computer terminal mounted in a vehicle that is linked via wireless 

communication to a network that is often integrated with a CAD system. MDCs enable officers to 

complete previously handwritten reports on a computer. This often eliminates the need to enter duplicate 

information on multiple reports.

National Incident-Based Reporting System (NIBRS)

A comprehensive reporting database where agencies provide individual records for eight index crimes 

and 38 other offenses.

Obligation of Funds

The COPS Office obligates federal funds when the grant Award Document is signed by the COPS Office 

Director or his/her designated official. For the grantee, grant funds are obligated when monies are spent or 

orders are placed for approved items under your grant. The term “encumbrance” is often used at the local 

and state levels to describe this type of transaction. Liquidated obligations are considered cash outlays or 

monies actually spent. Unliquidated obligations are obligations incurred and recorded but not yet paid 

(accrual basis of accounting) or not yet recorded and not yet paid (cash basis of accounting).
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Originating Agency Identifier (ORI) Number

This number is assigned by the FBI, and it is your agency’s unique identifier. The first two letters are your 

state abbreviation, the next three numbers are your county’s code, and the final two numbers identify your 

jurisdiction within your county. If your agency does not have an ORI number assigned by the FBI, the COPS 

Office assigns a non-official ORI code to use as an agency identifier (in such cases, the last two digits will be 

“ZZ”). It can be found on your grant Award Document. When you contact the COPS Office with a question, 

please reference your ORI number (and/or your grant number).

Primary Law Enforcement Authority 

An agency with primary law enforcement authority is the agency that is the first responder to calls for 

service, and has ultimate and final responsibility for the prevention, detection, and/or investigation of 

violations of criminal laws within its jurisdiction.

The Public Safety Partnership and Community Policing Act of 1994 

The COPS Office is charged with fulfilling the mandates of this law. The purposes of the law are to:

•	 Increase the number of community policing officers on the beat

•	 Provide additional and more effective training to law enforcement officers to enhance their problemsolving, service, and other skills needed in interacting with members of the community

•	 Encourage the development and implementation of innovative programs to permit members of the 

community to assist law enforcement agencies in the prevention of crime

•	 Encourage the development of new technologies to assist law enforcement agencies in reorienting the 

emphasis of their activities from reacting to crime to preventing crime

Retention Period

After 36 months of COPS Office funding, TRGP-Hiring grantees are required to retain each additional COPSfunded position awarded using local, state, or other sources of non-COPS funds. Each awarded position must 

be retained for at least 12 months following the conclusion of the 36 months of federal funding for that 

position. This time span is referred to as the “retention period.” 

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 grant, supplanting means replacing state, local, or BIA funds which otherwise 

would have been spent on law enforcement purposes with federal COPS funds. State, local, and tribal 

governments are prohibited from supplanting throughout the grant period. This means that your agency 

may not use COPS Office funds to pay for any equipment/technology, services, or other items which, in the 

absence of the COPS Office program, would otherwise have been funded with state and/or local funds, or 

funds supplied by the BIA. The COPS Office funds must instead be used to supplement, or increase, your law 

enforcement budget. For additional information on supplanting, please review Grant Condition #4 in this 

manual.
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Appendix A – List of Source Documents

A. Primary Sources

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

B. Secondary Sources

Code of Federal Regulations (CFR)/Office of Management and Budget (OMB):

4 C.F.R. Parts 101-105, Department of Justice/Government Accountability Office, “Joint Federal Claims 

Collections Standards”

5 C.F.R. Part 1320, “Controlling the Paperwork Burden on the Public”

5 C.F.R. Part 151, “Political Activities of State and Local Officials or Employees”

28 C.F.R. Part 23, “Criminal Intelligence Systems Operating Policies”

28 C.F.R. Part 61, “Procedures for Implementing the National Environmental Policy Act”

28 C.F.R. Part 66, “Uniform Administrative Requirements for Grants and Cooperative Agreements to State 

and Local Governments”

28 C.F.R. Part 67, “Government-wide Requirements for Drug-Free Workplaces (Grants)”

28 C.F.R. Part 69, “Government-wide New Restrictions on Lobbying”

28 C.F.R. Part 70, “Uniform Administrative Requirements for Grants and Agreements with Institutions of 

Higher Education, Hospitals, and Other Non-Profit Organizations”

31 C.F.R. Part 205, “Treasury Department Regulations Implementing for Cash Management Improvement 

Act of 1990”

2 C.F.R. Part 220 (OMB Circular A-21), “Cost Principles for Educational Institutions”

OMB Circular A-33, “Audits of Educational Institutions”

2 C.F.R. Part 225 (OMB Circular A-87), “Cost Principles for State and Local Governments”

2 C.F.R. Part 230 (OMB Circular A-122), “Cost Principles for Non-Profit Organizations”

OMB Circular A-129, “Managing Federal Credit Programs”

OMB Circular A-133, “Audits of States, Local Governments, and Non-Profit Organizations”

48 C.F.R. Part 31.000, et seq. (FAR-31.2), “Cost Principles for Commercial Organizations”

Executive Orders:

Executive Order 12291, “Regulations”

Executive Order 12372, 28 C.F.R. Part 30, “Intergovernmental Review of Federal Programs”

Executive Order 12547, “Non-Procurement Debarments and Suspension”
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Appendix B – Assurances and Certifications

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 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 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 Department of Justice as a condition or 

administrative requirement of the grant, including but not limited to: the requirements of 28 C.F.R. Part 

66 and 28 C.F.R. Part 70 (governing administrative requirements for grants and cooperative agreements); 

2 C.F.R. Part 225 (OMB Circular A-87), 2 C.F.R. Part 220 (OMB Circular A-21), 2 C.F.R. Part 230 (OMB Circular 

A-122) and 48 C.F.R. Part 31.000, et seq. (FAR 31) (governing cost principles); OMB Circular A-133 

(governing audits) and other applicable OMB circulars; the applicable provisions of the Omnibus Crime 

Control and Safe Streets Act of 1968, as amended; 28 C.F.R. Part 38.1; the applicable COPS Application 

Guidelines; the applicable COPS Grant Owner’s Manuals; and with all other applicable program 

requirements, laws, orders, regulations, or circulars. 

7. If applicable, it will, to the extent practicable and consistent with applicable law, seek, recruit and hire 

qualified members of racial and ethnic minority groups and qualified women in order to further effective 

law enforcement by increasing their ranks within the sworn positions in the agency. 
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8. It will not, on the ground of race, color, religion, national origin, gender, disability or age, unlawfully exclude 

any person from participation in, deny the benefits of or employment to any person, or subject any person 

to discrimination in connection with any programs or activities funded in whole or in part with federal 

funds. These civil rights requirements are found in the non-discrimination provisions of the Omnibus Crime 

Control and Safe Streets Act of 1968, as amended (42 U.S.C. § 3789d); Title VI of the Civil Rights Act of 1964, 

as amended (42 U.S.C. § 2000d); 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 FaithBased 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, DC 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 NW, 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 Department of Justice guidelines (June 18, 2002 Federal Register (Volume 67, Number 117, 

pages 41455-41472)), under Title VI of the Civil Rights Act of 1964, it will ensure meaningful access to its 

programs and activities by persons with limited English proficiency. 

10. It will ensure that any facilities under its ownership, lease or supervision which shall be utilized in the 

accomplishment of the project are not listed on the Environmental Protection Agency’s (EPA) list of 

Violating Facilities and that it will notify us if advised by the EPA that a facility to be used in this grant is 

under consideration for such listing by the EPA. 

11. If the applicant’s state has established a review and comment procedure under Executive Order 12372 

and has selected this program for review, it has made this application available for review by the state 

Single Point of Contact. 

12. It will submit all surveys, interview protocols, and other information collections to the COPS Office for 

submission to the Office of Management and Budget for clearance under the Paperwork Reduction Act 

of 1995 if required. 
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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 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 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 Government Executive/Financial Official 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 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,” Public Law 111-117 or the most recent applicable 

appropriations Act, 28 C.F.R. Part 83, “Government-Wide Requirements for Drug-Free Workplace (Grants),” and 

the coordination requirements of the Public Safety Partnership and Community Policing Act of 1994. The 

certifications shall be treated as a material representation of fact upon which reliance will be placed when 

the Department of Justice determines to award the covered grant. 

1. Lobbying 

As required by Section 1352, Title 31 of the U.S. Code, and implemented at 28 C.F.R. Part 69, for persons 

entering into a grant or cooperative agreement over $100,000, as defined at 28 C.F.R. Part 69, the applicant 

certifies that: 

A. No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, 

to any person for influencing or attempting to influence an officer or employee of any agency, 

a member of Congress, an officer or employee of Congress, or an employee of a member of 

Congress in connection with the making of any federal grant; the entering into of any cooperative 

agreement; and the extension, continuation, renewal, amendment or modification of any federal 

grant or cooperative agreement; 

B. If any funds other than federal appropriated funds have been paid or will be paid to any person 

for influencing or attempting to influence an officer or employee of any agency, a member 

of Congress, an officer or employee of Congress, or an employee of a member of Congress in 

connection with this federal grant or cooperative agreement, the undersigned shall complete and 

submit Standard Form – LLL, “Disclosure of Lobbying Activities,” in accordance with its instructions; 

and

C. The undersigned shall require that the language of this certification be included in the award 

documents for all subawards at all tiers (including subgrants, contracts under grants and 

cooperative agreements, and subcontracts) and that all sub-recipients shall certify and disclose 

accordingly. 

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

As required by Executive Order 12549, Debarment and Suspension, and implemented at 2 C.F.R. Part 2867, 

for prospective participants in primary covered transactions, as defined at 2 C.F.R. Part 2867.20(a)- A. 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 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. Federal Taxes and Assessments

A. 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. B. The applicant certifies that it does not have any unpaid federal tax liability that has been assessed, 

for which all judicial and administrative remedies have been exhausted or have lapsed, and that 

is not being paid in a timely manner pursuant to an agreement with the authority responsible for 

collecting the tax liability.

4. Drug-Free Workplace (Grantees Other Than Individuals) 

As required by the Drug-Free Workplace Act of 1988, and implemented at 28 C.F.R. Part 83, for grantees/

recipients, as defined at 28 C.F.R. Part 83.660 – 

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

(i) Publishing a statement notifying employees that the unlawful manufacture, distribution, 

dispensing, possession or use of a controlled substance is prohibited in the grantee’s workplace 

and specifying the actions that will be taken against employees for violation of such prohibition; 

(ii) Establishing an on-going drug-free awareness program to inform employees about – 

(a) The dangers of drug abuse in the workplace; 

(b) The grantee’s policy of maintaining a drug-free workplace 

(c) Any available drug counseling, rehabilitation and employee assistance programs; and 

(d) The penalties that may be imposed upon employees for drug-abuse violations occurring in 

the workplace; 
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(iii) Making it a requirement that each employee to be engaged in the performance of the grant be 

given a copy of the statement required by paragraph (i); 

(iv) Notifying the employee in the statement required by paragraph (i) that, as a condition of 

employment under the grant, the employee will – 

(a) Abide by the terms of the statement; and 

(b) Notify the employer in writing of his or her conviction for a violation of a criminal drug 

statute occurring in the workplace no later than five calendar days after such conviction; 

(v) Notifying the agency, in writing, within 10 calendar days after receiving notice under 

subparagraph (iv)(b) from an employee or otherwise receiving actual notice of such conviction. 

Employers of convicted employees must provide notice, including position title, to: COPS Office, 

145 N Street NE, Washington, DC 20530. Notice shall include the identification number(s) of each 

affected grant; 

(vi) Taking one of the following actions, within 30 calendar days of receiving notice under 

subparagraph (iv)(b), with respect to any employee who is so convicted – 

(a) Taking appropriate personnel action against such an employee, up to and including 

termination, consistent with the requirements of the Rehabilitation Act of 1973, as amended; or 

(b) Requiring such employee to participate satisfactorily in a drug abuse assistance or 

rehabilitation program approved for such purposes by a federal, state or local health, law 

enforcement or other appropriate agency; 

(vii) Making a good faith effort to continue to maintain a drug-free workplace through 

implementation of paragraphs (i), (ii), (iii), (iv), (v), and (vi). 

Grantee Agency Name and Address: 

B. The grantee may insert in the space provided below the site(s) for the performance of work done in 

connection with the specific grant: 

Place of performance (street address, city, county, state, zip code) 

____________________________________________________

____________________________________________________

Check □ if there are workplaces on file that are not identified here. 

5. Coordination 

The Public Safety Partnership and Community Policing Act of 1994 requires applicants to certify that there 

has been appropriate coordination with all agencies that may be affected by the applicant’s grant proposal 

if approved. Affected agencies may include, among others, the Office of the United States Attorney, state 

or local prosecutors, or correctional agencies. The applicant certifies that there has been appropriate 

coordination with all affected agencies. 

Where the applicant is unable to certify to any of the statements in this Certifications form, he or she shall attach 

an explanation to this application regarding the particular statement that cannot be certified. Please 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. 
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Grantee Agency Name and Address: 

_____________________________________________________________________________________ 

_____________________________________________________________________________________ 

Grantee IRS/ Vendor Number: ______________________________ 

False statements or claims made in connection with COPS 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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Appendix C – Community Policing Defined

Community policing is a philosophy that promotes organizational strategies that support the systematic use 

of partnerships and problem-solving techniques, to proactively address the immediate conditions that give 

rise to public safety issues such as crime, social disorder, and fear of crime. 

Community policing is comprised of three key components:

•	 Community Partnerships

•	 Organizational Transformation

•	 Problem Solving

Community Partnerships 

Collaborative partnerships between the law enforcement agency and the individuals and organizations they 

serve to develop solutions to problems and increase trust in police.

Community policing, recognizing that police rarely can solve public safety problems alone, encourages 

interactive partnerships with relevant stakeholders. The range of potential partners is large and these 

partnerships can be used to accomplish the two interrelated goals of developing solutions to problems 

through collaborative problem solving and improving public trust. The public should play a role in 

prioritizing and addressing public safety problems.

Other Government Agencies

Law enforcement organizations can partner with a number of other government agencies to identify 

community concerns and offer alternative solutions. Examples of agencies include legislative bodies, 

prosecutors, probation and parole, public works departments, neighboring law enforcement agencies, 

health and human services, child support services, ordinance enforcement, and schools.

Community Members/Groups

Individuals who live, work, or otherwise have an interest in the community—volunteers, activists, formal 

and informal community leaders, residents, visitors and tourists, and commuters—are a valuable resource 

for identifying community concerns. These factions of the community can be engaged in achieving specific 

goals at town hall meetings, neighborhood association meetings, decentralized offices/storefronts in the 

community, and team beat assignments.

Nonprofits/Service Providers

Advocacy and community-based organizations that provide services to the community and advocate on its 

behalf can be powerful partners. These groups often work with or are composed of individuals who share 

common interests and can include such entities as victims groups, service clubs, support groups, issue 

groups, advocacy groups, community development corporations, and the faith community.

Private Businesses

For-profit businesses also have a great stake in the health of the community and can be key partners 

because they often bring considerable resources to bear in addressing problems of mutual concern. 

Businesses can help identify problems and provide resources for responses, often including their own 

security technology and community outreach. The local chamber of commerce and visitor centers can 

also assist in disseminating information about police and business partnerships and initiatives, and crime 

prevention practices.
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Media

The media represent a powerful mechanism by which to communicate with the community. They can 

assist with publicizing community concerns and available solutions, such as services from government 

or community agencies or new laws or codes that will be enforced. In addition, the media can have a 

significant impact on public perceptions of the police, crime problems, and fear of crime.

Organizational Transformation 

The alignment of organizational management, structure, personnel, and information systems to support 

community partnerships and proactive problem-solving efforts.

The community policing philosophy focuses on the way that departments are organized and managed 

and how the infrastructure can be changed to support the philosophical shift behind community 

policing. It encourages the application of modern management practices to increase efficiency and 

effectiveness. Community policing emphasizes changes in organizational structures to institutionalize 

its adoption and infuse it throughout the entire department, including the way it is managed and 

organized, its personnel, and its technology.

Agency Management

Under the community policing model, police management infuses community policing ideals 

throughout the agency by making a number of critical changes in climate and culture, leadership, 

formal labor relations, decentralized decision-making and accountability, strategic planning, policing 

and procedures, organizational evaluations, and increased transparency.

Climate and culture

Changing the climate and culture means supporting a proactive orientation that values systematic 

problem solving and partnerships. Formal organizational changes should support the informal networks 

and communication that take place within agencies to support this orientation.

Leadership

Leaders serve as role models for taking risks and building collaborative relationships to implement 

community policing and they use their position to influence and educate others about it. Leaders, 

therefore, must constantly emphasize and reinforce community policing’s vision, values, and mission 

within their organization and support and articulate a commitment to community policing as the 

predominant way of doing business.

Labor relations

If community policing is going to be effective, police unions and similar forms of organized labor must 

be a part of the process and function as partners in the adoption of the community policing philosophy. 

Including labor groups in agency changes can ensure support for the changes that are imperative to 

community policing implementation.

Decision-making

Community policing calls for decentralization both in command structure and decision-making. 

Decentralized decision-making allows front-line officers to take responsibility for their role in community 

policing. When an officer is able to create solutions to problems and take risks, he or she ultimately 

feels accountable for those solutions and assumes a greater responsibility for the well-being of the 

community. Decentralized decision-making involves flattening the hierarchy of the agency, increasing 

tolerance for risk-taking in problem-solving efforts, and allowing officers discretion in handling calls. In 

addition, providing sufficient authority to coordinate various resources to attack a problem and allowing 

officers the autonomy to establish relationships with the community will help define problems and 

develop possible solutions.
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Strategic planning

The department should have a written statement reflecting a department-wide commitment to community 

policing and a plan that matches operational needs to available resources and expertise. If a strategic plan 

is to have value, the members of the organization should be well-versed in it and be able to give examples 

of their efforts that support the plan. Components such as the organization’s mission and values statement 

should be simple and communicated widely. 

Policies

Community policing affects the nature and development of department policies and procedures to ensure 

that community policing principles and practices have an effect on activities on the street. Problem solving 

and partnerships, therefore, should become institutionalized in policies, along with corresponding sets of 

procedures, where appropriate.

Organizational evaluations

In addition to the typical measures of police performance (arrests, response times, tickets issued, and crime 

rates) community policing calls for a broadening of police outcome measures to include such things as 

greater community satisfaction, less fear of crime, the alleviation of problems, and improvement in quality 

of life. Community policing calls for a more sophisticated approach to evaluation—one that looks at how 

feedback information is used, not only how outcomes are measured.

Transparency

Community policing involves decision-making processes that are more open than traditional policing. 

If the community is to be a full partner, the department needs mechanisms for readily sharing relevant 

information on crime and social disorder problems and police operations with the community.

Organizational Structure

It is important that the organizational structure of the agency ensures that local patrol officers have decisionmaking authority and are accountable for their actions. This can be achieved through long-term assignments, 

the development of officers who are “generalists,” and using special units appropriately.

Geographic assignment of officers

With community policing, there is a shift to the long-term assignment of officers to specific neighborhoods 

or areas. Geographic deployment plans can help enhance customer service and facilitate more contact 

between police and citizens, thus establishing a strong relationship and mutual accountability. Beat 

boundaries should correspond to neighborhood boundaries and other government services should 

recognize these boundaries when coordinating government public-service activities.

Despecialization

To achieve community policing goals, officers have to be able to handle multiple responsibilities and take a 

team approach to collaborative problem solving and partnering with the community. Community policing 

encourages its adoption agency-wide, not just by special units, although there may be a need for some 

specialist units that are tasked with identifying and solving particularly complex problems or managing 

complex partnerships.

Resources and finances

Agencies have to devote the necessary human and financial resources to support community policing to 

ensure that problem-solving efforts are robust and that partnerships are sustained and effective.
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Personnel

The principles of community policing need to be infused throughout the entire personnel system of an 

agency including recruitment, hiring, selection, and retention of all law enforcement agency staff, from 

sworn officers to civilians and volunteers. Personnel evaluations, supervision, and training must also be 

aligned with the agencies’ community policing values.

Recruitment, hiring, and selection

Agencies need a systematic means of incorporating community policing elements into their recruitment, 

selection, and hiring processes. Job descriptions should recognize community policing and problem-solving 

responsibilities and encourage the recruitment of officers who have a “spirit of service,” instead of only a 

“spirit of adventure.” A community policing agency also has to thoughtfully examine where it is seeking 

recruits, whom it is recruiting and hiring, and what is being tested. Agencies are also encouraged to seek 

community involvement in this process through the identification of competencies and participation in 

review boards.

Personnel supervision/evaluations

Supervisors must tie performance evaluations to community policing principles and activities that are 

incorporated into job descriptions. Performance, reward, and promotional procedures should support sound 

problem-solving activities, proactive policing, community collaboration, and citizen satisfaction with police 

services.

Training

Training at all levels—academy, field, and in-service—must support community policing principles and 

tactics. It also needs to encourage creative thinking, a proactive orientation, communication and analytical 

skills, and techniques for dealing with quality-of-life concerns and maintaining order. Officers can be trained to 

identify and correct conditions that could lead to crime, raise public awareness, and engage the community 

in finding solutions to problems. Field training officers and supervisors need to learn how to encourage 

problem solving and help officers learn from other problem-solving initiatives. Until community policing is 

institutionalized in the organization, training in its fundamental principles will need to take place regularly.

Information Systems (Technology) 

Community policing is information-intensive and technology plays a central role in helping to provide ready 

access to quality information. Accurate and timely information makes problem-solving efforts more effective 

and ensures that officers are informed about the crime and community conditions of their beat. In addition, 

technological enhancements can greatly assist with improving two-way communication with citizens and in 

developing agency accountability systems and performance outcome measures.

Communication/access to data

Technology provides agencies with an important forum by which to communicate externally with the 

public and internally with their own staff. To communicate with the public, community policing encourages 

agencies to develop two-way communication systems through the Internet that allow for online reports, 

reverse 911 and e-mail alerts, discussion forums, and feedback on interactive applications (surveys, maps), 

thereby creating on-going 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.
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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 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.

Problem Solving

The process of engaging in the proactive and systematic examination of identified problems to develop and 

evaluate effective responses.

Community policing emphasizes proactive problem solving in a systematic and routine fashion. Rather than 

responding to crime only after it occurs, community policing encourages agencies to proactively develop 

solutions to the immediate underlying conditions contributing to public safety problems. Problem solving 

must be infused into all police operations and guide decision-making efforts. Agencies are encouraged to 

think innovatively about their responses and view making arrests as only one of a wide array of potential 

responses. A major conceptual vehicle for helping officers to think about problem solving in a structured 

and disciplined way is the SARA (Scanning, Analysis, Response, and Assessment) problem-solving model.

Scanning: Identifying and prioritizing problems

The objectives of scanning are to identify a basic problem, determine the nature of that problem, 

determine the scope of seriousness of the problem, and establish baseline measures. An inclusive list of 

stakeholders for the selected problem is typically identified in this phase. A problem can be thought of as 

two or more incidents similar in one or more ways and that is of concern to the police and the community. 

Problems can be a type of behavior, a place, a person or persons, a special event or time, or a combination 

of any of these. The police, with input from the community, should identify and prioritize concerns.
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Analysis: Researching what is known about the problem

Analysis is the heart of the problem-solving process. The objectives of analysis are to develop an 

understanding of the dynamics of the problem, develop an understanding of the limits of current responses, 

establish correlation, and develop an understanding of cause and effect. As part of the analysis phase, it is 

important to find out as much as possible about each aspect of the crime triangle by asking Who?, What?, 

When?, Where?, How?, Why?, and Why Not? about the victim, offender, and crime location.

Response: Developing solutions to bring about lasting reductions in the number and extent 

of problems

The response phase of the SARA model involves developing and implementing strategies to address an 

identified problem by searching for strategic responses that are both broad and uninhibited. The response 

should follow logically from the knowledge learned during the analysis and should be tailored to the specific 

problem. The goals of the response can range from either totally eliminating the problem, substantially 

reducing the problem, reducing the amount of harm caused by the problem, or improving the quality of 

community cohesion.

Assessment: Evaluating the success of the responses

Assessment attempts to determine if the response strategies were successful by understanding if the 

problem declined and if the response contributed to the decline. This information not only assists the 

current effort but also gathers data that build knowledge for the future. Strategies and programs can be 

assessed for process, outcomes, or both. If the responses implemented are not effective, the information 

gathered during analysis should be reviewed. New information may have to be collected before new 

solutions can be developed and tested. The entire process should be viewed as circular rather than linear, 

meaning that additional scanning, analysis, or responses may be required.

Using the crime triangle to focus on immediate conditions (victim/offender/ location)

To understand a problem, many problem solvers have found it useful to visualize links among the 

victim, offender, and location (the crime triangle) and those factors that could have an impact on them, 

for example, capable guardians for victims (e.g., security guards, teachers, and neighbors), handlers for 

offenders (e.g., parents, friends, and probation), and managers for locations (e.g., business merchants, park 

employees, and motel clerks). Rather than focusing primarily on addressing the root causes of a problem, 

the police focus on the factors that are within their reach, such as limiting criminal opportunities and 

access to victims, increasing guardianship, and associating risk with unwanted behavior.
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Appendix D – National Institute of Justice (NIJ) Bulletproof Vest 

Standards

The following information was adapted from NIJ Guide 100-98, “Selection and Application Guide to Police 

Body Armor.” The publication in its entirety may be requested from:

National Law Enforcement and Corrections Technology Center (NLECTC) 

2277 Research Boulevard

Rockville, MD 20850

800-248-2742

The publication may also be downloaded from the Center’s website: www.justnet.org/Pages/home.aspx.

“NIJ’s policy on body armor has always been that preserving the life of the police officer is the sole criteria on 

which to judge body armor effectiveness. At present, an officer may select a garment that corresponds to an 

appropriate threat level and be confident that armor in compliance with NIJ’s standard will defeat the stated 

threat level.”

Type I (.22 LR; .38 Special)

Type I body armor is light. This is the minimum level of protection every officer should have and the armor 

should be routinely worn at all times while on duty. Type I body armor was the armor issued during the NIJ 

demonstration project in the mid-1970s. Most agencies today, however, because of increasing threats, opt 

for a higher level of protection.

This armor protects against .22 Long Rifle High-Velocity lead bullets, with nominal masses of 2.6 g (40 gr), 

impacting at a velocity of 320 m/s (1,050 ft/s) or less, and against .38 Special roundnose lead bullets, with 

nominal masses of 10.2 g (158 gr), impacting at a velocity of 259 m/s (850 ft/s) or less. It also provides 

protection against most other .25 and .32 caliber handgun rounds.

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

Type II-A body armor is well suited for full-time use by police departments, particularly those seeking 

protection for their officers from lower velocity .357 Magnum and 9mm ammunition.

This armor protects against .357 Magnum jacketed soft-point bullets, with nominal masses of 10.2 g (158 

gr), impacting at a velocity of 381 m/s (1,250 ft/s) or less, and against 9mm full-metal jacketed bullets, with 

nominal masses of 8.0 g (124 gr), impacting at a velocity of 332 m/s (1,175 ft/s). It also protects against such 

threats as .45 Auto., .38 Special +P, and some other factory loads in caliber .357 Magnum and 9mm, as well as 

the Type I threats.

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

Type II body armor is heavier and more bulky than either Types I or II-A. It is worn full-time by officers seeking 

protection against higher velocity .357 Magnum and 9mm ammunition.

This armor protects against .357 Magnum jacketed soft-point bullets, with nominal masses of 10.2 g (158 gr), 

impacting at a velocity of 425 m/s (1,395 ft/s) or less, and against 9mm full-jacketed bullets, with nominal 

velocities of 358 m/s (1,175 ft/s). It also protects against most other factory loads in caliber .357 Magnum and 

9mm, as well as the Type I and II-A threats.

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

Type III-A body armor provides the highest level of protection currently available from concealable body 

armor and is generally suitable for routine wear in many situations. However, departments located in hot, 

humid climates may need to evaluate the use of Type III-A armor carefully.
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This armor protects against .44 Magnum lead semi-wadcutter bullets with gas checks, nominal masses of 

15.55 g (240 gr), impacting at a velocity of 426 m/s (1,400 ft/s) or less. It also provides protection against 

most handgun threats, as well as the Type I, II-A, and II threats.

Type III (High-powered Rifle)

Type III body armor is clearly intended only for tactical situations when the threat warrants such protection, 

such as barricade confrontations involving sporting rifles.

This armor, normally of hard or semi-rigid construction, protects against 7.62 mm full-metal jacketed bullets 

(U.S. military designation M80), with nominal masses of 9.7 g (150 gr), impacting at a velocity of 838 m/s 

(2,750 ft/s) or less. It also provides protection against threats such as 223 Remington (5.56 mm FMJ), 30 

Carbine FMJ, and 12-gauge rifled slug, as well as the Type I through III-A threats.

Type IV (Armor-piercing Rifle)

Type IV body armor provides the highest level of protection currently available. Because this armor is 

intended to resist “armor piercing” bullets, it often uses ceramic materials. Such materials are brittle in nature 

and may provide only single-shot protection, since the ceramic tends to break up when struck. As with 

Type III armor, Type IV armor is clearly intended only for tactical situations when the threats warrant such 

protection.

This armor protects against .30-06 caliber armor-piercing bullets (U.S. military designation AMP2), with 

nominal masses of 10.8 g (166 gr), impacting at a velocity of 868 m/s (2,850 ft/s) or less. It also provides at 

least single-hit protection against the Type I through III threats.

Special Type

A purchaser who has a special requirement for a level of protection other than one of the above standard 

threat levels should specify the exact test rounds and minimum impact velocities to be used and indicate 

that this standard shall govern in all other respects.
U.S. Department of Justice

Office of Community Oriented Policing Services

145 N Street NE

Washington, DC 20530

To obtain details on COPS programs, call the COPS Office Response Center at 800-421-6770.

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

September 2013