FY 2023 COPS Office Blue Alert Program

Award Owner’s Manual 

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

https://cops.usdoj.gov
 

 

 

 

 

 

 

 

 

 

 

FY 2023 COPS Office Blue Alert (BA) Program Award Owner’s Manual 

FY 2023 Blue Alert Program Award Owner’s Manual 

This manual was created to assist COPS Office award recipients with the administrative and financial matters 

associated with their award. 

For more information about your award, please contact your COPS Office Program Manager. If you do not know 

the name or telephone number of your COPS Office Program Manager, please contact your COPS Office Grant 

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

U.S. Department of Justice 

Office of Community Oriented Policing Services 

145 N Street NE 

Washington, DC 20530 

Visit the COPS Office online: https://cops.usdoj.gov 

Published September 2023 
FY 2023 COPS Office Blue Alert (BA) Program Award Owner’s Manual 

Contents 

Getting Started ..............................................................................................................................................................

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1 

I. Award Acceptance, Terms, and Conditions 2 

Award package 2 

Accepting the award 3 

Who should sign the award package for our organization? 3 

By when must the award package be signed? 4 

What are the specific rules regarding termination of award funding? 4 

Award terms and conditions 5 

II. The Cooperative Agreement 43 

III. Procurement Process 44 

IV. Accessing Award Funds 45 

Payment method 45 

When should Federal Financial Reports be filed? ...................................................................................................

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45 

Additional payment questions 46 

V. Financial Record Maintenance 48 

Accounting systems and records 48 

VI. Federal Audit Requirements 50 

Single Audit Act (SAA) requirements 50 

Office of Inspector General (OIG) recipient audits 51 

Typical audit findings 52 

VII. Reporting Requirements 54 

Federal Financial Reports 54 

Performance Reports 56 

How do we file a final performance report? 57 

Contact points to obtain technical assistance and report violations 58 

VIII. When the Award Period Has Ended 59 

Final Federal Financial Report (SF-425) 59 

Final Performance (Closeout) Report 60 

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FY 2023 COPS Office Blue Alert (BA) Program Award Owner’s Manual 

VIIII. Conclusion ...........................................................................................................................................................

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61 

Appendices 62 

Appendix A. List of source documents 62 

Appendix B. U.S. Department of Justice Certified Standard Assurances 63 

Appendix C. U.S. Department of Justice Certifications Regarding Lobbying; Debarment, Suspension and Other 

Responsibility Matters; Drug-Free Workplace Requirements; Law Enforcement and Community Policing 65 

Appendix D. Enhancement of contractor protection from reprisal for disclosure of certain information (41 U.S.C. 

§ 4712).....................................................................................................................................................................

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69 

Appendix E. 2 C.F.R. Appendix II to Part 200: Contract provisions for nonfederal entity contracts under federal 

awards 73 

Appendix F. 2 C.F.R. Part 200, Appendix XII to Part 200—AWARD TERM AND CONDITION FOR RECEIPT INTEGRITY 

AND PERFORMANCE MATTERS 75 

Appendix G. Intergovernmental review process, points of contact by state 77 

Appendix H. Federal Funding Accountability and Transparency Act (FFATA)—Reporting subaward and executive 

compensation award term 78 

Appendix I. Remittance of Interest Earned Amounts 81 

Glossary of Terms 83 

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FY 2023 COPS Office Blue Alert (BA) Program Award Owner’s Manual 

Getting Started 

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

Policing Services (COPS Office). In 2015, Congress passed the Rafael Ramos and Wenjian Liu National Blue Alert Act 

(Act), named in honor of two New York City police officers killed in an ambush attack on December 20, 2014. The 

Act directs the Department of Justice (DOJ) to establish a voluntary nationwide system to give authorities an early 

warning of threats against law enforcement and to aid in the apprehension of suspects who have killed or seriously 

injured an officer or deputy. In 2016, the COPS Office was given the honor of implementing the Act and established 

the National Blue Alert Network. The National Blue Alert Network seeks to encourage, enhance, and integrate Blue 

Alert plans throughout the United States. Blue Alerts provide for rapid dissemination of information to law 

enforcement agencies, media, and the public to aid in the apprehension of offenders who have killed or seriously 

injured or pose an imminent and credible threat to law enforcement. 

As administrator of the National Blue Alert Network, the COPS Office tracks shootings of officers (both fatal and 

non-fatal) on a monthly basis and prepares annual reports for public dissemination. The goal is to better 

understand the nature and frequency of incidents that could give rise to the issuance of a Blue Alert. These types 

of felonious shooting attacks account for nearly all situations where a Blue Alert would most likely be used. The 

COPS Office also coordinates regular meetings of the Blue Alert Advisory Group and raises awareness of the Blue 

Alert network. 

The primary objectives of the Blue Alert program cooperative agreement are to support the COPS Office’s efforts 

to raise awareness of the Blue Alert system through the production of a public service announcement video, and 

to research, gather, and compile accurate and timely information, from credible sources, about all reported 

incidents where on duty law enforcement throughout the United States, territories, and tribal lands are shot in the 

line of duty. 

According to the COPS Office, 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 violent crime, nonviolent crime, and fear of crime. For a 

complete definition, please see Community Policing Defined which can be found at 

https://cops.usdoj.gov/RIC/ric.php?page=detail&id=COPS-P157. 

Compliance with this Award Owner’s Manual is a condition of your award and this manual is binding guidance. This 

manual will assist your organization with the administrative and financial matters associated with your award. It 

was developed by the COPS Office to ensure that all award recipients clearly understand and meet the 

requirements of their award. Please review this manual carefully because failure to follow award requirements can 

have serious ramifications. Please do not hesitate to contact your COPS Office Grant Manager or the COPS Office 

Response Center at AskCOPSRC@usdoj.gov or 800-421-6770 if you need assistance with the implementation of 

your award. 

Thank you for providing us with the opportunity to work in partnership with you on this important project. 

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FY 2023 COPS Office Blue Alert (BA) Program Award Owner’s Manual 

I. Award Acceptance, Terms, and Conditions 

Your entity must successfully set up their JustGrants account and enroll in the Automated Standard Application for 

Payments (ASAP) to accept and manage their award. Accepting or declining an award can only be done through 

the Justice Grants System (JustGrants). In JustGrants, you may print the PDF of the award for reference. 

Prior to accepting an award, the entity administrator must assign a financial manager, a grant administrator, and 

two Authorized Representatives for each award in JustGrants. COPS Office recipients will have two Authorized 

Representatives assigned to each award; both are required to accept the award. When the Authorized 

Representative(s) log(s) into their JustGrants account, they can view accepted awards and awards that need to be 

accepted. An email notification will also be sent to the Application Submitter, the Authorized Representatives, and 

the Entity Administrator to sign and accept their award. 

To officially accept your award, you must carefully review and electronically sign the Award Package (which 

includes your Award Information, Financial Information, Award Conditions, and Other Award Documents within 

45 days from the date shown on the award letter. Please see the JustGrants training: Grant Award Acceptance 

for detailed information on accepting your award. 

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

package and you have completed all steps in the ASAP system. For more information on drawing down award 

funds, please see the section titled “Accessing Award Funds” in this manual. 

Award package 

The award package indicates your official award funding amount, the award number, the award terms and 

conditions, and the award start and end dates. Please note that the cooperative agreement is incorporated by 

reference into the award document and that by signing the award document, your organization has entered into 

the cooperative agreement with the COPS Office and agrees to abide by all the requirements in the cooperative 

agreement. 

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

package. Print and retain a copy of the award package including the award terms and conditions, the financial 

information, and any other award documents for your records. 

The Project Period start date on the award package means that your organization may be reimbursed for any 

allowable costs incurred on or after this date. The Project Period end date shows the last date that allowable costs 

may be incurred. 

Your award number is in the following format: 15JCOPS-23-GG-XXXXX-XXXX as shown in figure 1 on page 3. The 

COPS Office tracks award information based upon this number. Therefore, it is important to have your 

organization’s award number (or your organization’s System for Award Management (SAM) Unique Entity 

Identifier (UEI) number) readily available when corresponding with the COPS Office. 

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FY 2023 COPS Office Blue Alert (BA) Program Award Owner’s Manual 

Figure 1. Award number example 

Accepting the award 

After you have reviewed the conditions of your award and your organization agrees with these conditions, you are 

ready to accept the award. The Director of the COPS Office has signed the award package indicating approval of 

your award, an obligation of federal funds to your organization, and our commitment to the award. As stated at 

the beginning of this section, to officially begin your award and draw down your funds, the authorized 

representatives (see the Glossary of Terms following the appendices) of your organization must access the 

JustGrants website to log in, review, and electronically sign the award package and, if applicable, the special award 

conditions or high risk conditions in the award package supplement within 45 days of the date shown on the award 

letter. 

Refer to the Job Aid Reference Guide titled Award Acceptance, which will walk you through the necessary steps to 

follow in accepting an award package. 

Who should sign the award package for our organization? 

The authorized representatives are the authorized officials who have ultimate and final responsibility for all 

programmatic and financial decisions regarding this award as representatives of the legal recipient and those who 

have the ultimate signatory authority to sign contracts on behalf of your organization. Typically, these are the 

same executives who signed the forms in your COPS Office application. 

For law enforcement agencies, COPS Office awards require that both the top law enforcement executive (e.g., 

chief of police, sheriff, or equivalent) and the top government executive (e.g., mayor, board chairman, or 

equivalent) sign the award document. For non-law enforcement agencies (universities, etc.), the authorized 

officials are the programmatic and financial officials who have the ultimate signatory authority to sign contracts on 

behalf of your organization. If you have any questions as to who should sign the award, please contact your 

jurisdiction’s local legal advisor. 

If the Authorized Representatives changes between the time of application submission and award receipt, the 

Entity Administrator (EA) will need to update the Authorized Representative in JustGrants. 

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FY 2023 COPS Office Blue Alert (BA) Program Award Owner’s Manual 

By when must the award package be signed? 

Please electronically sign the award package within 45 days of the date on the award letter. Award funds will not 

be released until we have received your organization’s signed award package, your budget has received final 

clearance, and any other relevant award conditions particular to your organization have been satisfied. Failure to 

electronically sign your original award document within the 45-day award acceptance period may result in your 

award being withdrawn and the funds deobligated without additional notification. If your organization requires an 

extension for accepting the award beyond the 45-day acceptance time frame, please contact your COPS Office 

program manager. Be sure to explain the circumstances that prevent your organization from electronically signing 

the award document within the 45-day period and identify the date by which the award package will be signed. 

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

requests to extend the award acceptance period. If you have any questions, please contact your COPS Office 

Program Manager. 

What are the specific rules regarding termination of award funding? 

The COPS Office may suspend, in whole or in part, or terminate funding or impose other sanctions on a recipient 

for the following reasons: 

• Failure to substantially comply with the requirements or objectives of the Public Safety Partnership and 

Community Policing Act of 1994, program guidelines, or other provisions of federal law 

• Failure to make satisfactory progress toward the goals or strategies set forth in the recipient’s application 

• Failure to adhere to award agreement requirements or special conditions 

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

application not being selected for funding 

• Failure to submit required or requested reports 

• Filing a false statement or certification in this application or other report or document 

• Other good cause shown 

Prior to imposing sanctions, the COPS Office will provide reasonable notice to the recipient of its intent to impose 

sanctions and will attempt to resolve the problem informally. Appeal procedures will follow those in the U.S. 

Department of Justice regulations in 28 C.F.R. Part 18. 

Awards terminated because of noncompliance with the federal statutes, regulations, or award terms and 

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

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

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

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

another U.S. Department of Justice award. 

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FY 2023 COPS Office Blue Alert (BA) Program Award Owner’s Manual 

Award terms and conditions 

The award terms and conditions are included in the award package. By accepting this award, you are obtaining 

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

with these terms and conditions (and, if applicable, any additional special or high-risk conditions specific to your 

organization). The section that follows describes, in detail, all of the award conditions, their rationales, and their 

implications. It also addresses many frequently asked questions. If you have additional questions concerning any of 

these award conditions, please contact your COPS Office Program Manager. 

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

drawing down or accessing award funds until the special conditions are satisfied as determined by the COPS Office. 

Any special or high-risk conditions will be included in the award conditions section of the award package. If you 

have questions about the special or high-risk conditions, please contact your assigned COPS Office Program 

Manager. 

Reasons for award terms and conditions 

The requirements of your award are established within 

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

• the 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 programmatic requirements established by the COPS Office. 

A list of source documents for this manual is provided in the appendices. You may request copies of any source 

reference document from 

Office of Administration, Publication Unit 

New Executive Office Building 

725 17th Street NW, Room G 236 

Washington, D.C. 20503 

COPS Office–specific documents may be requested directly from the COPS Office by contacting your COPS Office 

Program Manager. 

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Review of award terms and conditions 

 

 

 

FY 2023 COPS Office Blue Alert (BA) Program Award Owner’s Manual 

By signing the award package to accept this award, your organization agrees to abide by the following award terms 

and conditions: 

1. Reporting Subawards and Executive Compensation Information 

Condition: 

2 C.F.R. Part 170, Appendix A to Part 170 

The recipient agrees to comply with the following requirements of 2 C.F.R. Part 170, Appendix A to Part 170 – 

Award Term: 

I. Reporting Subawards and Executive Compensation 

a. Reporting of first-tier subawards. 

Applicability. Unless you are exempt as provided in paragraph d. of this award term, you must report each action 

that equals or exceeds $30,000 in Federal funds for a subaward to a non-Federal entity or Federal agency (see 

definitions in paragraph e. of this award term). 

2. Where and when to report. 

i. The non-Federal entity or Federal agency must report each obligating action described in paragraph a.1. of this 

award term to http://www.fsrs.gov. 

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

was made. (For example, if the obligation was made on November 7, 2010, the obligation must be reported by no 

later than December 31, 2010.) 

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

posted at http://www.fsrs.gov specify. 

b. Reporting total compensation of recipient executives for non-Federal entities. 

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 Federal award equals or exceeds $30,000 as defined in 2 

CFR 170.320; 

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 CFR 170.320 (and subawards), and 

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

Federal financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320 (and subawards); and, 

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FY 2023 COPS Office Blue Alert (BA) Program Award Owner’s Manual 

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 

http://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 https://www.sam.gov. 

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

c. Reporting of Total Compensation of Subrecipient Executives. 

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

first-tier non-Federal entity subrecipient under this award, you shall report the names and total compensation of 

each of the subrecipient's five most highly compensated executives for the subrecipient's preceding completed fiscal 

year, if— 

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

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

Federal financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320 (and subawards) and, 

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

Federal financial assistance subject to the Transparency Act (and subawards); and 

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

reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or 

section 6104 of the Internal Revenue Code of 1986. (To determine if the public has access to the compensation 

information, see the U.S. Security and Exchange Commission total compensation filings at 

http://www.sec.gov/answers/execomp.htm.) 

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

c.1. of this award term: 

i. To the recipient. 

ii. By the end of the month following the month during which you make the subaward. For example, if a subaward 

is obligated on any date during the month of October of a given year (i.e., between October 1 and 31), you must 

report any required compensation information of the subrecipient by November 30 of that year. 

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FY 2023 COPS Office Blue Alert (BA) Program Award Owner’s Manual 

d. Exemptions. 

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

requirements to report: 

i. Subawards, and 

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

e. Definitions. For purposes of this award term: 

1. Federal Agency means a Federal agency as defined at 5 U.S.C. 551(1) and further clarified by 5 U.S.C. 552(f). 

2. Non-Federal entity means all of the following, as defined in 2 CFR part 25: 

i. A Governmental organization, which is a State, local government, or Indian tribe; 

ii. A foreign public entity; 

iii. A domestic or foreign nonprofit organization; and, 

iv. A domestic or foreign for-profit organization 

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

4. Subaward: 

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

project or program for which you received this award and that you as the recipient award to an eligible 

subrecipient. 

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

(for further explanation, see 2 CFR 200.331). 

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

considers a contract. 

5. Subrecipient means a non-Federal entity or Federal agency that: 

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

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

6. Total compensation means the cash and noncash dollar value earned by the executive during the recipient's or 

subrecipient's preceding fiscal year and includes the following (for more information see 17 CFR 229.402(c)(2)). 

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Why this condition: 

FY 2023 COPS Office Blue Alert (BA) Program Award Owner’s Manual 

To further federal spending transparency, the Federal Funding Accountability and Transparency Act of 2006 

(FFATA) requires, among other things, that information on federal awards (federal financial assistance and 

expenditures) be made available to the public via a single, searchable website, which is www.USASpending.gov. 

Recipients are responsible for reporting their applicable executive compensation and subaward information, and 

the award term provides guidance to report the related information as required by FFATA. 

What you should do: 

At the time of award application, your organization was asked to ensure that it has the necessary processes and 

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

should it receive funding. If your organization received awards of $30,000 or more, you are required to report 

award information on any first-tier subawards totaling $30,000 or more, and, in certain cases, to report 

information on the names and total compensation of the five most highly compensated executives of the recipient 

and first-tier subrecipients. The FFATA Subaward Reporting System (FSRS), accessible via the website at 

www.fsrs.gov, is the reporting tool that your organization will use to capture and report subaward information 

and any executive compensation data required by FFATA. The subaward information entered in FSRS will then be 

displayed on www.USASpending.gov associated with your organization ’s award, furthering federal spending 

transparency. 

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

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

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

2. Restriction on Internal Confidentiality Agreements 

Condition: 

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

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

statement that prohibits or otherwise restricts the lawful reporting of waste, fraud, or abuse to an investigative or 

law enforcement representative of a federal department or agency authorized to receive such information. 

Consolidated Appropriations Act, 2023, Public Law, 117-328, Division E, Title VII, Section 742. 

Why this condition: 

Under the Appropriations Act, neither the recipient, subrecipient, nor any entity that receives a contract or 

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

confidentiality agreement or statement prohibiting or otherwise restricting their lawful reporting of waste, fraud, 

or abuse to an investigative or law enforcement representative of a federal department or agency. This provision 

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

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

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

information), or any other form issued by a federal department or agency governing the nondisclosure of classified 

information. 

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What you should do: 

 

 

FY 2023 COPS Office Blue Alert (BA) Program Award Owner’s Manual 

In accepting this award, the recipient 

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

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

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

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

agreements or statements that prohibit or otherwise restrict (or purport to prohibit or restrict) reporting of 

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

provide prompt written notification to the agency making this award, and will resume such obligations only if 

expressly authorized to do so by that agency. 

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

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

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

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

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

described above; 

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

this representation; 

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

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

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

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

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

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

3. Prohibited Conduct by Recipients and Subrecipients Related to Trafficking in Persons 

(Including Reporting Requirements and COPS Office Authority to Terminate Award) 

Condition: 

The recipient and subrecipient agree to comply with the requirements in 2 C.F.R. § 175.15(b) – Award Term: 

I. Trafficking in persons. 

a. Provisions applicable to a recipient that is a private entity. 

1. You as the recipient, your employees, subrecipients under this award, and subrecipients' employees may not— 

i. Engage in severe forms of trafficking in persons during the period of time that the award is in effect; 

ii. Procure a commercial sex act during the period of time that the award is in effect; or 

iii. Use forced labor in the performance of the award or subawards under the award. 

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FY 2023 COPS Office Blue Alert (BA) Program Award Owner’s Manual 

2. We as the Federal awarding agency may unilaterally terminate this award, without penalty, if you or a 

subrecipient that is a private entity — 

i. Is determined to have violated a prohibition in paragraph a.1 of this award term; or 

ii. Has an employee who is determined by the agency official authorized to terminate the award to have violated a 

prohibition in paragraph a.1 of this award term through conduct that is either— 

A. Associated with performance under this award; or 

B. Imputed to you or the subrecipient using the standards and due process for imputing the conduct of an individual 

to an organization that are provided in 2CFR part 180, “OMB Guidelines to Agencies on Governmentwide 

Debarment and Suspension (Nonprocurement),” as implemented by DOJ at 2 C.F.R. Part 2867. 

b. Provision applicable to a recipient other than a private entity. We as the Federal awarding agency may 

unilaterally terminate this award, without penalty, if a subrecipient that is a private entity— 

1. Is determined to have violated an applicable prohibition in paragraph a.1 of this award term; or 

2. Has an employee who is determined by the agency official authorized to terminate the award to have violated an 

applicable prohibition in paragraph a.1 of this award term through conduct that is either— 

i. Associated with performance under this award; or 

ii. Imputed to the subrecipient using the standards and due process for imputing the conduct of an individual to an 

organization that are provided in 2 CFR part 180, “OMB Guidelines to Agencies on Governmentwide Debarment 

and Suspension (Nonprocurement),” as implemented by DOJ at 2 C.F.R. Part 2867. 

c. Provisions applicable to any recipient. 

1. You must inform us immediately of any information you receive from any source alleging a violation of a 

prohibition in paragraph a.1 of this award term. 

2. Our right to terminate unilaterally that is described in paragraph a.2 or b of this section: 

i. Implements section 106(g) of the Trafficking Victims Protection Act of 2000 (TVPA), as amended 22 U.S.C. 

7104(g), and 

ii. Is in addition to all other remedies for noncompliance that are available to us under this award. 

3. You must include the requirements of paragraph a.1 of this award term in any subaward you make to a private 

entity. 

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FY 2023 COPS Office Blue Alert (BA) Program Award Owner’s Manual 

d. Definitions. For purposes of this award term: 

1. “Employee” means either: 

i. An individual employed by you or a subrecipient who is engaged in the performance of the project or program 

under this award; or 

ii. Another person engaged in the performance of the project or program under this award and not compensated by 

you including, but not limited to, a volunteer or individual whose services are contributed by a third party as an inkind contribution toward cost sharing or matching requirements. 

2. “Forced labor” means labor obtained by any of the following methods: the recruitment, harboring, 

transportation, provision, or obtaining of a person for labor or services, through the use of force, fraud, or coercion 

for the purpose of subjection to involuntary servitude, peonage, debt bondage, or slavery. 

3. “Private entity”: 

i. Means any entity other than a State, local government, Indian tribe, or foreign public entity, as those terms are 

defined in 2 CFR 175.25. 

ii. Includes: 

A. A nonprofit organization, including any nonprofit institution of higher education, hospital, or tribal organization 

other than one included in the definition of Indian tribe at 2 CFR 175.25(b). 

B. A for-profit organization. 

4. “Severe forms of trafficking in persons,” “commercial sex act,” and “coercion” have the meanings given at 

section 103 of the TVPA, as amended (22 U.S.C. 7102). 

Why this condition: 

The purpose of this government-wide award term is to implement the requirement in paragraph (g) of section 106 

of the Trafficking Victims Protection Act of 2000 (TVPA), as amended, (22 U.S.C. § 7104(g)). The award term 

authorizes the COPS Office to terminate an award to a private entity, without penalty, if the recipient or a 

subrecipient: 

(a) Engages in severe forms of trafficking in persons during the period of time that the award is in effect; 

(b) Procures a commercial sex act during the period of time that the award is in effect; or 

(c) Uses forced labor in the performance of the award or subawards under the award. 

2 C.F.R. § 175.10. 

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What you should do: 

   

FY 2023 COPS Office Blue Alert (BA) Program Award Owner’s Manual 

During the time that the award is in effect, recipients, subrecipients at any tier, and their employees must not 

engage in severe forms of trafficking in persons, procure commercial sex acts, or use forced labor in the 

performance of the award. The recipient must include the above award term in any subaward to a private entity. 

The recipient must also promptly notify the COPS Office of any information received from any source alleging a 

violation of prohibited conduct described in the award term. 

4. Duplicative Funding 

Condition: 

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

same item or service also funded under this award. 

Why this condition: 

This award was made to your organization for approved project costs that are not funded with other funds, 

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

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

What you should do: 

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

this award, please contact your COPS Office Program Manager. If necessary, the COPS Office will work with your 

organization to reprogram funding for items or services that are allowable under this award program. 

5. Termination 

Condition: 

Recipient understands and agrees that the COPS Office may terminate funding, in whole or in part, for the following 

reasons: 

(1) When the recipient fails to comply with the terms and conditions of a Federal award. 

(2) When an award no longer effectuates the program goals or agency priorities, to the extent such termination is 

authorized by law. 

(3) When the recipient agrees to the termination and termination conditions. 

(4) When the recipient provides the COPS Office written notification requesting termination including the reasons, 

effective date, and the portion of the award to be terminated. The COPS Office may terminate the entire award if 

the remaining portion will not accomplish the purposes of the award. 

(5) Pursuant to any other termination provisions included in the award. 

2. C.F.R. § 200.340.

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Why this condition: 

FY 2023 COPS Office Blue Alert (BA) Program Award Owner’s Manual 

This condition sets forth the circumstances under which your federal award may be terminated. 

What you should do: 

Carefully review the reasons for termination in this condition to ensure that your organization is aware of when 

award funding may be terminated. If you have any questions regarding the provisions, please contact your COPS 

Office Program Manager. 

6. Award Owner’s Manual 

Condition: 

The recipient agrees to comply with the terms and conditions in the applicable 2023 COPS Office Program Award 

Owner's Manual; DOJ Grants Financial Guide; COPS Office statute (34 U.S.C. § 10381, et seq.) as applicable; 

Students, Teachers, and Officers Preventing (STOP) School Violence Act of 2018 (34 U.S.C. § 10551, et seq.) as 

applicable; the requirements of 2 C.F.R. Part 200 (Uniform Administrative Requirements, Cost Principles, and Audit 

Requirements for Federal Awards) as adopted by the U.S. Department of Justice in 2 C.F.R. § 2800.101; 48 C.F.R. 

Part 31 (FAR Part 31) as applicable (Contract Cost Principles and Procedures); the Cooperative Agreement as 

applicable; representations made in the application; and all other applicable program requirements, laws, orders, 

regulations, or circulars. 

Failure to comply with one or more award requirements may result in remedial action including, but not limited to, 

withholding award funds, disallowing costs, suspending, or terminating the award, or other legal action as 

appropriate. 

Should any provision of an award condition be deemed invalid or unenforceable by its terms, that provision will be 

applied to give it the maximum effect permitted by law. Should the provision be deemed invalid or unenforceable in 

its entirety, such provision will be severed from this award. 

Why this condition: 

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

your award. Your organization will be responsible for the information and rules contained in this manual and for 

implementing your award in compliance with the applicable terms, conditions, and regulations. Please note that in 

accordance with 2 C.F.R. § 200.101(a)(2), the COPS Office applies 2 C.F.R. Subparts A through E to for-profit (or 

commercial) entities. More detailed guidance regarding any particular award requirement or your organization’s 

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

What you should do: 

Please read this entire BA Award Owner’s Manual carefully prior to signing the award package. If you have any 

questions, please contact your COPS Office Program Manager. When accepting your award, you should ensure that 

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

14 
7. Authorized Representative Responsibility 

Condition: 

FY 2023 COPS Office Blue Alert (BA) Program Award Owner’s Manual 

The recipient understands that, in accepting this award, the Authorized Representatives declare and certify, among 

other things, that they possess the requisite legal authority to accept the award on behalf of the recipient entity 

and, in so doing, accept (or adopt) all material requirements throughout the period of performance under this 

award. The recipient further understands, and agrees, that it will not assign anyone to the role of Authorized 

Representative during the period of performance under the award without first ensuring that the individual has the 

requisite legal authority. 

Why this condition: 

The Authorized Representatives are responsible for reviewing and accepting a recipient’s COPS Office award and 

must possess the legal authority to accept awards. This action binds the recipient to the award requirements. 

What you should do: 

The recipient must ensure it assigns two officials as the required Authorized Representatives for its COPS Office 

award who have ultimate and final responsibility for all programmatic and financial decisions for the agency, as the 

legal recipient. For guidance on who should be assigned as your agency’s two Authorized Representatives, please 

see the Award Acceptance, Terms, and Conditions section of the Award Owner’s Manual. 

8. Award Monitoring Activities 

Condition: 

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

compliance with their award conditions and other applicable statutes and regulations. The COPS Office is also 

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

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

by the U.S. Department of Justice. Award monitoring activities conducted by the COPS Office include site visits, 

enhanced office-based grant reviews, alleged noncompliance reviews, financial and programmatic reporting, and 

audit resolution. As a COPS Office award recipient, you agree to cooperate with and respond to any requests for 

information pertaining to your award. This includes all financial records, such as general accounting ledgers and all 

supporting documents. All information pertinent to the implementation of the award is subject to agency review 

throughout the life of the award, during the close-out process and for three-years after submission of the final 

expenditure report. 34 U.S.C. § 10385(a) and 2 C.F.R. §§ 200.334 and 200.337. 

Why this condition: 

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

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

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

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

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What you should do: 

 

FY 2023 COPS Office Blue Alert (BA) Program Award Owner’s Manual 

Your organization may be required to accommodate routine and nonroutine efforts by the COPS Office, or an 

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

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

awards are as follows: 

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

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

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

ii. To review the recipient’s community policing strategies 

iii. To provide customer service and technical assistance 

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

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

more days. Recipients will have an opportunity to resolve any identified noncompliance issues while onsite or, if necessary, following the site visit. In addition, recipients will also have an opportunity to seek 

customer service and/or technical assistance on the implementation of their award. 

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

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

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

purpose of the EOBGR is threefold: 

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

ii. To review the recipient’s community policing strategies 

iii. To provide customer service and technical assistance 

If selected, the recipient will be notified in writing in advance of any EOBGR of its COPS Office awards. This 

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

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

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

implementation of their award. 

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

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

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

Office of General Counsel (OGC), although any COPS Office component may refer a noncompliance issue to 

the ANCR. External noncompliance referrals may be received from anonymous complainants, media, citizens, 

law enforcement agencies, other Federal agencies, or other outside sources. On a case-by-case basis, COPS 

Office ANCR staff members determine the appropriate course of action to take to investigate complaints of 

alleged noncompliance. This may include phone or letter contact or a site visit by COPS Office staff or the OIG. 

Each ANCR referral is resolved as a violation or nonviolation based upon the preponderance of the supporting 

documentation or other facts to determine if the award recipient is in compliance or noncompliance. 

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

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

noncompliance or poor accountability practices, the COPS Office Grant Monitoring Division Audit Liaison 

Section will work with your organization to resolve and close these recommendations. Remedies to close 

recommendations may include repayment of award funds, providing adequate documentation to 

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FY 2023 COPS Office Blue Alert (BA) Program Award Owner’s Manual 

demonstrate compliance, or providing proof of policies or procedures that were created or revised to directly 

address the causes for the noncompliance as a proactive preventative measure to avoid future 

noncompliance. 

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

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

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

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

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

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

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

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

mandatory completion of the Office of Justice Programs Financial Management Training and being subject to 

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

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

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

Standards and Guidelines and Award Owner’s Manual for the year in which the award was made. Recipients 

should also contact their COPS Office at any time during the life of a COPS Office award with questions concerning 

award conditions, terms, or requirements to seek guidance to avoid noncompliance. It is necessary for recipients 

to maintain all relevant documentation (administrative, financial, and programmatic) used to develop the 

application and implement the award that may be necessary or required to demonstrate award compliance for a 

period of three-years from the date of submission of the final expenditure report. For more information, please 

contact the COPS Office Response Center at AskCopsRC@usdoj.gov. 

9. Contract Provision 

Condition: 

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

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

Awards. Please see appendices in the Award Owner’s Manual for a full text of the contract provisions. 

Why this condition: 

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

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

public interest and ensures the proper management and use of federal funds as it relates to contracts entered into 

by the recipient. 

What you should do: 

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

required under 2 C.F.R. Appendix II to Part 200—Contract Provisions for Non-Federal Entity Contracts Under 

Federal Awards in the appendices of this manual. 

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10. Assurances and Certifications 

Condition: 

 

 

 

 

 

 

 

 

 

 

 

 

FY 2023 COPS Office Blue Alert (BA) Program Award Owner’s Manual 

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

as part of its application. 

Why thiscondition: 

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

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

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

What youshould do: 

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

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

award terms and conditions outlined in the Assurances and Certifications. Please read these documents carefully, 

because signatures on these documents are treated as a material representation of fact upon which reliance will 

be placed when the U.S. Department of Justice determines to make an award. Additional copies of the Assurances 

and Certifications forms are contained in the appendices of this manual. If you have any questions about the 

Assurances and Certifications, please contact your assigned COPS Office Program Manager. 

11. Conflict of Interest 

Condition: 

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

potential conflict of interest affecting the awarded federal funding in accordance with 2 C.F.R. § 200.112. 

Why this condition: 

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

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

and in appearance. 

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

recommendations that involve any of the following people or groups: 

• an immediate family member 

• a partner 

• an organization in which they are serving as an officer, director, partner, or employee 

• any person or organization with whom they are negotiating or who has an arrangement concerning 

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

transaction with the recipient or subrecipient 

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FY 2023 COPS Office Blue Alert (BA) Program Award Owner’s Manual 

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

appearance of 

• using your official position for private gain; 

• giving special treatment to any person; 

• losing complete independence or objectivity; 

• making an official decision outside official channels; or 

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

What you should do: 

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

interest that may affect your federal award. 

12. Debarment and Suspension 

Condition: 

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

from participation in Federal assistance programs. 2 C.F.R. Part 180 (Governmentwide Nonprocurement Debarment 

and Suspension) and 2 C.F.R. Part 2867 (DOJ Nonprocurement Debarment and Suspension). 

Why this condition: 

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

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

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

parties. For details regarding the debarment and suspension requirements, please see 2 C.F.R. Part 180 

(Governmentwide Nonprocurement Debarment and Suspension), and 2 C.F.R. Part 2867 (DOJ Nonprocurement 

Debarment and Suspension.) 

What you should do: 

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

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

whom you intend to do business are not excluded or disqualified from participation in federal assistance programs. 

In addition, you must include a term or condition in the contract or subaward requiring the vendor or subrecipient 

to comply with subpart C of the OMB guidance in 2 C.F.R. Part 180 (Governmentwide Nonprocurement Debarment 

and Suspension) and subpart C of 2 C.F.R. Part 2867 (DOJ Nonprocurement Debarment and Suspension). 

13. Employment Eligibility 

Condition: 

The recipient agrees to complete and keep on file, as appropriate, the Department of Homeland Security, U.S. 

Citizenship and Immigration Services (USCIS) 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. Immigration Reform 

and Control Act of 1986 (IRCA), Public Law 99-603. 

19 
Why this condition: 

FY 2023 COPS Office Blue Alert (BA) Program Award Owner’s Manual 

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 United States 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 United States 

Citizenship and Immigration Services. For further information about this requirement, please visit 

https://www.uscis.gov/i-9-central. 

14. Enhancement of Contractor Protection from Reprisal for Disclosure of Certain Information 

Condition: 

Recipients and subrecipients agree not to discharge, demote, or otherwise discriminate against an employee as 

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

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

federal contract or award; a substantial and specific danger to public health or safety; or a violation of law, rule, or 

regulation related to a Federal contract (including the competition for or negotiation of a contract) or award. 

Recipients and subrecipients also agree to provide to their employees in writing (in the predominant native 

language of the workforce) of the rights and remedies provided in 41 U.S.C. § 4712. Please see appendices in the 

Award Owner’s Manual for a full text of the statute. 

Why this condition: 

Under “Enhancement of contractor protection from reprisal for disclosure of certain information” (41 U.S.C. § 

4712), recipients and subrecipients are prohibited from taking reprisal actions against employees for certain 

whistleblowing activities in connection with federal awards and contracts. The law protects the public interest and 

ensures the proper management and use of federal funds. 

What you should do: 

Recipients and subrecipients must not take reprisal actions against an employee for disclosing misconduct under 

federal contracts and awards to certain persons and entities. 

Recipients and subrecipients are prohibited from discharging, demoting, or otherwise discriminating against an 

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

• gross mismanagement of a federal contract or award; 

• a gross waste of federal funds; 

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

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

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

of a contract) or award. 

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In addition, the disclosure must also have been made to 

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

• an inspector general; 

• the Government Accountability Office; 

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

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

• a court or grand jury; or 

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

responsibility 

• to investigate, discover, or address misconduct. 

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

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

award. 

Recipients and subrecipients must inform their employees in writing, in the predominant language of the 

workforce, of employee whistleblower rights, protections, and remedies under 41 U.S.C. § 4712. Recipients and 

subrecipients who wish to use the Department of Justice, Office of Inspector General whistleblower information 

brochure to inform their employees of their rights, may obtain a copy at 

https://oig.justice.gov/sites/default/files/2020-04/NDAA-brochure.pdf. 

Please see the appendices in this manual for a full text of the “Enhancement of contractor protection from reprisal 

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

15. Equal Employment Opportunity Plan (EEOP) 

Condition: 

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

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

Why this condition: 

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

Control and Safe Streets Act of 1968 (Safe Streets Act), the statute that 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 is a government agency or private 

business and has received a single award for $25,000 or more and has fifty or more employees (counting both fulland part-time employees but excluding political appointees), then it has to prepare a Utilization Report and submit 

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FY 2023 COPS Office Blue Alert (BA) Program Award Owner’s Manual 

it to the Office for Civil Rights (OCR) within 120 days from the date of the award. Although the OCR has discretion 

to review all submitted Utilization Reports, it will review the Utilization Reports from recipients that receive an 

award of $500,000 or more. 

To begin developing a Utilization Report, please consult the OCR's website at 

https://ojp.gov/about/ocr/eeop.htm and click EEOP Reporting Tool Login. Additional assistance can be found 

online at the bottom of the same webpage by clicking the EEO Reporting Tool Job Aid and Frequently Asked 

Questions. 

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, however, your organization must certify that it is exempt by logging into the 

EEO Reporting Tool on the OCR website at https://ojp.gov/about/ocr/eeop.htm, providing the contact and 

organizational profile information, and then submitting a Certificate of Exemption. 

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

telephone at 202-616-1771or by email at EEOPforms@usdoj.gov. 

16. False Statements 

Condition: 

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

debarment from participating in federal awards or contracts, and/or any other remedy available by law. 31 U.S.C. § 

3729–3733. 

Why this condition: 

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

financial and programmatic reports, or other award documents. 

What you should do: 

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

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

17. Federal Civil Rights 

Condition: 

The Applicant understands that the federal statutes and regulations applicable to the award (if any) made by the 

Department based on the application specifically include statutes and regulations pertaining to civil rights and 

nondiscrimination, and, in addition— 

1. the Applicant understands that the applicable statutes pertaining to civil rights will include section 601 of the 

Civil Rights Act of 1964 (42 U.S.C. § 2000d); section 504 of the Rehabilitation Act of 1973 (29 U.S.C. § 794); 

section 901 of the Education Amendments of 1972 (20 U.S.C. § 1681); and section 303 of the Age 

Discrimination Act of 1975 (42 U.S.C. § 6102); 

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FY 2023 COPS Office Blue Alert (BA) Program Award Owner’s Manual 

2. the Applicant understands that the applicable statutes pertaining to nondiscrimination may include section 

809(c) of Title I of the Omnibus Crime Control and Safe Streets Act of 1968 (34 U.S.C. § 10228(c)); section 

1407(e) of the Victims of Crime Act of 1984 (34 U.S.C. § 20110(e)); section 299A(b) of the Juvenile Justice and 

Delinquency Prevention Act of 2002 (34 U.S.C. § 11182(b)); and that the grant condition set out at section 

40002(b)(13) of the Violence Against Women Act (34 U.S.C. § 12291(b)(13)), which will apply to all awards 

made by the Office on Violence Against Women, also may apply to an award made otherwise; 

3. the Applicant understands that it must require any subrecipient to comply with all such applicable statutes 

(and associated regulations); and 

4. on behalf of the Applicant, I make the specific assurances set out in 28 C.F.R. §§ 42.105 and 42.204. 

The Applicant also understands that (in addition to any applicable program-specific regulations and to applicable 

federal regulations that pertain to civil rights and nondiscrimination) the federal regulations applicable to the 

award (if any) made by the Department based on the application may include, but are not limited to, 2 C.F.R. Part 

2800 (the DOJ "Part 200 Uniform Requirements") and 28 C.F.R. Parts 22 (confidentiality - research and statistical 

information), 23 (criminal intelligence systems), 38 (regarding faith-based or religious organizations participating in 

federal financial assistance programs), and 46 (human subjects protection). 

Why this condition: 

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

federal civil rights and nondiscrimination laws. As a result, recipients are required to comply with the civil rights 

and nondiscrimination laws referenced above. A hold may be placed on your award if it is deemed that your 

organization is not in compliance with federal civil rights laws or is not cooperating with an ongoing federal civil 

rights investigation. If a hold is placed on your award, you will not be able to obligate or draw down federal funds 

under your organization’s COPS Office award until you comply with federal civil rights laws or cooperate with any 

ongoing federal civil rights investigation. 

What you should do: 

The Office for Civil Rights (OCR), Office of Justice Programs, U.S. Department of Justice has been delegated the 

responsibility for ensuring that recipients of federal financial assistance from the COPS Office are not engaged in 

discrimination prohibited by law. Included with your award package is a memorandum from the OCR, which 

addresses the federal civil rights statutes and regulations applicable to your award. You should review this 

memorandum to understand your organization’s civil rights responsibilities. For an overview of the civil rights laws 

and nondiscrimination requirements in connection with your award, please see 

https://www.ojp.gov/program/civil-rights/overview. 

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

federal civil rights and nondiscrimination laws 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. 

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18. Mandatory Disclosure 

Condition: 

FY 2023 COPS Office Blue Alert (BA) Program Award Owner’s Manual 

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

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

federal funding. Recipients that receive an award over $500,000 must also report certain civil, criminal, or 

administrative proceedings in SAM and are required to comply with Term and Condition for Recipient Integrity and 

Performance Matters as outlined in 2 C.F.R part 200, Appendix XII to Part 200. Failure to make required disclosures 

can result in any of the remedies, including suspension and debarment, described in 2 C.F.R. § 200.339. 2 C.F.R. § 

200.113. 

Why this condition: 

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

gratuity that may affect the awarded federal funds. In addition, recipients that receive an award of more than 

$500,000 must also report certain civil, criminal, or administrative proceedings in SAM and are required to comply 

with the Term and Condition for Recipient Integrity and Performance Matters as set out in 2 C.F.R. part 200, 

Appendix XII to Part 200. This condition advises your organization of the requirement and the consequences of 

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

What you should do: 

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

fraud, bribery, or gratuity that may affect your federal award and, if applicable, report certain civil, criminal, or 

administrative proceedings in SAM. 

19. Reports/Performance Goals 

Condition: 

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

responsible for submitting semi-annual programmatic performance reports that describe project activities during 

the reporting period and quarterly Federal Financial Reports using Standard Form 425 (SF-425). 2 C.F.R. §§ 

200.328–200.329. The performance report is used to track your agency’s progress toward implementing 

community policing strategies and to collect data to gauge the effectiveness of increasing your agency’s community 

policing capacity through COPS Office funding. The Federal Financial Report is used to track the expenditures of the 

recipient’s award funds on a cumulative basis throughout the life of the award. 

Why this condition: 

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

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

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

our programs and recipients. 

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What you should do: 

 

 

 

 

FY 2023 COPS Office Blue Alert (BA) Program Award Owner’s Manual 

This award condition is designed to make your organization aware of reporting requirements associated with BA 

awards. Semi-annual programmatic performance reports and a final programmatic performance report must be 

submitted directly to the COPS Office through the JustGrants system. Your organization 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 within120 days after the end of the award period. This report reflects the actual 

cumulative federal expenditures incurred during the funding period, and the remaining unobligated balance of 

federal funds. Under federal regulations, your organization is not permitted to draw down federal funding for costs 

incurred after the official award end date; however, you will have a 120-day grace period after the award end date 

during which you can drawdown funds for eligible expenditures incurred before the award end date. Organizations 

with more than one delinquent programmatic or financial report submission per fiscal year may be subject to 

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

improve compliance with reporting. These reports are discussed in greater detail in the section titled “Reports” in 

this manual. All reports should be submitted within the deadlines given to avoid suspension or possible 

termination of award funds or other remedial actions; failure to submit required reports may also impact future 

funding opportunities. 

20. Recipient Integrity and Performance Matters 

Condition: 

2 C.F.R. Part 200, Appendix XII to Part 200 

For awards over $500,000, the recipient agrees to comply with the following requirements of 2 C.F.R. Part 200, 

Appendix XII to Part 200 – Award Term and Condition for Recipient Integrity and Performance Matters: 

Reporting of Matters Related to Recipient Integrity and Performance 

1. General Reporting Requirement 

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

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

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

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

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

Performance and Integrity Information System (FAPIIS)) about civil, criminal, or administrative 

proceedings described in paragraph 2. of this award term and condition. This is a statutory 

requirement under section 872 of Public Law 110-417, as amended (41 U.S.C. 2313). As required by 

section 3010 of Public Law 111-212, all information posted in the designated integrity and 

performance system on or after April 15, 2011, except past performance reviews required for Federal 

procurement contracts, will be publicly available. 

2. Proceedings About Which You Must Report 

Submit the information required about each proceeding that: 

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

procurement contract from the Federal Government; 

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

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FY 2023 COPS Office Blue Alert (BA) Program Award Owner’s Manual 

c. Is one of the following: 

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

term and condition; 

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

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

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

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

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

or 

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

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

term and condition; 

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

acknowledgment of fault on your part; and 

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

proceeding does not conflict with applicable laws and regulations. 

3. Reporting Procedures 

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

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

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

information through SAM because you were required to do so under Federal procurement contracts 

that you were awarded. 

4. Reporting Frequency 

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

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

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

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

award, and cooperative agreement awards with a cumulative total value greater than $10,000,000 

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

5. Definitions 

For purposes of this award term and condition: 

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

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

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

Board of Contract Appeals proceedings). This includes proceedings at the Federal and State level 

but only in connection with performance of a Federal contract or award. It does not include 

audits, site visits, corrective plans, or inspection of deliverables. 

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

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

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

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

includes— 

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

match; and 

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

yet exercised. 

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Why this condition: 

FY 2023 COPS Office Blue Alert (BA) Program Award Owner’s Manual 

Under 2 C.F.R. § 200.211(c)(1)(iii), recipients of awards in excess of $500,000 are required to report certain civil, 

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

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

is to protect the public interest and to ensure proper management in federal activities by conducting business with 

responsible parties. 

What you should do: 

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

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

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

information about the reported proceedings is made available in SAM via the designated integrity and 

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

During the award period, you must either report for the most recent five year period new information about any 

proceeding(s) that you have not reported previously or affirm that there is no new information to report. You must 

also disclose semiannually any information about criminal, civil, and administrative proceedings. 

21. System for Award Management (SAM) and Universal Identifier Requirements 

Condition: 

The recipient agrees to comply with the following requirements of 2 C.F.R. Part 25, Appendix A to Part 25 – Award 

Term: 

I. System for Award Management and Universal Identifier Requirements 

A. Requirement for System for Award Management 

Unless you are exempted from this requirement under 2 CFR 25.110, you as the recipient must maintain current 

information in the SAM. This includes information on your immediate and highest level owner and subsidiaries, as 

well as on all of your predecessors that have been awarded a Federal contract or Federal financial assistance within 

the last three years, if applicable, until you submit the final financial report required under this Federal 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 

Federal award term. 

B. Requirement for Unique Entity Identifier 

If you are authorized to make subawards under this Federal 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 until the entity has provided its Unique Entity Identifier to you. 

2. May not make a subaward to an entity unless the entity has provided its Unique Entity Identifier to you. 

Subrecipients are not required to obtain an active SAM registration, but must obtain a Unique Entity Identifier. 

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FY 2023 COPS Office Blue Alert (BA) Program Award Owner’s Manual 

C. Definitions 

For purposes of this term: 

1. System for Award Management (SAM) means the Federal repository into which a recipient 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 (currently at https://www.sam.gov). 

2. Unique Entity Identifier means the identifier assigned by SAM to uniquely identify business entities. 

3. Entity includes non-Federal entities as defined at 2 CFR 200.1 and also includes all of the following, for purposes 

of this part: 

a. A foreign organization; 

b. A foreign public entity; 

c. A domestic for-profit organization; and 

d. A Federal agency. 

4. Subaward has the meaning given in 2 CFR 200.1. 

5. Subrecipient has the meaning given in 2 CFR 200.1. 

Why this condition: 

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

unique entity identifier for federal financial assistance applicants, as well as recipients and their direct 

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

and recipients. 

What you should do: 

At the time of award application, your organization was required to provide its SAM unique entity identifier and be 

registered in the SAM database. 

Your organization should continue to use the same unique entity identifier provided in your award application and 

update, as needed, the information associated with that unique entity identifier. If your organization is authorized 

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

entity identifiers. 

Your organization 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 organization 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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22. Additional High-Risk Recipient Requirements 

Condition: 

FY 2023 COPS Office Blue Alert (BA) Program Award Owner’s Manual 

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

performance period if the awarding agency determines that the recipient is a high-risk recipient. 2 C.F.R. § 200.208. 

Why this condition: 

In accordance with 2 C.F.R. § 200.208, the DOJ may impose additional requirements specific to your award, as 

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

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

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

financial award administration training, on-site monitoring, prior approval for expenditure of funds, quarterly 

progress reports, separate bank accounts, or other requirements. 

What you should do: 

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

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

high-risk recipient. 

23. Allowable Costs 

Condition: 

Allowable Costs: The funding under this award is for the payment of approved costs for program-specific purposes. 

The allowable costs approved for your agency's award are limited to those listed in your agency’s award package. 

In accordance with 2 C.F.R. § 200.400(g), the recipient must forgo any profit or management fee. Your agency may 

not use award funds for any costs not identified as allowable in the award package. 

Why this condition: 

Funding may only be used to pay for items and services approved by the COPS Office as reflected in the financial 

information section of the award package. FY 2023 BA funds must be used as outlined in the approved award 

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

forth in 2 C.F.R. Part 200, Subpart E to for-profit (or commercial) entities instead of the Federal Acquisition 

Regulation (FAR) at 48 C.F.R. Subpart 31.2. In addition, in accordance with 2 C.F.R. § 200.400(g), the recipient must 

forgo any profit or management fee. 

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

start date and comply with the guidelines described in the section “Accessing Award Funds” in this manual. The 

section “Financial Record Maintenance” outlines the types of records you must keep to document that you 

followed this award condition. Purchases must also reflect the costs that were approved in the award package. 

What you should do: 

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

categories that may appear. If your organization’s operating budget categories differ from those approved in the 

award package, your organization should maintain a cross-reference to clearly identify where the funds were 

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FY 2023 COPS Office Blue Alert (BA) Program Award Owner’s Manual 

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

application’s budget summary and approved by the COPS Office through the issuance of the award package, this 

award condition will be satisfied. The award number should be indicated on all budgetary documentation including 

purchase orders, receipts, and other documentation. All recipients should keep and maintain the most recent, 

approved version of their 2023 BA application and award package for future reference. For recipients that are 

state, local, or Tribal Government entities, requests may be made only for items or positions that are not 

otherwise budgeted with state, local, or Bureau of Indian Affairs (BIA) funds and would not be funded in the 

absence of the BA award. 

Civilian Personnel (salaries and benefits) 

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

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

under the law or rules governing hiring by your organization. Salary payments must be based on payroll records. 

Time and attendance records or the equivalent must support payroll records. A recipient may not use federal 

funds to pay total cash compensation to any employee of the recipient at a rate that exceeds 110 percent of the 

maximum annual salary payable to a member of the Federal Government’s Senior Executive Service (SES) at an 

agency with a Certified SES Performance Appraisal System for that year. The 2023 salary table for SES employees is 

available at the Office of Personnel Management website: https://www.opm.gov/policy-data-oversight/payleave/salaries-wages/2023/executive-senior-level. 

If any civilian personnel are employed on a part-time or temporary basis, your organization must specify the 

percentage of time that each person is working solely on the project identified in your organization’s BA proposal. 

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

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

benefits include FICA, Social Security, health insurance, life insurance, vacation, sick leave, retirement, worker’s 

compensation, and unemployment insurance. 

Travel 

Travel costs for transportation, lodging, meals, temporary dependent care, and incidental expenses incurred by 

personnel while on official business, such as attendance at an award-related meeting or conference when travel is 

further than 50 miles from program location, are allowable with prior approval from the COPS Office. In 

accordance with 2 C.F.R. § 200.475, travel costs for official business directly related to the award will be 

reimbursed based upon the recipient’s written travel reimbursement policies if the costs are reasonable and 

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

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

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

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

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

contract airfare (if authorized and available), or standard coach airfare—unless otherwise authorized in advance by 

the COPS Office. 

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

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

award; (2) are consistent with the recipient’s documented travel policy for all entity travel; and (3) are only 

temporary during the travel period. 

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FY 2023 COPS Office Blue Alert (BA) Program Award Owner’s Manual 

The BA program will fund award-related travel costs for the recipient agency or other (nonrecipient) individuals to 

attend training and technical assistance conferences, seminars, or classes or to visit a site specified in the 

application. Allowable award-related travel costs that were included in the application have been approved by the 

COPS Office as part of the BA award and final budget. Your organization should keep timely and accurate records 

of all travel expenses. If at any time these costs change, you should immediately contact your COPS Office Program 

Manager. 

Equipment 

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

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

meet the guidelines described in 2 C.F.R. Part 200, Subpart E – Cost Principles. For recipients that are state, local, 

or tribal government entities, award-funded equipment and technology must supplement, not supplant (replace), 

locally funded items that would have been funded even in the absence of this award. Funds currently budgeted or 

obligated for the purchase of equipment and technology may not be reallocated to other purposes or reimbursed 

upon receiving the award. Organizations should establish practices to receive, label, inventory, and track the 

location of all purchases made for award-funded equipment and/or technology. 

Supplies 

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

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

Items must meet the guidelines described in 2 C.F.R. Part 200, Subpart E – Cost Principles. For any training awards, 

the COPS Office allows the purchase of flash drives or USB devices to distribute training materials with approval 

prior to purchasing. 

Sub-awards/Procurement Contracts 

The applicant should distinguish clearly between subawards and contracts in allocating any funds to other entities. 

Pursuant to 2 C.F.R. § 200.331, a subaward is for the purpose of carrying out a portion of the federal award, and a 

contract is for the purpose of obtaining goods and services for the recipient’s own use. The substance of the 

relationship is more important than the form of the agreement in determining whether the recipient of the passthrough funds is a subrecipient or a contractor. Keep in mind that the awarding and monitoring of contracts must 

follow documented procurement procedures, including full and open competition, pursuant to the procurement 

standards in 2 C.F.R. §§ 200.318- 200.327, and the issuance of subawards must meet the requirements of 2 C.F.R. § 

200.332. 

Any recipient of an award will be responsible for monitoring subawards and contracts in accordance with all 

applicable statutes, regulations, and guidelines. Primary recipients will be responsible for oversight of subrecipient 

or partner spending and monitoring specific performance measures and outcomes attributable to the use of COPS 

Office funds. 

All sole-source procurements of goods and services (those not awarded competitively) in excess of $250,000 

require prior approval from the COPS Office. Please see the Sole Source Justification fact sheet, which can be found 

at the Award Management Materials web page. 

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FY 2023 COPS Office Blue Alert (BA) Program Award Owner’s Manual 

Consultant expenses include goods or services that directly contribute to the implementation or enhancement of 

the project. The use of a consultant should be more economical than direct employment. Compensation for 

individual consultant services procured under a COPS Office award must be reasonable and allocable in accordance 

with Office of Management and Budget (OMB) cost principles, and consistent with that paid for similar services in 

the marketplace. The services should be commensurate with the rate or salary paid by the primary employer. 

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

a consultant receives from his or her primary employer, as applicable, up to $650 per day (or $81.25 per hour). 

Please note that this does not mean that the rate can or should be as high as $650 for all consultants. If individuals 

receive fringe benefits from their primary employer, such fringe benefit costs should not be included in the 

calculation of consultant rates. A consultant rate justification will need to be submitted for review and approval to 

the COPS Office for any consultants paid more than $650 per day prior to incurring any costs. Determinations of 

approval will be made on a case-by-case basis. Please see the Consultant Rate Justification fact sheet, which can be 

found at the Award Management Materials web page. 

Consultant travel costs follow the same guidelines as the “Travel” category but should be costs associated with 

consultant travel. These costs should not be reflected in the “Civilian Personnel” or “Travel” categories. 

All other consultant-related expenses should be included in this section such as supply and equipment requests. 

The same guidelines as previously stated in the above sections will apply. 

If an applicant proposes a program or activity that would deliver services or benefits to individuals, the costs of 

taking reasonable steps to provide meaningful access to those services or benefits for individuals with limited 

English proficiency may be allowable. Reasonable steps to provide meaningful access to services or benefits may 

include interpretation or translation services, where appropriate. For additional information, see the “Civil Rights 

Compliance.” 

Other costs 

Items that do not conform to any of the category descriptions specific above but that have a direct correlation to 

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

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

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

further assistance. 

24. Community Policing 

Condition: 

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

award application. All equipment, technology, training, and civilian positions awarded under your agency’s COPS 

Office award must be linked to the implementation or enhancement of community policing. 34 U.S.C. § 10382 

(c)(10). 

32 
Why this condition: 

FY 2023 COPS Office Blue Alert (BA) Program Award Owner’s Manual 

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

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

conditions giving rise to public safety issues such as crime, social disorder, and fear of crime. BA awards must be 

used to initiate or enhance community policing activities. Your organization may be monitored or audited to 

ensure that it is initiating or enhancing community policing in accordance with your proposed plan. 

What you should do: 

The community policing activities designated for implementation or enhancement by your agency were identified 

in your BA application. Your community policing needs may change during the life of your award, 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 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. 

25. Computer Network Requirement 

Condition: 

The recipient understands and agrees that no award funds may be used to maintain or establish a computer 

network unless such network blocks the viewing, downloading, and exchanging of pornography. Nothing in this 

requirement limits the use of funds necessary for any federal, state, tribal, or local law enforcement agency or any 

other entity carrying out criminal investigations, prosecution, or adjudication activities. Consolidated 

Appropriations Act, 2023, Public Law 117-328, Division B, Title V, Section 527. 

Why this condition: 

The Appropriations Act prohibits the use of federal funds to maintain or establish a computer network that does 

not block the viewing, downloading, and exchanging of pornography. This provision protects the public interest in 

the proper management and use of federal funds. 

What you should do: 

The recipient must not use award funds to maintain or establish a computer network unless the network blocks 

pornography. This does not limit the use of funds for criminal investigations, prosecution, or adjudication activities. 

26. Copyright 

If applicable, the recipient may copyright any work that is subject to copyright and was developed, or for which 

ownership was acquired, under this award in accordance with 2 C.F.R. § 200.315(b). The COPS Office reserves a 

royalty-free, nonexclusive and irrevocable license to reproduce, publish, or otherwise use the work, in whole or in 

part (including create derivative works), for Federal Government purposes, and to authorize others to do so. The 

COPS Office license applies to (1) the copyright in any work developed under the award including any related 

subaward or contract and (2) any rights of copyright to which the recipient, including its subrecipient or contractor, 

purchases ownership with award funds. Recipients agree that they are responsible for acquiring the rights, and 

ensuring that their subrecipients/contractors/authors acquire the rights, to copyrighted material for inclusion in 

U.S. Department of Justice publications and other deliverables developed under the award, including the payment 

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FY 2023 COPS Office Blue Alert (BA) Program Award Owner’s Manual 

of required fees. The COPS Office may make available for reproduction material produced under the award by any 

means, including a DOJ website, a hard The COPS Office also reserves the right, at its discretion, not to publish 

deliverables and other materials developed under this award as a U.S. Department of Justice resource. 

Products and deliverables developed with award funds and published as a U.S. Department of Justice resource will 

contain the following copyright notice: “This resource was developed under a federal award and may be subject to 

copyright. The U.S. Department of Justice reserves a royalty-free, nonexclusive, and irrevocable license to 

reproduce, publish, or otherwise use the work for Federal Government purposes, and to authorize others to do so. 

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

Why this condition: 

U.S. Department of Justice regulations allow the recipient of a CRI award to copyright any work that is subject to 

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

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

to advance public safety through community policing across the nation, the COPS Office has an interest in making 

your deliverables and products widely available and accessible to the public. The COPS Office may make any work 

that was developed or purchased under this award publicly available by any means without restriction, including a 

U.S. Department of Justice website, social media account, a hard copy, or in electronic form. The COPS Office also 

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

manuals, and training curricula) developed under this award as a U.S. Department of Justice resource. 

What you should do: 

The recipient is responsible for acquiring the rights, and ensuring that its subrecipients/contractors/authors 

acquire the rights, including the payment of required fees, to use copyrighted material for inclusion in deliverables 

that are developed under this award. All licensing, publishing, or similar agreements with a copyright holder, 

publisher, or other relevant party must include provisions giving the COPS Office a royalty-free, nonexclusive, and 

irrevocable license to reproduce, publish, or otherwise use the work in whole or in part (including create derivative 

works) for Federal Government purposes and to authorize others to do so. If the recipient retains a contractor or 

consultant to author or coauthor a work under this award, the recipient must ensure that there is a written 

agreement with the contractor or consultant that explicitly (1) assigns and transfers all rights to the copyright in 

the work to the recipient for the full term of copyright and, if a copyright transfer is not feasible, (2) awards the 

COPS Office the same royalty-free, nonexclusive, and irrevocable license to use, and authorize others to use, the 

work for Federal Government purposes. 

The U.S. Department of Justice is a nonexclusive licensee to copyrighted work that was developed, or for which 

ownership was purchased, under this award. Only the legal or beneficial owner of an exclusive right under a 

copyright is entitled to institute an infringement action. The recipient should therefore consult its own legal 

counsel with any copyright infringement questions. For more information about registering a copyright, please visit 

the U.S. Copyright Office at www.copyright.gov. 

34 
27. Domestic Preferences for Procurements 

Condition: 

FY 2023 COPS Office Blue Alert (BA) Program Award Owner’s Manual 

Recipient agrees that it, and its subrecipients, to the greatest extent practicable, will provide a preference for the 

purchase, acquisition, or use of goods, products, and materials produced in, and services offered in, the United 

States. 2. C.F.R. § 200.322 and Executive Order 14005, Ensuring the Future is Made in All of America by All of 

America’s Worker, January 25, 2021. 

Why this condition: 

It is the policy of the United States Government to use federal funds to buy American whenever possible. This 

condition promotes domestic preferences in procurements under federal awards. 

What you should do: 

Ensure that your organization provides a preference for American goods and services funded under your award to 

the greatest extent practicable and consistent with applicable law. 

28. Evaluations 

Condition: 

The COPS Office may conduct monitoring or sponsor national evaluations of its award programs. The recipient 

agrees to cooperate with the monitors and evaluators. 34 U.S.C. § 10385(b). 

Why this condition: 

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

carried out or commissioned by the Attorney General for the furtherance of the purposes of the Act. The COPS 

Office conducts evaluations to determine which programs are working, how programs may be improved, and why 

certain programs are more successful than others. Specifically, the COPS Office may assess the way in which your 

organization implements its award. COPS Office staff or evaluators may study the effectiveness of funded 

programs, projects, and activities. Evaluators may collect information about the programs’ effect on crime, victims 

of crime, and the quality of life in communities. In addition, they may ask questions about the challenges 

encountered during project implementation, how residents feel about community policing, and how police feel 

about their work. This information will be useful to other communities and police agencies across the country. 

What you should do: 

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

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

reports about and from your organization. You will be asked to facilitate any site visits and information-gathering 

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

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

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29. Extensions 

Condition: 

FY 2023 COPS Office Blue Alert (BA) Program Award Owner’s Manual 

Recipients may request an extension of the award period to receive additional time to implement their award 

program. Such extensions do not provide additional funding. Only those recipients that can provide a reasonable 

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

of the award. 2 C.F.R. §§ 200.308(e)(2) and 200.309. 

Why this condition: 

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

Office. Without an approved extension, your organization is not permitted to draw down federal funding for costs 

incurred beyond the official award end date. When justified, the COPS Office will seek to accommodate reasonable 

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

What you should do:

The COPS Office will contact your organization during the last quarter of the award period to determine whether a 

no-cost time extension is needed. Requests to extend the award period must be received by the COPS Office 

before the official award end date. Failure to submit a request for a no-cost time extension before the award end 

date may result in the immediate deobligation of any remaining award funds. Please note that the project period 

of performance will be extended, if necessary, until the deliverable is considered final. If the award is set to expire, 

prior to the final approval of the deliverable, a no-cost extension will be executed for a reasonable amount of time 

for the recipient to complete the final deliverable. 

30. Human Subjects Research 

Condition: 

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

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

if applicable. The recipient also agrees to comply with 28 C.F.R. Part 22 regarding the safeguarding of individually 

identifiable information collected from research participants. 

Why this condition: 

Protections for human subjects of research are required under U.S. Department of Justice regulations at 28 C.F.R. 

Part 46. This regulation constitutes the Federal Policy (Common Rule) for the Protection of Human Subjects. Each 

institution engaged in (nonexempt) COPS Office–supported human subjects research must provide a written 

assurance of compliance, satisfactory to the COPS Office, that it will comply with the U.S. Department of Justice 

human subjects regulations. 

What you should do: 

If any part of your project contains research or statistical activities which involve human subjects that are not 

covered by an exemption set forth in 28 C.F.R. Part 46.101(b), you must comply with the requirements in the U.S. 

Department of Justice’s common rule regarding the Protection of Human Subjects, 28 C.F.R. Part 46, including, but 

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FY 2023 COPS Office Blue Alert (BA) Program Award Owner’s Manual 

not limited to Institutional Review Board (IRB) approval and the appropriate assurances prior to the expenditure of 

federal funds to perform such activities. By signing the award document, you also agree to comply with 28 C.F.R. 

Part 22 regarding the safeguarding of individually identifiable information collected from research participants. 

31. Information Data Breach 

Condition: 

The recipient (and any subrecipient at any tier) must have written procedures in place to respond in the event of an 

actual or imminent breach (as defined in OMB M-17-12) if it (or a subrecipient)-- 1) creates, collects, uses, 

processes, stores, maintains, disseminates, discloses, or disposes of personally identifiable information (PII) (as 

defined in 2 C.F.R. 200.1) within the scope of a COPS Office grant-funded program or activity, or 2) uses or operates 

a Federal information system (as defined in OMB Circular A-130). The recipient's breach procedures must include a 

requirement to report actual or imminent breach of PII to the recipient’s COPS Office no later than 24 hours after an 

occurrence of an actual breach, or the detection of an imminent breach. OMB Memorandum M-17-12, Preparing 

for and Responding to a Breach of Personally Identifiable Information. 

Why this condition: 

OMB requires recipients and subrecipients to establish written procedures to respond to an actual breach, or the 

detection of an imminent breach involving personally identifiable information (PII), if within the scope of their 

award, they will create, collect, use, process, store, maintain, disseminate, disclose, or dispose of PII or will use or 

operate a Federal information system. Recipient breach procedures must include a requirement to notify the 

Federal awarding agency in the event of such a breach. 

What you should do: 

If any part of your COPS Office award involves your agency creating, collecting, using, processing, storing, 

maintaining, disseminating, disclosing, or disposing of PII, or the use or operation of a Federal information system, 

your agency must have written procedures in place to respond to an actual breach, or the detection of an 

imminent breach involving personally identifiable information (PII), including notification to your COPS Office no 

later than 24 hours following such breach. 

Written procedures should promote cooperation and the free exchange of information with the COPS Office, as 

needed, to properly escalate, refer, and respond to a breach. 

32. Modification 

Condition: 

Award modifications are evaluated on a case-by-case basis in accordance with 2 C.F.R. § 200.308(f). For federal 

awards in excess of $250,000, any modification request involving the reallocation of funding between budget 

categories that exceed or are expected to exceed 10 percent (10%) of the total approved budget requires prior 

written approval by the COPS Office. Regardless of the federal award amount or budget modification percentage, 

any reallocation of funding is limited to approved budget categories. In addition, any budget modification that 

changes the scope of the project requires prior written approval by the COPS Office. 

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Why this condition: 

FY 2023 COPS Office Blue Alert (BA) Program Award Owner’s Manual 

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

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

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

expend federal funds only as approved in the award package. Requests to change or alter an award that meet 

certain threshold requirements must be submitted to the COPS Office for written approval, prior to their purchase 

or implementation. Without prior written approval, you must continue to implement your award as it was 

originally outlined and accepted by your organization. Reprogrammed funds must be allocated for items covered 

within the original scope of the award. Please be advised that reprogramming requests for unallowable costs will 

not be approved. 

Your organization may reprogram its budget up to an aggregate (over the course of your project) of 10 percent of 

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

Office of any reprogramming that falls below the 10 percent threshold as well. For awards in excess of $250,000, 

any reprogramming of funds that totals an aggregate of 10 percent or more of the approved budget requires prior 

written approval from the COPS Office. 

What you should do: 

You are required to notify your COPS Office if you determine that your organization will need to reprogram award 

funds. If your modification exceeds an aggregated (over the course of your project) 10 percent of your overall 

award, your organization must log into JustGrants to request a modification. Please contact your COPS Office for 

further direction on any additional requirements that may apply to your modification request. The COPS Office will 

then evaluate your request and notify your organization of our decision in writing. Implementation of the modified 

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

for active awards will be accompanied by a modified financial section reflecting the approved changes. 

33. Paperwork Reduction Act 

Condition: 

The recipient agrees, if required, to submit all surveys, interview protocols, and other information collections to the 

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

Reduction Act (PRA). Before submission to OMB, all information collections that request personally identifiable 

information must be reviewed by the COPS Office to ensure compliance with the Privacy Act. The Privacy Act 

compliance review and the PRA clearance process may take several months to complete. 44 U.S.C. §§ 3501-3520 

and 5 U.S.C. § 552a. 

Why this condition: 

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

while maximizing the practical utility and public benefit of information created, collected, disclosed, maintained, 

used, shared, and disseminated by or for the Federal Government. See 5 C.F.R. § 1320.1. In addition, the Privacy 

Act establishes a “code of fair information practices” that regulates the collection, maintenance, use, and 

disclosure of personally identifiable records. 5 U.S.C. § 552a. 

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FY 2023 COPS Office Blue Alert (BA) Program Award Owner’s Manual 

A collection of information undertaken by a recipient is considered to be conducted or sponsored by a federal 

agency only if (1) the recipient is conducting the collection of information at the specific request of the agency, or 

(2) the terms and conditions of the award require specific approval by the agency of the collection of information 

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

What you should do: 

When you undertake surveys, interviews, and other methods of information collection in furtherance of the 

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

whether Office of Management and Budget (OMB) approval of the information collection method is required and 

of the procedures necessary to obtain this approval. As part of the OMB approval process, a privacy assessment 

will be completed to determine if an information collection requires a privacy-related notice. OMB approval may 

take several months to receive, so recipients are advised to allow ample time for the processing of this request. 

34. Prohibition on Certain Telecommunications and Video Surveillance Services or Equipment 

Condition: 

Recipient agrees that it, and its subrecipients, will not use award funds to extend, renew, or enter into any contract 

to procure or obtain any covered telecommunication and video surveillance services or equipment as described in 2 

CFR §200.216. Covered services and equipment include telecommunications or video surveillance services or 

equipment produced or provided by Huawei Technologies Company or ZTE Corporation (or any subsidiary or 

affiliate of such entities); Hytera Communications Corporation, Hangzhou Hikvision Digital Technology Company, or 

Dahua Technology Company (or any subsidiary or affiliate of such entities); or an entity that the Secretary of 

Defense, in consultation with the Director of the National Intelligence or the Director of the Federal Bureau of 

Investigation, reasonably believes to be an entity owned or controlled by, or otherwise connected to, the 

government of China. The use of award funds on covered telecommunications or video surveillance services or 

equipment are unallowable. 2. C.F.R. § § 200.216 & 471. See also Section 889 of the John S. McCain National

Defense Authorization Act of Fiscal Year 2019, Public Law 115–232. 

Why this condition: 

Section 889 of the John S. McCain National Defense Authorization Act of Fiscal Year 2019, Public Law 115–232, as 

implemented by 2 C.F.R. §200.216, prohibits the use of award funds to extend, renew, or enter into any contract 

to procure or obtain any covered telecommunication and video surveillance services or equipment as explained in 

the condition. 

What you should do: 

Ensure that your organization does not use award funds to extend, renew, or enter into any contract to procure or 

obtain any covered telecommunication and video surveillance services or equipment. 

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35. Procurement and Sole Source Justification 

Condition: 

 

 

FY 2023 COPS Office Blue Alert (BA) Program Award Owner’s Manual 

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

of $250,000 and who plan to seek approval for use of a noncompetitive procurement process must provide a 

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

award funds for that item or service. 2 C.F.R. § 200.325(b)(2). 

Why this condition: 

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

instances, recipients 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 $250,000 and have already 

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

justification in JustGrants that explains why it is necessary to contract noncompetitively (see Grant Award 

Modification Job Aid Reference Guide). 

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

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

• The COPS Office authorizes noncompetitive proposals in response to a written request from the recipient. 

• 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. 

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 made to the general rule regarding competition. If 

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

Source Justification fact sheet which can be found at the Award Management Materials web page 

36. Public Release Information 

Recipient agrees to submit one copy of all reports and proposed publications resulting from this award ninety (90) 

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

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

was supported, in whole or in part, by federal award number XXXXXX-XX-XX-XXXXX-XXXX awarded to [Entity] by the 

U.S. Department of Justice, Office of Community Oriented Policing Services. The opinions contained herein are those 

of the author(s) or contributor(s) and do not necessarily represent the official position or policies of the U.S. 

Department of Justice. References to specific individuals, agencies, companies, products, or services should not be 

considered an endorsement by the author(s), contributor(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 publication. Given that URLs and websites are in constant flux, neither the author(s) nor 

the COPS Office can vouch for their current validity.” 

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Why this condition: 

 

 

FY 2023 COPS Office Blue Alert (BA) Program Award Owner’s Manual 

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 works of authorship by 

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

Department of Justice. 

What you should do: 

Ensure that all publications developed under your award contain the required statement listed above. 

37. Supplementing, Not Supplanting 

Condition: 

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

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

award purposes (hiring, training, purchases, and/or activities) during the award period. In other words, state, local, 

and tribal government recipients may not use COPS Office funds to supplant (replace) state, local, or BIA funds that 

would have been dedicated to the COPS Office-funded item(s) in the absence of the COPS Office award. 34 U.S.C. § 

10384(a). 

Why this condition: 

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

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

award purposes. 

What you should do: 

For state, local, and tribal recipients, BA funds may not be used to pay for any item or cost funded under the award 

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

addition, recipients may not reallocate state, local, or BIA funds already budgeted for award purposes as a result of 

receiving BA award funds. If you have questions concerning this award term and how it pertains to your project 

budget, please contact your COPS Office Program Manager. 

38. Travel Cost 

Condition: 

Travel costs for transportation, lodging and subsistence, and related items are allowable with prior approval from 

the COPS Office. Payment for allowable travel costs will be in accordance with 2 C.F.R. § 200.475. 

Why this condition: 

BA funding will cover award-related travel costs for the recipient agency or other (nonrecipient) individuals to 

attend training and technical assistance conferences, seminars, or classes or to visit a site specified in the original 

application. Allowable expenses for award-related lodging, meals, temporary dependent care, and incidental 

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

award and final budget. For more information, please refer to the award condition on “Allowable Costs.” 

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What you should do: 

FY 2023 COPS Office Blue Alert (BA) Program Award Owner’s Manual 

Your organization should refer to your JustGrants approved budget for a list of approved travel costs and use BA 

funds only for approved travel costs incurred during the award period. In addition, your organization should keep 

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

contact your COPS Office Program Manager. 

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FY 2023 COPS Office Blue Alert (BA) Program Award Owner’s Manual 

II. The Cooperative Agreement 

Because your project requires substantial involvement on the part of the COPS Office, a multipage cooperative 

agreement document will accompany your award package. Please note that the cooperative agreement is included 

in the award package, and by signing the award package, your organization has entered into the cooperative 

agreement with the COPS Office and agrees to abide by all the requirements in the cooperative agreement. 

Under the Federal Grant and Cooperative Agreement Act of 1977, a cooperative agreement is the legal instrument 

used by a federal agency to enter into a relationship with a state, local government, or other recipient when the 

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

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

To officially accept and begin your award, your organization will review and approve the cooperative agreement 

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

shown on the award letter. 

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

award package in JustGrants. 

If you have any additional questions concerning your cooperative agreement, please contact your designated COPS 

Office Program Manager. 

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FY 2023 COPS Office Blue Alert (BA) Program Award Owner’s Manual 

III. Procurement Process 

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

the purchase of equipment, technology, or services under a COPS Office award, recipients must follow their own 

policies and procedures on procurement as long as those requirements conform to the federal procurement 

requirements set forth in the uniform administrative requirements (2 C.F.R. §§ 200.317 – 200.327). Consistent with 

the uniform administrative requirements that prohibit procurement practices that restrict competition, recipients 

and subrecipients may not discriminate against any person or entity on the basis of a person or entity’s status as 

an “associate of the Federal Government” (or on the basis of a person or entity’s status as a parent, affiliate, or 

subsidiary of an associate of the Federal Government). The term “associate of the Federal Government” means 

any person or entity engaged or employed (in the past or at present) by or on behalf of the Federal Government as 

an employee, contractor, subcontractor, award recipient, subrecipient, agent, or otherwise. 

As described in the award condition titled “Sole Source Justification,” recipients are required to submit a sole 

source justification (SSJ) request to the COPS Office for noncompetitive procurements in excess of $250,000 prior 

to purchasing equipment, technology, or services; obligating funding for a contract; or entering into a contract 

with award funds. If submitting a sole source justification request to the COPS Office, please follow the steps 

described in the Sole Source Justification fact sheet, which can be found at the Award Management Materials web 

page. 

If you have any questions regarding the federal requirements that guide procurement procedures, please contact 

your COPS Office Program Manager. 

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FY 2023 COPS Office Blue Alert (BA) Program Award Owner’s Manual 

IV. Accessing Award Funds 

This section provides answers to payment-related questions, including all the information needed to provide 

access to request payments from your COPS Office awards. For assistance with financial management and award 

administration, please contact the COPS Office Response Center at AskCOPSRC@usdoj.gov or visit our website at 

https://cops.usdoj.gov. 

Payment method 

What method of payment is used? 

There is currently one payment system available for accessing federal award funds—ASAP which is the shared 

services payment system used by the Department of the Treasury. Through this platform, recipients of DOJ grant 

awards and other forms of federal assistance will be able to request and receive payments for grants managed 

through JustGrants. ASAP can be accessed by going to https://fiscal.treasury.gov/asap/. 

To learn more about the ASAP registration process, please see the ASAP Registration Checklist. 

If you have questions or need help using ASAP, you can contact the OCFO Customer Service Center by email at 

Ask.OCFO@usdoj.gov or by phone at 800-458-0786. 

When should Federal Financial Reports be filed? 

After your agency accepts the award, 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 you ASAP account 

if the SF-425 for the most recent reporting quarter has not been submitted in JustGrants by the deadline date. 

Recipients are required to submit their SF-425 reports in the JustGrants portal: https://justicegrants.usdoj.gov/. 

For more information on how to complete and where to submit your quarterly SF-425 report, see the section in 

this manual titled “Reporting Requirements.” 

Filing the Federal Financial Report (SF-425) identifies your federal and local expenditures made during that calendar 

quarter. However, to receive actual payment, you must request it through ASAP. 

The FFR is submitted in JustGrants, and can only be submitted by someone with the role of “Financial Manager”. 

FFRs may be submitted 10 calendar days or less from a reporting period end date until the due date. Once the due 

date passes, a delinquent report can still be submitted by a Financial Manager. A Financial Manager also has 

privileges to edit and resubmit FFRs. The most recent Quarterly FFR can be reopened and resubmitted if the due 

date has not passed. Similarly, a Final FFR can be reopened and resubmitted up to 120 days after the project 

period end date. You must contact your awarding office to reopen and resubmit a final FFR anytime beyond 120 

days after the award end date. Funds are frozen/suspended one day after the due date if the report is not 

submitted. Funds are released once the delinquent FFR is submitted. 

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FY 2023 COPS Office Blue Alert (BA) Program Award Owner’s Manual 

Additional payment questions 

Can wereceive advances? 

Yes. If you receive funds through electronic transfer, the period allowed is 10 days in advance. In general, the 

concept of “minimum cash on hand” applies to COPS Office awards. This concept requires that your organization 

request funds based upon immediate cash disbursement needs. You should time your request for payment to 

ensure that federal cash on hand is the minimum that you need. 

There should be no excess federal award funds on hand, except for advances not exceeding 10 days, as noted 

above. 

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

1. is unwilling or unable to attain project goals; 

2. maintains excess cash on hand; 

3. does not adhere to the terms and conditions of the award; 

4. fails to submit reliable or timely reports. 

How often can we request reimbursement ofcosts? 

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

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

award package. As a general guideline, most organizations request reimbursement on a monthly or quarterly basis. 

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

Can we earn interest on our award funds? 

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

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

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

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

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

retained by the nonfederal entity for administrative expenses. 

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

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

Management System (PMS) through an electronic medium using either Automated Clearing House (ACH) 

network or a Fedwire Funds Service payment. For detailed information on remittance, please see appendices 

for a full text of the electronic medium remittance options. 

• If you do not have access to an electronic medium option, then please make a check payable to “The 

Department of Health and Human Services” and mail the check to Treasury-approved lockbox: HHS Program 

Support Center, P.O. Box 530231, Atlanta, GA 30353-0231. (Please allow 4–6 weeks for processing of a 

payment by check to be applied to the appropriate Payment Management System (PMS) account). 

• Please notify your COPS Office Staff Accountant in the COPS Office Finance Business Unit when any interest 

that is earned is remitted to the Department of Health and Human Services, Payment Management System. 

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Matching funds

 

 

 

FY 2023 COPS Office Blue Alert (BA) Program Award Owner’s Manual 

Under the COPS Office BA Program, no local match is required. The COPS Office is funding 100 percent of the 

allowable items approved in your award package. Any organization desiring to contribute additional funds to this 

project is encouraged to do so by reporting these funds on the SF-425 as a recipient share of expenditures (line 

10j). 

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FY 2023 COPS Office Blue Alert (BA) Program Award Owner’s Manual 

V. Financial Record Maintenance 

Your organization is required to establish and maintain accounting systems and financial records to accurately 

account for funds awarded and disbursed. These records must include both federal funds and any local funds 

contributed to this project. 

Accounting systems and records 

What accounting systems are required? 

Your organization needs to establish and maintain accounting systems and financial records to accurately account 

for the funds awarded. 

As required by 2 C.F.R. § 200.1 (Internal control over compliance requirements for federal awards), your 

accounting system should be designed to provide reasonable assurance regarding the achievement of the 

following objectives for federal awards: 

• Transactions are properly recorded and accounted for in order to prepare reliable financial statements and 

federal reports and to maintain accountability over assets. 

• Transactions are executed in compliance with all applicable federal statutes, regulations, and the award terms 

and conditions. 

• Funds, property, and other assets are safeguarded against loss from unauthorized use or disposition. 

What records must be kept? 

Your organization’s fiscal control and accounting systems should enable you to make accurate, current, and 

complete disclosure of the financial activity under your BA award. Your accounting records should contain 

information showing expenditures under the award and must be supported by items such as payroll records, time 

and attendance records, canceled checks, purchase orders, or similar documents. 

Your organization must adequately safeguard award funds and make sure that they are used for authorized 

purposes only. Your organization will be responsible for refunding any unallowable expenses. 

How long must records be kept? 

All financial records and supporting documents associated with your award (including payroll, time and attendance 

records, canceled checks, and purchase orders) must be retained for a period of three years from the date of 

submission of the final expenditure report as stated in 2 C.F.R § 200.334 (Retention requirements for records). 

Your organization should maintain records so that you can identify them by award year or by fiscal year, whichever 

you find more convenient. If any litigation, claim, negotiation, audit, or other action involving these records has 

been started before the end of the three-year period, the records should be kept until completion of the action. 

These records should be easily located and should be properly protected against fire or other damage. Failure to 

maintain adequate records to document award expenditures may result in a requirement to repay all federal funds 

that cannot be supported with appropriate records. 

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What if we have more than one award? 

 

 

 

 

 

 

 

FY 2023 COPS Office Blue Alert (BA) Program Award Owner’s Manual 

If your organization has more than one COPS Office award or an award from another federal agency, funds 

received under one project may not be used to support another project without specific written authorization 

from the COPS Office, or in the case of an award from another agency, from both awarding agencies. Your 

accounting systems and financial records must reflect expenditures for each project separately. 

Who mayaccess our records? 

Authorized federal representatives, including representatives from the U.S. Department of Justice, the Comptroller 

General of the United States, the COPS Office, and any entity designated by the COPS Office may access these 

records for the purposes of conducting audits, site visits, or other examinations. 

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FY 2023 COPS Office Blue Alert (BA) Program Award Owner’s Manual 

VI. Federal Audit Requirements 

In addition to oversight by the COPS Office, your award may be subject to an audit by independent examiners. The 

two primary types of audit are Single Audit Act (SAA) audits and U.S. Department of Justice, Office of the Inspector 

General (OIG) audits. 

Single Audit Act (SAA) requirements 

What are the regulations governing SAA requirements? 

The Single Audit Act (SAA) of 1984 established uniform guidelines for state and local governments receiving federal 

financial assistance. The 1984 Act was amended in July 1996, was revised on June 27, 2003 and again on June 26, 

2007, and is effective for fiscal years after December 31, 2003, to reflect revised audit criteria and reporting 

requirements. The Office of Management and Budget (OMB) issued final guidance for 2 C.F.R. Part 200—Uniform 

Administrative Requirements, Cost Principles and Audit Requirements for Federal Awards (Uniform Guidance) on 

December 26, 2013. This guidance applies to all federal awards or funding increments awarded on or after 

December 26, 2014, and provides additional guidelines regarding the implementation of SAA requirements. 2 

C.F.R. Part 200, Subpart F –Audit Requirements, available at https://www.ecfr.gov/current/title-2/subtitleA/chapter-II/part-200/subpart-F, establishes the requirements for organizational audits that apply to COPS Office 

award recipients. Recipients must arrange for the required organization-wide (not award-by-award) audit in 

accordance with the requirements of Subpart F. 

Who must have an SAA audit? 

A recipient that expends $750,000 or more during the recipient's fiscal year in federal awards must have a single 

audit conducted in accordance with 2 C.F.R. § 200.514 (Scope of audit) except when it elects to have a programspecific audit conducted in accordance with 2 C.F.R. § 200.501(c). An auditee may be a recipient, a subrecipient, or 

a vendor. 

SAA audits are conducted annually unless a state or local government is required by constitution or statute, in 

effect on January 1, 1987, to undergo audits less frequently than annually. The primary objective of an SAA audit is 

to express opinions on the recipient’s financial statements, internal controls, major and nonmajor award 

programs, and compliance with government laws and regulations. Single Audits may also address specific 

compliance issues with respect to COPS Office award requirements. 

In cases of continued inability or unwillingness to have an audit conducted in accordance with this part, federal 

agencies and pass-through entities must take appropriate action as provided in §200.339. Remedies for 

noncompliance. See 2 C.F.R. § 200.505. 

These sanctions under 2 C.F.R. § 200.339 could include the following: 

• Temporarily withholding cash payments pending correction of the deficiency by the nonfederal entity or more 

severe enforcement action by the federal awarding agency or pass-through entity. 

• Disallowing (that is, denying both use of funds and any applicable matching credit for) all or part of the cost of 

the activity or action not in compliance. 

• Wholly or partly suspending or terminating the federal award. 

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• Initiating suspension or debarment proceedings as authorized under 2 C.F.R. part 180 and federal awarding 

agency regulations (or in the case of a pass-through entity, recommending such a proceeding be initiated by a 

federal awarding agency). 

• Withholding further federal awards for the project or program. 

• Taking other remedies that may be legally available. 

Your SAA reports should not be sent to the COPS Office. 

Your SAA reports should not be sent to the COPS Office. If the U.S. Department of Justice is your cognizant federal 

agency (see the Glossary of Terms in the appendices), they should be sent to the Federal Audit Clearinghouse at: 

Federal Audit Clearinghouse 

Bureau of Census 

1201 East 10th Street 

Jeffersonville, IN 47132 

The U.S. Department of Justice, Office of Justice Programs (OJP) Office of Audit Assessment and Management 

(OAAM) serves as the liaison between recipients and auditors in the conduct of resolving and closing SAA audits. 

Questions and comments regarding SAA audits may contact the OJP Customer Service Center at 800-458-0786. 

Office of Inspector General (OIG) recipient audits 

What is the role of the OIG for award audits? 

The OIG is a separate component of the U.S. Department of Justice and is independent of the COPS Office. The 

primary objective of OIG recipient audits is to assess compliance with award terms and conditions. OIG audits are 

designed to prevent fraud, waste, and abuse of federal funds. The OIG audit process promotes efficiency and 

effectiveness in the administration and implementation of awards by evaluating compliance with the terms and 

conditions of awards. 

How are COPS Office awards selected for an OIG audit? 

The OIG randomly selects awards to be audited or may conduct a COPS Office recipient audit in response to a 

referral that the OIG believes warrants further evaluation. The OIG also surveys DOJ award-making agencies on an 

annual basis to solicit input on suggested audit areas for the upcoming fiscal year. In most instances, however, the 

OIG generally selects awards to be audited based on a number of factors, including the geographical distribution of 

awards funded, award amount, population served, award status (active and expired), and type of award (hiring 

and nonhiring). As such, the fact that a recipient has been selected for an OIG audit is not necessarily indicative of 

a suspected concern or problem area. 

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The COPS Office Grant Monitoring Division’s Audit Liaison Section serves as the liaison between recipients and the 

OIG’s Audit Division, which conducts the audit. The OIG steps in the audit process will determine the interactions 

between the OIG, the recipient, and the COPS Office Grant Monitoring Division Audit Liaison Section: 

• Call for award data. The OIG requests award documentation from the COPS Office. 

• Entrance conference. The OIG schedules to meet with the recipient to gather documentation and conduct 

audit. 

• Draft audit report. The OIG reviews documentation and presents initial recommendations (findings) to the 

recipient and copies the COPS Office. The COPS Office interacts with the recipient to coordinate any 

repayments and/or policy or procedure documents to be submitted to the OIG before release of the Final 

Audit Report. 

• Final audit report. The OIG has completed its direct interaction with the recipient. The COPS Office directs the 

recipient to formulate a Corrective Action Plan to address recommendations (findings). As each 

recommendation is successfully addressed by the recipient, the COPS Office requests closure on the 

recommendation. 

• Closing the audit. When all recommendations have been closed, the COPS Office requests closure on the audit 

from the OIG and notifies the recipient that the audit is closed. 

If you have any questions regarding an OIG audit, please contact the COPS Office Grant Monitoring Division’s Audit 

Liaison Section via the COPS Office Response Center at AskCOPSRC@usdoj.gov. Questions and comments 

regarding the administration of your COPS Office BA award, not specifically related to an audit, should be referred 

to your COPS Office Program Manager. 

Typical audit findings 

The OIG has typically reported the following audit findings pertaining to awards as a result of lack of proper 

documentation, poor business practices, or inadequate accounting and record keeping systems: 

• Unallowable costs. Recipient incurred costs that were not approved in the original budget or a budget 

modification, were in excess of the approved budget, or were charged to the award after the expiration date 

and an award extension was not obtained. 

• Unsupported costs. Specific award expenditures and reimbursements could not be supported by adequate 

documentation (including but not limited to receipts or purchase orders), that may have been allowable under 

the program, but for which no prior written approval was obtained from the COPS Office, or award 

expenditures were in excess of actual approved award costs. 

• Lack of complete/timely programmatic and financial reporting. Recipient failed to submit required 

programmatic and financial reports in a timely manner and/or had inadequate record keeping systems. 

• Funds to better use. Funds could be used more efficiently based on management actions such as reductions in 

outlays; deobligation of funds; withdrawal; costs not incurred by implementing recommended improvements; 

and other identified savings. 

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• Questioned costs. Costs that are questioned by the auditor because of an audit finding which resulted from a 

violation or possible violation of a provision of law, regulation, award terms and conditions, or other 

document governing the use of federal funds; or because costs incurred appear unreasonable and do not 

reflect the actions a prudent person would take under the same circumstances; or because costs at the time of 

the audit are not supported by adequate documentation. 

• Policy and procedure. Weaknesses are identified in a recipient’s accounting practices, fiscal stewardship, 

accuracy of data used in the development of the award applications, and/or inventory controls that led to the 

recommendation cited in the audit. The recipient is required to develop or revise policies and/or procedures 

consistent with their existing practices and submit to the COPS Office to forward to the OIG to close the 

recommendation. 

After the final OIG audit report has been issued, the COPS Office Grant Monitoring Division’s Audit Liaison Section 

will continue working as the liaison between your organization 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. 

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VII. Reporting Requirements 

Your organization will be required to submit quarterly Federal Financial Reports as well as semi-annual 

Performance Reports. Award recipients should be prepared to track and report award funding separately from all 

other funding sources (including other COPS Office awards) to ensure accurate financial and programmatic 

reporting on a timely basis. Your organization should ensure that you have adequate financial internal controls in 

place to monitor the use of all funding, and also to ensure that its use is consistent with the award terms and 

conditions. Good stewardship in this area includes written accounting practices, use of an accounting system that 

adequately tracks all award drawdowns and expenditures, and has the ability to track when COPS Office award– 

funded positions are filled or approved purchases are made. Failure to submit complete reports or submit them in a 

timely manner may result in the suspension and possible termination of your organization’s COPS Office award 

funding or other remedial actions. 

Federal Financial Reports 

As a reminder, the only role within JustGrants that can submit the Federal Financial Report (FFR) is the Financial 

Manager. Individuals with that role in JustGrants should review JustGrants resources online for guidance on how to 

complete and submit FFRs in the JustGrants system. 

Your organization is required to submit a quarterly FFR using Standard Form 425 (SF-425) within 30 days after the 

end of each calendar quarter. A final SF-425 will be due within 120 days after the end of the award period. This 

report reflects the actual cumulative federal expenditures incurred during the funding period and the remaining 

unobligated balance of federal funds. Under federal regulations, your organization is not permitted to draw down 

federal funding for costs incurred after the official award end date; however, you will have a 120-day period after 

the award end date during which you can draw down funds for eligible expenditures incurred before the award 

end date. 

How do we file Federal Financial Reports? 

All COPS Office award recipients are strongly encouraged to submit the required quarterly SF-425 online. 

To submit an FFR, follow these steps: 

• Navigate to the JustGrants Home link on the left-hand side. 

• Go to your Task List. 

• Open the FFR you want to edit/submit. 

Once the FFR opens, the Recipient Information appears, select Continue to move to the next screen. Note: The 

data on this page is prepopulated from the award document and the entity profile. 

The Report Information screen contains several required fields. 

(a) Enter the Recipient Account Number. 

(b) Select the Report Type. 

(c) Select the Basis of Accounting. Scroll down to the Transactions section. 

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The following fields are not editable because they are not required for DOJ: 

(a) 10a. Cash Receipts 

(b) 10b. Cash Disbursements 

(c) 10c. Cash on Hand (line a minus b) 

• Enter information in the following fields as appropriate: 

(a) 10d. Total Federal funds authorized 

(b) 10g. Total Federal share (sum lines e & f) 

(c) 10e. Federal share of expenditures 

(d) 10f. Federal share of unliquidated obligations 

(e) 10h. Unobligated balance of Federal funds (line d minus g) 

(f) 10j. Recipient share of expenditures 

Cumulative expenditures must be entered in line 10e, 10j, 10f, 10j, 10m, and 10n. Cumulative expenditures 

are defined as: The amount from the awards inception to the end of the reporting period. 

• Enter information in the following fields as appropriate: 

(a) 10k. Remaining recipient share to be provided (line i minus j) 

(b) 10l. Total Federal program income earned 

(c) 10m. Program Income expended in accordance with the deduction alternative 

(d) 10n. Program Income expended in accordance with the addition alternative 

(e) 10o. Unexpended program income 

• Select Continue 

In the Remarks and Certification screen, enter text in box 12. Additional Information. 

• Note: If the figures in line 10e or 10j are less than the previous reporting period, you are required to add 

additional narrative in box 12 “Remarks” explaining this discrepancy. Failure to do so will result in a validation 

error. 

• Select Upload Supporting Documents to attach a document 

• Review the certification information. Select the Submit button. 

The FFR status will be changed to “Resolved-Completed” once the FFR data is transferred to the Unified Financial 

Management System (UFMS). 

When are Federal Financial Reports due? 

An SF-425 report must be submitted for each COPS Office award at the end of every calendar quarter and no later 

than 30 days after the last day of each reporting period, as detailed in table 1. 

Table 1. Due dates of SF-425 by quarter 

Reporting quarter SF-425 due date 

January 1–March 31 April 30 

April 1–June 30 July 30 

July 1–September 30 October 30 

October 1–December 31 January 30 

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For your initial SF-425 submission, determine when the SF-425 reporting period that includes your award start 

date ended and complete an SF-425 to cover the period from the award start date to the end of that period 

(regardless of when the award was accepted). You are required to submit an SF-425 even if you have not spent any 

money or incurred any costs during a reporting period. 

Example: 

If your award start date is 09-01-23 and the current date is 11-15-23, then your first SF-425 would be due no later 

than 10-30-23 and would cover the period 09-01-23 (award start date) through 09-30-23 (end of the initial 

reporting quarter for this award). This SF-425 must be on file with the COPS Office before the submission deadline 

so that you can avoid being delinquent and successfully complete a drawdown of funds through ASAP (submit 

report as soon as you accept the award and have access JustGrants and ASAP). 

Award recipients who do not submit an SF-425 report by the due date each quarter 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 current. Subsequent outreach through email or hard copy reminders may be sent to 

the recipient if the SF-425 is delinquent. 

For general information or assistance in completing the SF-425 reports, go to https://cops.usdoj.gov or contact 

the COPS Office Response Center by phone at AskCopsRC@usdoj.gov. 

How will award funds be monitored? 

The COPS Office and designated representatives from the Office of the Chief Financial Officer, Office of Justice 

Programs monitor the financial aspects of your organization’s award through financial reports, on-site visits, officebased award reviews, meetings, telephone contacts, reports, audits, reviews of award change requests, and 

special request submissions. 

Performance Reports 

Semiannual Performance Reports and a Final Performance (Closeout) Report are required to be submitted directly 

to the COPS Office via JustGrants. 

How dowefile a Performance Report? 

Only the Grants Award Administrator for your organization will be able to view and submit a performance report. 

For information on assigning a Grant Award Administrator to your award, see the Entity Management Job Aid 

Reference Guide on the JustGrants website. 

To submit your performance report, please log in to JustGrants and check your worklist or the “Funded Award 

Performance Management” tab for performance reports. The Grant Award Administrator can locate the current 

report question set in JustGrants in two locations: My Worklist or on the Performance Management tab of the 

funded award. Information on JustGrants Performance Reporting is found at https://justicegrants.usdoj.gov/. 

If you experience issues with submitting your performance report, please contact the COPS Office or JustGrants 

Support at JustGrants.Support@usdoj.gov or 833-872-5175. 

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How do we file a final performance report? 

You should complete a final performance report within 120 days of the period of performance end date. To submit 

a final report, the Grants Award Administrator should locate the report question set in My Worklist or on the 

Performance Management tab. The report cover page will ask whether the report is interim progress report or a 

final report – please select “final” to view final report questions. 

When arePerformance Reports due? 

Semiannual performance reports are due March 2 and August 31, as shown in table 2. 

Table 2. Due dates of Performance Reports by semiannual dates 

Reporting period Performance Report due date 

August 1 – January 31 March 2 

February 1 – July 31 August 30 

What kind of information will these reports require? 

These reports will request information about the status of your award in terms of purchasing equipment, hiring 

personnel, delivering services, and progress in meeting milestones identified in the cooperative agreement, as well 

as general information about your organization. 

Will the data that we submit be publicly available? 

Performance Reports submitted to the COPS Office may be reported publicly in response to a Freedom of 

Information Act (FOIA) request. 

If your organization has any questions regarding the submission of these required reports, please contact the COPS 

Office Response Center at AskCOPSRC@usdoj.gov. 

Entity management 

If you do not have the ability to submit your federal financial report or performance report, this may indicate that 

the Entity Administrator for your organization has not made the correct work assignment to your award. To 

confirm the work assignment has been properly made, the Entity Administrator should follow the steps below to 

confirm: 1. Log in to JustGrants. 2. Click “Awards” from the left menu. 3. Click “Show/Hide Roles.” 4. Click the 

“Financial Manager” and “Grant Award Administrator” check boxes. 5. Click “Confirm.” If the Financial Manager 

and Grant Award Administrator’s names appear under the respective columns, then the work assignment has been 

properly made and those users should be able to complete and submit the reports. 

If the names do not appear in the respective columns, the Entity Administrator should take the following steps: 1. 

Click the check box next to the award ID. 2. Choose a role (e.g., Financial Manager, Grant Award Administrator) 

from the “Choose Role” dropdown menu (bottom of the screen). 3. Choose the individual’s name from the “Assign 

to” drop-down menu. 4. Click “Assign.” Once the Entity Administrator has completed these steps, the assigned 

Financial Manager and Grant Award Administrator should be able to access and submit the respective reports. 

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Contact points to obtain technical assistance and report violations 

Any alleged violations, serious irregularities, or acts that may result in the use of public funds in a manner 

inconsistent with the Public Safety Partnership and Community Policing Act of 1994 or the purposes of this award 

may be reported to the U.S. Department of Justice. Furthermore, the COPS Office welcomes the opportunity to 

provide assistance regarding the implementation of award provisions to help ensure that federal award funds are 

spent responsibly. As such, the following contacts are provided to address noncompliance and technical assistance 

issues: 

• If you suspect violations of a criminal nature, please contact the U.S. Department of Justice, Office of the 

Inspector General (OIG) at https://oig.justice.gov/hotline, OIG.hotline@usdoj.gov, or 800-869-4499. 

• If you suspect award violations (not criminal in nature) related to the award conditions listed in this manual, 

please contact the COPS Office Grant Monitoring Division at AskCOPSRC@usdoj.gov. 

• If you have any questions or need assistance regarding your award, please contact your COPS Office Program 

Manager. 

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VIII. When the Award Period Has Ended 

At the end of your organization’s award period, the COPS Office is responsible for the closeout of your award. As 

part of this process, the COPS Office requires documentation demonstrating that your organization has met all the 

programmatic and financial requirements of the award. 

After the end of the award period, your organization will be asked to submit a Final Federal Financial Report (SF425) and any applicable final performance reports. 

Final Federal Financial Report (SF-425) 

The final Federal Financial Report (SF-425) for your award is due to the COPS Office no later than 120 days after 

the end date of the award period. The final report should reflect the total amount of allowable federal 

expenditures that were incurred during the life of the award, as well as the amount of unobligated funds 

remaining, if any. The federal funds expended should reflect only the actual allowable costs incurred relative to the 

specific program requirements for that award. In addition, once you have completed your final drawdown, this 

report should reconcile with the total amount of federal funds drawn down by your organization. The final SF-425 

should also include the required minimum total amount of local (recipient) cash match contributed, if applicable. 

When should all the award monies be spent? 

Award funds reflecting allowable project costs must be obligated before the end of the award period. Obligated 

funds cover monies spent, and expenses incurred but not yet paid, for any approved items listed in the award 

package. Your organization has up to 120 days after the end of the award period to pay for eligible expenses 

previously incurred, and to request reimbursement for any remaining eligible balance. 

Please be advised that 2 C.F.R. § 200.344(a) requires recipients to submit final SF-425s within 120 days after the 

expiration of the award. 

It is possible that your organization may have unobligated and unspent award funds remaining in your account 

following the award period due to an overestimate of item costs during the application period. Your organization 

should review its records carefully to ensure that it draws down and expends only the amount required for actual 

costs incurred during the award period. Any remaining unobligated or unspent funds should remain in your 

account and will be deobligated during the closeout process. 

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Final Performance (Closeout) Report 

After your award period has ended, your organization will be sent a final performance report via JustGrants and 

asked to complete it. This report will serve as your organization’s final programmatic report on the award, and the 

information your organization provides in this report will be used to make a final assessment of your award 

progress. 

Equipment disposition 

Each recipient must use any equipment funded through a COPS Office award for approved award-related purposes 

and must retain the equipment for the life of the award. After the conclusion of the award period, property 

records must be maintained by the recipient. 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. 

When the award has expired and original or replacement equipment obtained under the award is no longer 

needed for the original project or for other activities currently or previously supported by a federal agency, 

disposition of the equipment shall be made as follows: 

Items of equipment with a current per-unit fair market value of $5,000 or less may be retained, sold, or otherwise 

disposed of with no further obligation to the awarding agency. 

Items of equipment with a current per-unit fair market value in excess of $5,000 may be retained or sold and the 

awarding agency is entitled to an amount calculated by multiplying the current market value or proceeds from sale 

by the awarding agency’s federal share in the cost of the original purchase. 

For more information, please see 2 C.F.R. § 200.313. 

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VIIII. Conclusion 

We hope that this manual has assisted you and your organization with your award questions. We welcome and 

encourage any comments you have regarding the COPS Office Program and the materials we have developed for 

its administration. If you have specific comments regarding this manual or have any questions about your award, 

please call your COPS Office Program Manager. 

Pursuant to Executive Order 13513, “Federal Leadership on Reducing Text Messaging While Driving,” the COPS 

Office encourages recipients of U.S. Department of Justice funds to adopt and enforce policies that ban text 

messaging while driving and to establish workplace safety policies to decrease crashes caused by distracted 

drivers. 

In addition, pursuant to Executive Order 13043, “Increasing Seat Belt Use in the United States,” the COPS Office 

encourages recipients of U.S. Department of Justice funds to adopt and enforce on-the-job seat belt policies and 

programs for their employees when operating company-owned, rented, or personally owned vehicles. 

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Appendices 

Appendix A. List of source documents 

A. Primary Sources 

Public Safety Partnership and Community Policing Act of 1994, 34 U.S.C. § 10381 et seq. 

B. Secondary Sources 

Code ofFederal Regulations (CFR)/Office of Management and Budget (OMB): 

2 C.F.R. Part 200 (Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal 

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

4 C.F.R. Parts 101-105, U.S. Department of Justice/Government Accountability Office, “Joint Federal Claims 

Collections Standards” 

5 C.F.R. Part 1320, “Controlling Paperwork Burdens on the Public” 

5 C.F.R. Part 151, “Political Activity of State and Local Officers 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. Part83, “Government-Wide Requirements for Drug-Free Workplaces (Grants)” 

28 C.F.R. Part 69, “New Restrictions on Lobbying” 

31 C.F.R. Part 205, “Rules and Procedures for Efficient Federal-State Funds Transfers” 

OMB Circular A-129, “Policies for Federal Credit Programs and Non-Tax Receivables” 

48 C.F.R. Part 31 (Federal Acquisition Regulation), “Contract Cost Principles and Procedures” 

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” 

Executive Order 13513, “Federal Leadership on Reducing Text Messaging While Driving,” 

Executive Order 13043, “Increasing Seat Belt Use in the United States” 

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Appendix B. U.S. Department of Justice Certified Standard Assurances 

On behalf of the Applicant, and in support of this application for a grant or cooperative agreement, I certify under 

penalty of perjury to the U.S. Department of Justice ("Department"), that all of the following are true and correct: 

(1) I have the authority to make the following representations on behalf of myself and the Applicant. I understand 

that these representations will be relied upon as material in any Department decision to make an award to the 

Applicant based on its application. 

(2) I certify that the Applicant has the legal authority to apply for the federal assistance sought by the application, 

and that it has the institutional, managerial, and financial capability (including funds sufficient to pay any 

required non-federal share of project costs) to plan, manage, and complete the project described in the 

application properly. 

(3) I assure that, throughout the period of performance for the award (if any) made by the Department based on 

the application--

a. the Applicant will comply with all award requirements and all federal statutes and regulations applicable to 

the award; 

b. the Applicant will require all subrecipients to comply with all applicable award requirements and all 

applicable federal statutes and regulations; and 

c. the Applicant will maintain safeguards to address and prevent any organizational conflict of interest, and 

also to prohibit employees from using their positions in any manner that poses, or appears to pose, a 

personal or financial conflict of interest. 

(4) The Applicant understands that the federal statutes and regulations applicable to the award (if any) made by 

the Department based on the application specifically include statutes and regulations pertaining to civil rights 

and nondiscrimination, and, in addition--

A. the Applicant understands that the applicable statutes pertaining to civil rights will include section 601 of 

the Civil Rights Act of 1964 (42 U.S.C. § 2000d); section 504 of the Rehabilitation Act of 1973 (29 U.S.C. § 

794); section 901 of the Education Amendments of 1972 (20 U.S.C. § 1681); and section 303 of the Age 

Discrimination Act of 1975 (42 U.S.C. § 6102); 

b. the Applicant understands that the applicable statutes pertaining to nondiscrimination may include section 

809(c) of Title I of the Omnibus Crime Control and Safe Streets Act of 1968 (34 U.S.C. § 10228(c)); section 

1407(e) of the Victims of Crime Act of 1984 (34 U.S.C. § 20110(e)); section 299A(b) of the Juvenile Justice 

and Delinquency Prevention Act of 2002 (34 U.S.C. § 11182(b)); and that the grant condition set out at 

section 40002(b)(13) of the Violence Against Women Act (34 U.S.C. § 12291(b)(13)), which will apply to all 

awards made by the Office on Violence Against Women, also may apply to an award made otherwise; 

c. the Applicant understands that it must require any subrecipient to comply with all such applicable statutes 

(and associated regulations); and 

d. on behalf of the Applicant, I make the specific assurances set out in 28 C.F.R. §§ 42.105 and 42.204. 

(5) The Applicant also understands that (in addition to any applicable program-specific regulations and to 

applicable federal regulations that pertain to civil rights and nondiscrimination) the federal regulations 

applicable to the award (if any) made by the Department based on the application may include, but are not 

limited to, 2 C.F.R. Part 2800 (the DOJ "Part 200 Uniform Requirements") and 28 C.F.R. Parts 22 (confidentiality 

- research and statistical information), 23 (criminal intelligence systems), 38 (regarding faith-based or religious 

organizations participating in federal financial assistance programs), and 46 (human subjects protection). 

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(6) I assure that the Applicant will assist the Department as necessary (and will require subrecipients and 

contractors to assist as necessary) with the Department's compliance with section 106 of the National Historic 

Preservation Act of 1966 (54 U.S.C. § 306108), the Archeological and Historical Preservation Act of 1974 (54 

U.S.C. §§ 312501-312508), and the National Environmental Policy Act of 1969 (42 U.S.C. §§ 4321-4335), and 28 

C.F.R. Parts 61 (NEPA) and 63 (floodplains and wetlands). 

(7) I assure that the Applicant will give the Department and the Government Accountability Office, through any 

authorized representative, access to, and opportunity to examine, all paper or electronic records related to the 

award (if any) made by the Department based on the application. 

(8) I assure that, if the Applicant is a governmental entity, with respect to the award (if any) made by the 

Department based on the application--

A. it will comply with the requirements of the Uniform Relocation Assistance and Real Property Acquisitions 

Act of 1970 (42 U.S.C. §§ 4601-4655), which govern the treatment of persons displaced as a result of 

federal and federally-assisted programs; and 

B. it will comply with requirements of 5 U.S.C. §§ 1501-1508 and 7324-7328, which limit certain political 

activities of State or local government employees whose principal employment is in connection with an 

activity financed in whole or in part by federal assistance. 

(9) If the Applicant applies for and receives an award from the Office of Community Oriented Policing Services 

(COPS Office), I assure that as required by 34 U.S.C. § 10382(c)(11), it will, to the extent practicable and 

consistent with applicable law—including, but not limited to, the Indian Self-Determination and Education 

Assistance Act—seek, recruit, and hire qualified members of racial and ethnic minority groups and qualified 

women in order to further effective law enforcement by increasing their ranks within the sworn positions, as 

provided under 34 U.S.C. § 10382(c)(11). 

(10) If the Applicant applies for and receives a DOJ award under the STOP School Violence Act program, I assure as 

required by 34 U.S.C. § 10552(a)(3), that it will maintain and report such data, records, and information 

(programmatic and financial) as DOJ may reasonably require. 

I acknowledge that a materially false, fictitious, or fraudulent statement (or concealment or omission of a material 

fact) in this certification, or in the application that it supports, may be the subject of criminal prosecution (including 

under 18 U.S.C. §§ 1001 and/or 1621, and/or 34 U.S.C. §§ 10271-10273), and also may subject me and the Applicant 

to civil penalties and administrative remedies for false claims or otherwise (including under 31 U.S.C. §§ 3729-3730 

and 3801-3812). I also acknowledge that the Department’s awards, including certifications provided in connection 

with such awards, are subject to review by the Department, including by its Office of the Inspector General. 

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. U.S. Department of Justice Certifications Regarding 

Lobbying; Debarment, Suspension and Other Responsibility Matters; 

Drug-Free Workplace Requirements; Law Enforcement and Community 

Policing 

Applicants should refer to the regulations cited below to determine the certification to which they are required to 

attest. Applicants should also review the instructions for certification included in the regulations before completing 

this form. The certifications shall be treated as a material representation of fact upon which reliance will be placed 

when the U.S. Department of Justice (“Department”) determines to award the covered transaction, grant, or 

cooperative agreement. 

1. LOBBYING 

As required by 31 U.S.C. § 1352, as implemented by 28 C.F.R. Part 69, the Applicant certifies and assures (to 

the extent applicable) the following: 

i. No Federal appropriated funds have been paid or will be paid, by or on behalf of the Applicant, to any 

person for influencing or attempting to influence an officer or employee of any agency, a Member of 

Congress, an officer or employee of Congress, or an employee of a Member of Congress in 

connection with the making of any Federal grant, the entering into of any cooperative agreement, or 

the extension, continuation, renewal, amendment, or modification of any Federal grant or 

cooperative agreement; 

ii. If the Applicant’s request for Federal funds is in excess of $100,000, and 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 Applicant shall complete and submit Standard Form - LLL, “Disclosure of 

Lobbying Activities” in accordance with its (and any DOJ awarding agency’s) instructions; and 

iii. The Applicant shall require that the language of this certification be included in the award documents 

for all subgrants and procurement contracts (and their subcontracts) funded with Federal award 

funds and shall ensure that any certifications or lobbying disclosures required of recipients of such 

subgrants and procurement contracts (or their subcontractors) are made and filed in accordance with 

31 U.S.C. § 1352. 

2. DEBARMENT, SUSPENSION, AND OTHER RESPONSIBILITY MATTERS 

A. Pursuant to Department regulations on nonprocurement debarment and suspension implemented at 2 

C.F.R. Part 2867, and to other related requirements, the Applicant certifies, with respect to prospective 

participants in a primary tier “covered transaction,” as defined at 2 C.F.R. § 2867.20(a), that neither it nor 

any of its principals— 

i. is 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; 

has within a three-year period preceding this application been convicted of a felony criminal violation 

under any Federal law, or been convicted or had a civil judgment rendered against it for commission 

of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a 

public (Federal, State, tribal, or local) transaction or private agreement or transaction; violation of 

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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 its (or its principals’) 

present responsibility; 

ii. is presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, 

State, tribal, or local) with commission of any of the offenses enumerated in paragraph (b) of this 

certification; and/or 

iii. has within a three-year period preceding this application had one or more public transactions 

(Federal, State, tribal, or local) terminated for cause or default. 

B. Where the Applicant is unable to certify to any of the statements in this certification, it shall attach an 

explanation to this application. Where the Applicant or any of its principals was convicted, within a threeyear period preceding this application, of a felony criminal violation under any Federal law, the Applicant 

also must disclose such felony criminal conviction in writing to the Department (for OJP Applicants, to OJP 

at Ojpcompliancereporting@usdoj.gov; for OVW Applicants, to OVW at OVW.GFMD@usdoj.gov; or for 

COPS Applicants, to COPS at AskCOPSRC@usdoj.gov), unless such disclosure has already been made. 

3. FEDERAL TAXES 

A. If the Applicant is a corporation, it certifies either that (1) the corporation has no unpaid Federal tax 

liability that has been assessed, for which all judicial and administrative remedies have been exhausted or 

have lapsed, that is not being paid in a timely manner pursuant to an agreement with the authority 

responsible for collecting the tax liability, or (2) the corporation has provided written notice of such an 

unpaid tax liability (or liabilities) to the Department (for OJP Applicants, to OJP at 

Ojpcompliancereporting@usdoj.gov; for OVW Applicants, to OVW at OVW.GFMD@usdoj.gov; or for COPS 

Applicants, to COPS at AskCOPSRC@usdoj.gov). 

B. Where the Applicant is unable to certify to any of the statements in this certification, it shall attach an 

explanation to this application. 

4. DRUG-FREE WORKPLACE (GRANTEES OTHER THAN INDIVIDUALS) 

As required by the Drug-Free Workplace Act of 1988, as implemented at 28 C.F.R. Part 83, Subpart F, for 

grantees, as defined at 28 C.F.R. §§ 83.620 and 83.650: 

A. The Applicant certifies and assures 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 its 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 Applicant’s policy of maintaining a drug-free workplace; 

c. Any available drug counseling, rehabilitation, and employee assistance programs; and 

d. The penalties that may be imposed upon employees for drug abuse violations occurring in the 

workplace; 

iii. Making it a requirement that each employee to be engaged in the performance of the award be given 

a copy of the statement required by paragraph (a); 

iv. Notifying the employee in the statement required by paragraph (a) that, as a condition of 

employment under the award, the employee will— 

a. Abide by the terms of the statement; and 

b. Notify the employer in writing of the employee’s conviction for a violation of a criminal drug 

statute occurring in the workplace no later than five calendar days after such conviction; 

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v. Notifying the Department, in writing, within 10 calendar days after receiving notice under 

subparagraph (d)(2) from an employee or otherwise receiving actual notice of such conviction. 

Employers of convicted employees must provide notice, including position title of any such convicted 

employee to the Department, as follows: 

For COPS award recipients - COPS Office, 145 N Street, NE, Washington, DC, 20530; 

For OJP and OVW award recipients - U.S. Department of Justice, Office of Justice Programs, 

ATTN: Control Desk, 810 h Street, N.W., Washington, D.C. 20531. 

Notice shall include the identification number(s) of each affected award; 

vi. Taking one of the following actions, within 30 calendar days of receiving notice under subparagraph 

(d)(2), 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; and 

vii. Making a good faith effort to continue to maintain a drug-free workplace through implementation of 

paragraphs (a), (b), (c), (d), (e), and (f). 

LAW ENFORCEMENT AGENCY CERTIFICATION REQUIRED UNDER DEPARTMENT OF JUSTICE DISCRETIONARY 

GRANT PROGRAMS (“SAFE POLICING CERTIFICATION”) 

If this application is for a discretionary award pursuant to which award funds may be made available (whether 

by the award directly or by any subaward at any tier) to a State, local, college, or university law enforcement 

agency, the Applicant certifies that any such law enforcement agency to which funds will be made available 

has been certified by an approved independent credentialing body or has started the certification process. To 

become certified, a law enforcement agency must meet two mandatory conditions: (a) the agency’s use of 

force policies adhere to all applicable federal, State, and local laws; and (b) the agency’s use of force policies 

prohibit chokeholds except in situations where use of deadly force is allowed by law. 

For detailed information on this certification requirement, see https://cops.usdoj.gov/SafePolicingEO. The 

Applicant acknowledges that compliance with this safe policing certification requirement does not ensure 

compliance with federal, state, or local law, and that such certification shall not constitute a defense in any 

federal lawsuit. Nothing in the safe policing certification process or safe policing requirement is intended to be 

(or may be) used by third parties to create liability by or against the United States or any of its officials, 

officers, agents or employees under any federal law. Neither the safe policing certification process nor the 

safe policing certification requirement is intended to (or does) confer any right on any third-person or entity 

seeking relief against the United States or any officer or employee thereof. No person or entity is intended to 

be (or is) a third-party beneficiary of the safe policing certification process, or, with respect to the safe policing 

certification requirement, such a beneficiary for purposes of any civil, criminal, or administrative action. 

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5. COORDINATION REQUIRED UNDER PUBLIC SAFETY AND COMMUNITY POLICING PROGRAMS 

As required by the Public Safety Partnership and Community Policing Act of 1994, at 34 U.S.C. § 10382(c)(5), if 

this application is for a COPS award, the Applicant certifies that there has been appropriate coordination with 

all agencies that may be affected by its award. Affected agencies may include, among others, Offices of the 

United States Attorneys; State, local, or tribal prosecutors; or correctional agencies. 

I acknowledge that a materially false, fictitious, or fraudulent statement (or concealment or omission of a material 

fact) in this certification, or in the application that it supports, may be the subject of criminal prosecution 

(including under 18 U.S.C. §§ 1001 and/or 1621, and/or 34 U.S.C. §§ 10271-10273), and also may subject me and 

the Applicant to civil penalties and administrative remedies for false claims or otherwise (including under 31 U.S.C. 

§§ 3729-3730 and 3801-3812). I also acknowledge that the Department’s awards, including certifications provided 

in connection with such awards, are subject to review by the Department, including by its Office of the Inspector 

General. 

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 D. Enhancement of contractor protection from reprisal for 

disclosure of certain information (41 U.S.C. § 4712) 

(a) Prohibition of reprisals.--

(1) In general.--An employee of a contractor, subcontractor, grantee, or subgrantee or personal services 

contractor may not be discharged, demoted, or otherwise discriminated against as a reprisal for 

disclosing to a person or body described in paragraph (2) information that the employee reasonably 

believes is evidence of gross mismanagement of a Federal contract or grant, a gross waste of Federal 

funds, an abuse of authority relating to a Federal contract or grant, a substantial and specific danger 

to public health or safety, or a violation of law, rule, or regulation related to a Federal contract 

(including the competition for or negotiation of a contract) or grant. 

(2) Persons and bodies covered.--The persons and bodies described in this paragraph are the persons 

and bodies as follows: 

(A) A Member of Congress or a representative of a committee of Congress. 

(B) An Inspector General. 

(C) The Government Accountability Office. 

(D) A Federal employee responsible for contract or grant oversight or management at the relevant 

agency. 

(E) An authorized official of the Department of Justice or other law enforcement agency. 

(F) A court or grand jury. 

(G) A management official or other employee of the contractor, subcontractor, or grantee who has 

the responsibility to investigate, discover, or address misconduct. 

(3) Rules of construction.--For the purposes of paragraph (1)--

(A) an employee who initiates or provides evidence of contractor, subcontractor, or grantee 

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

Federal contract or grant shall be deemed to have made a disclosure covered by such paragraph; 

and 

(B) a reprisal described in paragraph (1) is prohibited even if it is undertaken at the request of an 

executive branch official, unless the request takes the form of a non-discretionary directive and is 

within the authority of the executive branch official making the request. 

(b) Investigation of complaints.--

(1) Submission of complaint.--A person who believes that the person has been subjected to a reprisal 

prohibited by subsection (a) may submit a complaint to the Inspector General of the executive agency 

involved. Unless the Inspector General determines that the complaint is frivolous, fails to allege a 

violation of the prohibition in subsection (a), or has previously been addressed in another Federal or 

State judicial or administrative proceeding initiated by the complainant, the Inspector General shall 

investigate the complaint and, upon completion of such investigation, submit a report of the findings 

of the investigation to the person, the contractor or grantee concerned, and the head of the agency. 

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(2) Inspector General action.--

(A) Determination or submission of report on findings.--Except as provided under subparagraph (B), 

the Inspector General shall make a determination that a complaint is frivolous, fails to allege a 

violation of the prohibition in subsection (a), or has previously been addressed in another Federal 

or State judicial or administrative proceeding initiated by the complainant or submit a report 

under paragraph (1) within 180 days after receiving the complaint. 

(B) Extension of time.--If the Inspector General is unable to complete an investigation in time to 

submit a report within the 180-day period specified in subparagraph (A) and the person 

submitting the complaint agrees to an extension of time, the Inspector General shall submit a 

report under paragraph (1) within such additional period of time, up to 180 days, as shall be 

agreed upon between the Inspector General and the person submitting the complaint. 

(3) Prohibition on disclosure.--The Inspector General may not respond to any inquiry or disclose any 

information from or about any person alleging the reprisal, except to the extent that such response 

or disclosure is--

(A) made with the consent of the person alleging the reprisal; 

(B) made in accordance with the provisions of section 552a of title 5 or as required by any other 

applicable Federal law; or 

(C) necessary to conduct an investigation of the alleged reprisal. 

(4) Time limitation.--A complaint may not be brought under this subsection more than three years after 

the date on which the alleged reprisal took place. 

(c) Remedy and enforcement authority.--

(1) In general.--Not later than 30 days after receiving an Inspector General report pursuant to subsection 

(b), the head of the executive agency concerned shall determine whether there is sufficient basis to 

conclude that the contractor or grantee concerned has subjected the complainant to a reprisal 

prohibited by subsection (a) and shall either issue an order denying relief or shall take one or more of 

the following actions: 

(A) Order the contractor or grantee to take affirmative action to abate the reprisal. 

(B) Order the contractor or grantee to reinstate the person to the position that the person held 

before the reprisal, together with compensatory damages (including back pay), employment 

benefits, and other terms and conditions of employment that would apply to the person in that 

position if the reprisal had not been taken. 

(C) Order the contractor or grantee to pay the complainant an amount equal to the aggregate 

amount of all costs and expenses (including attorneys' fees and expert witnesses' fees) that were 

reasonably incurred by the complainant for, or in connection with, bringing the complaint 

regarding the reprisal, as determined by the head of the executive agency. 

Exhaustion of remedies.--If the head of an executive agency issues an order denying relief under 

paragraph (1) or has not issued an order within 210 days after the submission of a complaint under 

subsection (b), or in the case of an extension of time under paragraph (b)(2)(B), not later than 30 days 

after the expiration of the extension of time, and there is no showing that such delay is due to the 

bad faith of the complainant, the complainant shall be deemed to have exhausted all administrative 

remedies with respect to the complaint, and the complainant may bring a de novo action at law or 

equity against the contractor or grantee to seek compensatory damages and other relief available 

under this section in the appropriate district court of the United States, which shall have jurisdiction 

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over such an action without regard to the amount in controversy. Such an action shall, at the request 

of either party to the action, be tried by the court with a jury. An action under this paragraph may not 

be brought more than two years after the date on which remedies are deemed to have been 

exhausted. 

(2) Admissibility of evidence.--An Inspector General determination and an agency head order denying 

relief under paragraph (2) shall be admissible in evidence in any de novo action at law or equity 

brought pursuant to this subsection. 

(3) Enforcement of orders.--Whenever a person fails to comply with an order issued under paragraph 

(1), the head of the executive agency concerned shall file an action for enforcement of such order in 

the United States district court for a district in which the reprisal was found to have occurred. In any 

action brought under this paragraph, the court may grant appropriate relief, including injunctive 

relief, compensatory and exemplary damages, and attorney fees and costs. The person upon whose 

behalf an order was issued may also file such an action or join in an action filed by the head of the 

executive agency. 

(4) Judicial review.--Any person adversely affected or aggrieved by an order issued under paragraph (1) 

may obtain review of the order's conformance with this subsection, and any regulations issued to 

carry out this section, in the United States court of appeals for a circuit in which the reprisal is alleged 

in the order to have occurred. No petition seeking such review may be filed more than 60 days after 

issuance of the order by the head of the executive agency. Review shall conform to chapter 7 of title 

5. Filing such an appeal shall not act to stay the enforcement of the order of the head of an executive 

agency, unless a stay is specifically entered by the court. 

(5) Burdens of proof.--The legal burdens of proof specified in section 1221(e) of title 5 shall be 

controlling for the purposes of any investigation conducted by an Inspector General, decision by the 

head of an executive agency, or judicial or administrative proceeding to determine whether 

discrimination prohibited under this section has occurred. 

(6) Rights and remedies not waivable.--The rights and remedies provided for in this section may not be 

waived by any agreement, policy, form, or condition of employment. 

(d) Notification of employees.--The head of each executive agency shall ensure that contractors, 

subcontractors, and grantees of the agency inform their employees in writing of the rights and remedies 

provided under this section, in the predominant native language of the workforce. 

(e) Construction.--Nothing in this section may be construed to authorize the discharge of, demotion of, or 

discrimination against an employee for a disclosure other than a disclosure protected by subsection (a) or 

to modify or derogate from a right or remedy otherwise available to the employee. 

(f) Exceptions.--

(1) This section shall not apply to any element of the intelligence community, as defined in section 3(4) 

of the National Security Act of 1947 (50 U.S.C. § 401a(4)). 

(2) This section shall not apply to any disclosure made by an employee of a contractor, subcontractor, or 

grantee of an element of the intelligence community if such disclosure--

(A) relates to an activity of an element of the intelligence community; or 

(B) was discovered during contract, subcontract, or grantee services provided to an element of the 

intelligence community. 

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(g) Definitions.--In this section: 

(1) The term “abuse of authority” means an arbitrary and capricious exercise of authority that is 

inconsistent with the mission of the executive agency concerned or the successful performance of a 

contract or grant of such agency. 

(2) The term “Inspector General” means an Inspector General appointed under the Inspector General Act 

of 1978 and any Inspector General that receives funding from, or has oversight over contracts or 

grants awarded for or on behalf of, the executive agency concerned. 

(h) Construction.--Nothing in this section, or the amendments made by this section, 1 shall be construed to 

provide any rights to disclose classified information not otherwise provided by law. 

[(i) Repealed by Pub.L. 114-261, § 1(a)(3)(A)(ii), Dec. 14, 2016, 130 Stat. 1362] 

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Appendix E. 2 C.F.R. Appendix II to Part 200: Contract provisions for 

nonfederal entity contracts under federal awards 

In addition to other provisions required by the Federal agency or non-Federal entity, all contracts made by the 

non-Federal entity under the Federal award must contain provisions covering the following, as applicable. 

(A) Contracts for more than the simplified acquisition threshold, which is the inflation adjusted amount 

determined by the Civilian Agency Acquisition Council and the Defense Acquisition Regulations Council (Councils) 

as authorized by 41 U.S.C. 1908, must address administrative, contractual, or legal remedies in instances where 

contractors violate or breach contract terms, and provide for such sanctions and penalties as appropriate. 

(B) All contracts in excess of $10,000 must address termination for cause and for convenience by the non-Federal 

entity including the manner by which it will be effected and the basis for settlement. 

(C) Equal Employment Opportunity. Except as otherwise provided under 41 CFR Part 60, all contracts that meet the 

definition of “federally assisted construction contract” in 41 CFR Part 60-1.3 must include the equal opportunity 

clause provided under 41 CFR 60-1.4(b), in accordance with Executive Order 11246, “Equal Employment 

Opportunity” (30 FR 12319, 12935, 3 CFR Part, 1964-1965 Comp., p. 339), as amended by Executive Order 11375, 

“Amending Executive Order 11246 Relating to Equal Employment Opportunity,” and implementing regulations at 

41 CFR part 60, “Office of Federal Contract Compliance Programs, Equal Employment Opportunity, Department of 

Labor.” 

(D) Davis-Bacon Act, as amended (40 U.S.C. 3141-3148). When required by Federal program legislation, all prime 

construction contracts in excess of $2,000 awarded by non-Federal entities must include a provision for 

compliance with the Davis-Bacon Act (40 U.S.C. 3141-3144, and 3146-3148) as supplemented by Department of 

Labor regulations (29 CFR Part 5, “Labor Standards Provisions Applicable to Contracts Covering Federally Financed 

and Assisted Construction”). In accordance with the statute, contractors must be required to pay wages to laborers 

and mechanics at a rate not less than the prevailing wages specified in a wage determination made by the 

Secretary of Labor. In addition, contractors must be required to pay wages not less than once a week. The nonFederal entity must place a copy of the current prevailing wage determination issued by the Department of Labor 

in each solicitation. The decision to award a contract or subcontract must be conditioned upon the acceptance of 

the wage determination. The non-Federal entity must report all suspected or reported violations to the Federal 

awarding agency. The contracts must also include a provision for compliance with the Copeland “Anti-Kickback” 

Act (40 U.S.C. 3145), as supplemented by Department of Labor regulations (29 CFR Part 3, “Contractors and 

Subcontractors on Public Building or Public Work Financed in Whole or in Part by Loans or Grants from the United 

States”). The Act provides that each contractor or subrecipient must be prohibited from inducing, by any means, 

any person employed in the construction, completion, or repair of public work, to give up any part of the 

compensation to which he or she is otherwise entitled. The non-Federal entity must report all suspected or 

reported violations to the Federal awarding agency. 

(E) Contract Work Hours and Safety Standards Act (40 U.S.C. 3701-3708). Where applicable, all contracts awarded 

by the non-Federal entity in excess of $100,000 that involve the employment of mechanics or laborers must 

include a provision for compliance with 40 U.S.C. 3702 and 3704, as supplemented by Department of Labor 

regulations (29 CFR Part 5). Under 40 U.S.C. 3702 of the Act, each contractor must be required to compute the 

wages of every mechanic and laborer on the basis of a standard work week of 40 hours. Work in excess of the 

standard work week is permissible provided that the worker is compensated at a rate of not less than one and a 

half times the basic rate of pay for all hours worked in excess of 40 hours in the work week. The requirements of 

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40 U.S.C. 3704 are applicable to construction work and provide that no laborer or mechanic must be required to 

work in surroundings or under working conditions which are unsanitary, hazardous or dangerous. These 

requirements do not apply to the purchases of supplies or materials or articles ordinarily available on the open 

market, or contracts for transportation or transmission of intelligence. 

(F) Rights to Inventions Made Under a Contract or Agreement. If the Federal award meets the definition of 

“funding agreement” under 37 CFR §401.2 (a) and the recipient or subrecipient wishes to enter into a contract 

with a small business firm or nonprofit organization regarding the substitution of parties, assignment or 

performance of experimental, developmental, or research work under that “funding agreement,” the recipient or 

subrecipient must comply with the requirements of 37 CFR Part 401, “Rights to Inventions Made by Nonprofit 

Organizations and Small Business Firms Under Government Grants, Contracts and Cooperative Agreements,” and 

any implementing regulations issued by the awarding agency. 

(G) Clean Air Act (42 U.S.C. 7401-7671q.) and the Federal Water Pollution Control Act (33 U.S.C. 1251-1387), as 

amended—Contracts and subgrants of amounts in excess of $150,000 must contain a provision that requires the 

non-Federal award to agree to comply with all applicable standards, orders or regulations issued pursuant to the 

Clean Air Act (42 U.S.C. 7401-7671q) and the Federal Water Pollution Control Act as amended (33 U.S.C. 1251-

1387). Violations must be reported to the Federal awarding agency and the Regional Office of the Environmental 

Protection Agency (EPA). 

(H) Debarment and Suspension (Executive Orders 12549 and 12689)—A contract award (see 2 CFR 180.220) must 

not be made to parties listed on the government wide exclusions in the System for Award Management (SAM), in 

accordance with the OMB guidelines at 2 CFR 180 that implement Executive Orders 12549 (3 CFR part 1986 Comp., 

p. 189) and 12689 (3 CFR part 1989 Comp., p. 235), “Debarment and Suspension.” SAM Exclusions contains the 

names of parties debarred, suspended, or otherwise excluded by agencies, as well as parties declared ineligible 

under statutory or regulatory authority other than Executive Order 12549. 

(I) Byrd Anti-Lobbying Amendment (31 U.S.C. 1352)—Contractors that apply or bid for an award exceeding 

$100,000 must file the required certification. Each tier certifies to the tier above that it will not and has not used 

Federal appropriated funds to pay any person or organization for influencing or attempting to influence an officer 

or employee of any agency, a member of Congress, officer or employee of Congress, or an employee of a member 

of Congress in connection with obtaining any Federal contract, grant or any other award covered by 31 U.S.C. 

1352. Each tier must also disclose any lobbying with non-Federal funds that takes place in connection with 

obtaining any Federal award. Such disclosures are forwarded from tier to tier up to the non-Federal award. 

(J) See § 200.323. 

(K) See § 200.216. 

[78 FR 78608, Dec. 26, 201, as amended at 79 FR 75888, Dec. 19, 2014; 85 FR 49577, Aug. 13, 2020] 

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Appendix F. 2 C.F.R. Part 200, Appendix XII to Part 200—AWARD TERM 

AND CONDITION FOR RECEIPT INTEGRITY AND PERFORMANCE 

MATTERS 

A. REPORTING OF MATTERS RELATED TO RECIPIENT INTEGRITY ANDPERFORMANCE 

1.General Reporting Requirement 

If the total value of your currently active grants, cooperative agreements, and procurement contracts from all 

Federal awarding agencies exceeds $10,000,000 for any period of time during the period of performance of this 

Federal award, then you as the recipient during that period of time must maintain the currency of information 

reported to the System for Award Management (SAM) that is made available in the designated integrity and 

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

civil, criminal, or administrative proceedings described in paragraph 2 of this award term and condition. This is a 

statutory requirement under section 872 of Public Law 110-417, as amended (41 U.S.C. 2313). As required by 

section 3010 of Public Law 111-212, all information posted in the designated integrity and performance system on 

or after April 15, 2011, except past performance reviews required for Federal procurement contracts, will be 

publicly available. 

2.Proceedings About Which You Must Report 

Submit the information required about each proceeding that: 

a. Is in connection with the award or performance of a grant, cooperative agreement, or procurement contract 

from the Federal Government; 

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

c. Is one of the following: 

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

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

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

(3) An administrative proceeding, as defined in paragraph 5. of this award term and condition, that resulted in a 

finding of fault and liability and your payment of either a monetary fine or penalty of $5,000 or more or 

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

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

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

(ii) It had a different disposition arrived at by consent or compromise with an acknowledgment of fault on your 

part; and 

(iii) The requirement in this award term and condition to disclose information about the proceeding does not 

conflict with applicable laws and regulations. 

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3.Reporting Procedures 

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

paragraph 2 of this award term and condition. You do not need to submit the information a second time under 

assistance awards that you received if you already provided the information through SAM because you were 

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

4.Reporting Frequency 

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

condition, you must report proceedings information through SAM for the most recent five year period, either to 

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

new information to report. Recipients that have Federal contract, grant, and cooperative agreement awards with a 

cumulative total value greater than $10,000,000 must disclose semiannually any information about the criminal, 

civil, and administrative proceedings. 

5.Definitions 

For purposes of this award term and condition: 

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

determination of fault or liability (e.g., Securities and Exchange Commission Administrative proceedings, Civilian 

Board of Contract Appeals proceedings, and Armed Services Board of Contract Appeals proceedings). This includes 

proceedings at the Federal and State level but only in connection with performance of a Federal contract or grant. 

It does not include audits, site visits, corrective plans, or inspection of deliverables. 

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

by any court of competent jurisdiction, whether entered upon a verdict or a plea, and includes a conviction 

entered upon a plea of nolo contendere. 

c. Total value of currently active grants, cooperative agreements, and procurement contracts includes— 

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

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

B. [Reserved] 

[80 FR 43310, July 22, 2015, as amended at 85 FR 49582, Aug. 13, 2020] 

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Appendix G. Intergovernmental review process, points of contact by 

state 

Executive Order 12372 requires applicants from state and local units of government or other organizations or 

individuals providing service within a state to submit a copy of the application to the state single point of contact 

(SPOC), if one exists and if this program has been selected for review by the state. Before the application due date, 

you had to contact your state SPOC to find out if this program has been selected for review and comply with the 

state’s process under Executive Order 12372. The Catalog of Federal Domestic Assistance reference for this 

program is number 16.710, “Public Safety and Community Policing Grants.” 

A current list of state SPOCs is listed at https://www.whitehouse.gov/wp-content/uploads/2020/04/SPOC-4-13-

20.pdf. States that are not listed have chosen not to participate in the intergovernmental review process and 

therefore do not have a SPOC. 

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Appendix H. Federal Funding Accountability and Transparency Act 

(FFATA)—Reporting subaward and executive compensation award term 

2 C.F.R. Part 170, Appendix A to Part 170—Award term 

I. Reporting Subawards and Executive Compensation 

a. Reporting of first-tier subawards. 

Applicability. Unless you are exempt as provided in paragraph d. of this award term, you must report each action 

that equals or exceeds $30,000 in Federal funds for a subaward to a non-Federal entity or Federal agency (see 

definitions in paragraph e. of this award term). 

Where and when to report. 

i. The non-Federal entity or Federal agency must report each obligating action described in paragraph a.1. of this 

award term to http://www.fsrs.gov. 

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

obligation was made. (For example, if the obligation was made on November 7,2010, the obligation must be 

reported by no later than December 31, 2010.) 

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

posted at http://www.fsrs.gov specify. 

b. Reporting total compensation of recipient executives for non-Federal entities. 

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— 

The total Federal funding authorized to date under this Federal award equals or exceeds$30,000 as defined in 2 

CFR 170.320; 

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 CFR 170.320 (and subawards), and 

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

Federal financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320 (and subawards); and, 

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 of1934 (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 

http://www.sec.gov/answers/execomp.htm.) 

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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 https://www.sam.gov. 

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

c. Reporting of Total Compensation of Subrecipient Executives. 

Applicability and what to report. Unless you are exempt as provided in paragraph d. of this award term, for each 

first-tier non-Federal entity subrecipient under this award, you shall report the names and total compensation of 

each of the subrecipient's five most highly compensated executives for the subrecipient's preceding completed 

fiscal year, if—in the subrecipient's preceding fiscal year, the subrecipient received— 

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

Federal financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320 (and subawards) and, 

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

Federal financial assistance subject to the Transparency Act (and subawards); and 

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 of1934 (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 

http://www.sec.gov/answers/execomp.htm.) 

Where and when to report. 

You must report subrecipient executive total compensation described in paragraph c.1. of this award term: 

To the recipient. 

By the end of the month following the month during which you make the subaward. For example, if a subaward is 

obligated on any date during the month of October of a given year (i.e., between October 1 and 31), you must 

report any required compensation information of the subrecipient by November 30 of that year. 

d. Exemptions. 

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

requirements to report: 

i. Subawards, and 

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

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e. Definitions. 

For purposes of this award term: 

Federal Agency means a Federal agency as defined at 5 U.S.C. 551(1) and further clarified by 5U.S.C. 552(f). 

Non-Federal entity means all of the following, as defined in 2 CFR part 25: 

A Governmental organization, which is a State, local government, or Indian tribe; 

A foreign public entity; 

A domestic or foreign nonprofit organization; and, 

A domestic or foreign for-profit organization 

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

Subaward: 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. 

The term does not include your procurement of property and services needed to carry out the project or program 

(for further explanation, see 2 CFR 200.331). 

A subaward may be provided through any legal agreement, including an agreement that you or a subrecipient 

considers a contract. 

Subrecipient means a non-Federal entity or Federal agency that: 

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

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

Total compensation means the cash and noncash dollar value earned by the executive during the recipient's or 

subrecipient's preceding fiscal year and includes the following (for more information see 17 CFR 229.402(c)(2)). 

[85 FR 49526, Aug. 13, 2020] 

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Appendix I. Remittance of Interest Earned Amounts 

2 CFR § 200.305 (b)(9) – Payment (remittance of interest earned) 

1. Interest earned amounts up to $500 per year may be retained by the non-federal entity for administrative 

expense. Any additional interest earned on federal advance payments deposited in interest-bearing 

accounts must be remitted annually to the Department of Health and Human Services Payment 

Management System (PMS) through an electronic medium using either Automated Clearing House (ACH) 

network or a Fedwire Funds Service payment. Remittances must include pertinent information of the 

payee and nature of payment in the memo area (often referred to as “addenda records” by Financial 

Institutions) as that will assist in the timely posting of interest earned on federal funds. Pertinent details 

include the Payee Account Number (PAN) if the payment originated from PMS, or Agency information if 

the payment originated from ASAP, NSF or another federal agency payment system. The remittance must 

be submitted as follows: 

i. For ACH Returns: 

Routing Number: 051036706 

Account number: 303000 

Bank Name and Location: Credit Gateway - ACH Receiver St. Paul, MN 

ii. For Fedwire Returns*: 

Routing Number: 021030004 

Account number: 75010501 

Bank Name and Location: Federal Reserve Bank Treas NYC/Funds Transfer Division New York, NY 

(* Please note organization initiating payment is likely to incur a charge from your Financial Institution for 

this type of payment) 

iii. For International ACH Returns: 

Beneficiary Account: Federal Reserve Bank of New York/ITS (FRBNY/ITS) 

Bank: Citibank N.A. (New York) 

Swift Code: CITIUS33 

Account Number: 36838868 

Bank Address: 388 Greenwich Street, New York, NY 10013 

Payment Details (Line 70): Agency 

Name (abbreviated when possible) and ALC Agency POC: Michelle Haney, 301-492-5065 

iv. For recipients that do not have electronic remittance capability, please make check** payable to: 

“The Department of Health and Human Services.” 

Mail Check to Treasury approved lockbox: 

HHS Program Support Center, P.O. Box 530231, Atlanta, GA 30353-0231 

(** Please allow 4-6 weeks for processing of a payment by check to be applied to the appropriate PMS 

account) 

Any additional information/instructions may be found on the PMS Web site at https://pms.psc.gov/ 

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Appendix J. Additional resources for Cooperative Agreement recipients 

All recipients must follow the guidance in the financial fact sheets as outlined in this manual. The following are the 

fact sheets that can be found on the Award Management Materials web page: 

• Grant Adjustment Modifications – Budget Modification Fact Sheet 

• Consultant Contractor Fact Sheet 

• Program Income Fact Sheet 

• Sole Source Justification Fact Sheet 

Some recipients may be awarded Cooperative Agreements to develop reports, publications, manuals, training, 

videos, and other products. The Cooperative Agreement, which is included in the Award Document, includes 

customized tasks and deliverables that may require the recipient to follow one or more of these resource 

documents or fact sheets applicable to their project: 

COPS Office Logo Standards Manual 

In Person Curriculum Standards Guide 

Instructor Quality Assurance Guide 

Non-TOT Instructor Guide Template 

Non-TOT Participant Guide Template 

Non-TOT PowerPoint Background 

Online Curriculum Process Guide 

TOT Instructor Guide Template 

TOT Participant Guide Template 

TOT PowerPoint Background 

Video Development Process Guide 

The ADDIE Model of Instructional Design Fact Sheet 

The COPS Office Editorial and Graphics Style Manual: Guide for Authors, New Revised Third Edition 

Training Fact Sheet 

Section 508 of the Rehabilitation Act of 1973 

Webinar Fact Sheet 

Webinar Template 

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Glossary of Terms 

allowable costs. Allowable costs are expenses that may be funded by this award program. The COPS Office BA 

award must be limited to funding for equipment, services, personnel, and other costs purchased or hired on or 

after the award start date. Upon review of your submitted budget, any unallowable costs were removed. Your 

award package specifies your allowable costs, contains the final budget category amounts for which your 

organization was approved, and notes any relevant revisions that were made to your original budget submission. 

audit. Work done by auditors, including both the Office of the Inspector General (OIG) and state or local auditors, 

to examine financial statements and to review 

• compliance with laws and regulations; 

• economy and efficiency of operations; 

• effectiveness in achieving program results; 

• allowability of costs claimed against the award. 

authorized representative. The authorized representatives are the individuals in your organization who have final 

authority and responsibility for all programmatic and financial decisions regarding this award. At the time of award 

application, your agency listed the authorized representatives for your agency. For law enforcement agencies, 

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

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

Package. The top law enforcement executive must be assigned the role of Authorized Representative 1 and the top 

government executive must be assigned the role of Authorized Representative 2 in JustGrants. 

For non–law enforcement agencies (institutions of higher education, school districts, private organizations, etc.), 

COPS Office awards require that both the programmatic official (e.g., executive director, chief executive officer, or 

equivalent) and financial official (e.g., chief financial officer, treasurer, or equivalent) accept the Award Package. 

These two officials must have the ultimate signatory authority to sign contracts on behalf of your organization. The 

programmatic official must be assigned the role of Authorized Representative 1 and the financial official must be 

assigned the role of Authorized Representative 2 in Just Grants. 

These executives are listed on your award document and are understood to be your authorized representatives. If 

any of the executive information is incorrect, please revise the information via JustGrants. For any assistance, 

please reference the https://justicegrants.usdoj.gov/training/jarg-entity-management.pdf. 

award end date. This is the date until which your agency is authorized to purchase items or hire positions that 

were approved by the COPS Office. The award end date is found on your award document. Recipients may not 

make any purchases or hire any positions prior to this date without written approval from the COPS Office. 

award number. The award number identifies your organization’s specific BA award and can be found on your 

award package. This number should be used as a reference when corresponding with the COPS Office. Your award 

number is in the format 15JCOPS-23-GG-XXXXX-XXXX for awards made in FY 2023. The COPS Office tracks award 

information based upon this number. 

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award start date. This is the date on or after which your agency is authorized to purchase or hire any allowable 

equipment, services, personnel, or other costs that were approved by the COPS Office. The award start date is 

found on your award package. Recipients may not expend funds prior to this date without written approval from 

the COPS Office. 

career law enforcement officer. The COPS Office statute defines a career law enforcement officer as a person 

hired on a permanent basis who is authorized by law, or by a state or local public agency, to engage in or oversee 

the prevention, detection, or investigation of violations of criminal laws. 

Catalog of Federal Domestic Assistance (CFDA). The CFDA is an annual government-wide publication that contains 

a description and index of all forms of federal assistance. Each program is assigned a CFDA number, which is used 

by auditors to track award revenues under the Single Audit Act. It is also used in participating states by State Single 

Points of Contact in conducting the required intergovernmental reviews under Executive Order 12372. The CFDA 

number for the COPS Office BA Program award is 16.710. 

closeout. This is the process in which the awarding agency, the COPS Office, determines that all applicable 

administrative actions and all required work and conditions of the award have been completed and met by the 

recipient and awarding agency. 

cognizant federal agency. Your cognizant federal agency is generally the federal agency that provides your agency 

with the most federal money. The Office of Management and Budget (OMB) may have already assigned your 

cognizant federal agency to you. If this is the first federal award that your organization has received, the U.S. 

Department of Justice (DOJ) is your cognizant federal agency. 

community policing. Community policing is a philosophy that promotes organizational strategies that support the 

systematic use of partnerships and problem-solving techniques to proactively address the immediate conditions 

that give rise to public safety issues such as violent crime, nonviolent crime, and fear of crime. 

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. 

computing devices. Computing devices are machines used to acquire, store, analyze, process, and publish data and 

other information electronically, including accessories (or “peripherals”) for printing, transmitting, and receiving, 

or storing electronic information. 

cooperative agreement. A legal instrument of financial assistance between a federal awarding agency and a nonfederal entity to carry out a public purpose authorized by a law of the United States that, consistent with 31 U.S.C. 

§ 6302-6305, provides for substantial involvement between the federal awarding agency and the non-federal 

entity in carrying out the activity contemplated by the federal award. 

COPS Office. The Office of Community Oriented Policing Services (COPS Office) is the office within the U.S. 

Department of Justice that is the grantor or awarding agency for your award. The COPS Office is responsible for 

assisting your agency with the administration and maintenance of your award for the entire award period. You can 

reach the COPS Office at AskCOPSRC@usdoj.gov. 

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COPS Office finance staff. The COPS Office finance staff handles your agency’s financial and budgetary needs 

related to this award. A staff accountant has been assigned to your state, and is available to answer any questions 

that you may have concerning the financial aspects of your award. To identify your staff accountant, please call the 

COPS Office Response Center at AskCOPSRC@usdoj.gov or visit the COPS Office website at 

https://cops.usdoj.gov. 

COPS Office Program Manager. COPS Office Program Managers are trained to assist you with implementing and 

maintaining your BA award. A COPS Office program manager is assigned to your project and is available to answer 

any questions that you may have concerning the administrative, programmatic, and substantive aspects of your 

award. Your COPS Office program manager can assist you with such matters as requesting an extension on your 

award or modifying the award, and reviewing outlines for project deliverables. The name and phone number of 

your COPS Office program manager is provided on the award congratulatory letter and available by contacting the 

COPS Office Response Center at AskCOPSRC@usdoj.gov. 

disallowed costs. Disallowed costs means those charges that are determined to be unallowable, in accordance 

with the applicable Federal statutes, regulations, or the terms and conditions of the federal award. 

Employer Identification Number (EIN) / OJP vendor number. This number is usually your agency’s nine-digit 

federal tax identification number as assigned to you by the Internal Revenue Service (IRS). Your 

accounting/bookkeeping department should have this number. In some cases, the EIN has been previously 

assigned to another agency within your jurisdiction. In this instance, a new vendor number will be assigned to you 

by the Office of the Chief Financial Officer. The newly assigned number is to be used for COPS Office administrative 

purposes only and should not be used for IRS purposes. 

equipment. Equipment is tangible personal property (including information technology systems) having a useful 

life of more than one year and a per-unit acquisition cost that equals or exceeds $5,000. 

federally recognized tribe. Tribal entities that are recognized and eligible for funding and services from the Bureau 

of Indian Affairs (BIA) by virtue of their status as Indian tribes. They are acknowledged to have the immunities and 

privileges available to other federally recognized Indian tribes by virtue of their government-to-government 

relationship with the United States as well as the responsibilities, power, limitations, and obligations of such tribes. 

Only federally recognized tribes are eligible to apply for COPS Office tribal award funds. For further information, 

contact BIA, Division of Tribal Government Services, MS-4631 – MIB, 1849 C Street NW, Washington, DC 20240, 

202-208-2475. 

grant. A legal instrument of financial assistance between a federal awarding agency and a non-federal entity to 

carry out a public purpose authorized by a law of the United States that, consistent with 31 U.S.C. § 6302-6305, 

does not provide for substantial involvement between the federal awarding agency and the non-Federal entity in 

carrying out the activity contemplated by the federal award. 

Grant Monitoring Specialist. COPS Office Grant Monitoring Specialists are trained and available to assist you in 

addressing any compliance-related questions regarding your award. Grant monitoring specialists plan and conduct 

site visits and office-based grant reviews. During the life of your award, you may be selected for a monitoring site 

visit to assess your compliance with the terms and agreements of the award program, to review your community 

policing initiatives, and to provide technical and administrative support for your award. Please contact the COPS 

Office Response Center AskCOPSRC@usdoj.gov if you have any compliance-related questions. 

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Indian tribe. For purposes of COPS Office awards, Indian tribe means a tribe, band, pueblo, nation, or other 

organized group or community of Indians, including an Alaska Native village (as defined in or established under the 

Alaska Native Claims Settlement Act (43 U.S.C.§ 1601 et seq.), that is recognized as eligible for the special 

programs and services provided by the United States to Indians because of their status as Indians. See 34 U.S.C. § 

10389(3). 

indirect costs. Indirect (facilities & administrative (F&A)) costs means those costs incurred for a common or joint 

purpose benefitting more than one cost objective, and not readily assignable to the cost objectives specifically 

benefitted, without effort disproportionate to the results achieved. 

institutions of higher education (IHE). Institution of higher education is defined at 20 U.S.C. 1001. 

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. 

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. 

modified total direct cost. Modified total direct cost (MTDC) means all direct salaries and wages, applicable fringe 

benefits, materials and supplies, services, travel, and up to the first $25,000 of each subaward (regardless of the 

period of performance of the subawards under the award). MTDC excludes equipment, capital expenditures, 

charges for patient care, rental costs, tuition remission, scholarships and fellowships, participant support costs and 

the portion of each subaward in excess of $25,000. Other items may only be excluded when necessary to avoid a 

serious inequity in the distribution of indirect costs, and with the approval of the cognizant agency for indirect 

costs. 

National Incident-Based Reporting System (NIBRS). A comprehensive reporting database. Agencies provide 

individual records for eight index crimes and 38 other offenses. 

nonfederal entity. Nonfederal entity means a state, local government, Indian tribe, institution of higher education, 

or nonprofit organization that carries out a federal award as a recipient or subrecipient. 

nonprofit organization. Nonprofit organization means any corporation, trust, association, cooperative, or other 

organization, not including institutions of higher education, that is operated primarily for scientific, educational, 

service, charitable, or similar purposes in the public interest; is not organized primarily for profit; and uses net 

proceeds to maintain, improve, or expand the operations of the organization. 

obligation of funds. The COPS Office obligates federal funds when the award document is signed by the COPS 

Office Director or their designated official. For the recipient, award funds are obligated when monies are spent or 

orders are placed for purchasing approved technology or services under your BA award. The term “encumbrance” 

is often used at the local and state levels to describe this type of transaction. Liquidated obligations are considered 

cash outlays or monies actually spent. Unliquidated obligations are obligations incurred and recorded but not yet 

paid (accrual basis of accounting) or not yet recorded and not yet paid (cash basis of accounting). 

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OJP vendor number/EIN number. This is your agency’s nine-digit federal tax identification number assigned to you 

by the IRS. Your accounting/bookkeeping department should have this number. 

If your EIN previously has been assigned to another agency within your jurisdiction, the Office of the Comptroller 

will assign a new OJP vendor number to you. The new assigned number is to be used for administrative purposes 

only, in connection with this award program, and should not be used for IRS purposes. 

participant support costs. Participant support costs means direct costs for items such as stipends or subsistence 

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

employees) in connection with conferences, or training projects. 

primary law enforcement authority. An agency with primary law enforcement authority is the agency that is the 

first responder to calls for service, and has ultimate and final responsibility for the prevention, detection, or 

investigation of violations of criminal laws within its jurisdiction. Agencies are not considered to have primary law 

enforcement authority if they only respond to or investigate specific type(s) of crime(s); respond to or investigate 

crimes within a correctional institution; serve warrants; provide courthouse security; transport prisoners; and/or 

have cases referred to them for investigation or investigational support. 

program income. Program income means gross income earned by the non-Federal entity that is directly generated 

by a supported activity or earned as a result of the Federal award during the period of performance. 

Public Safety Partnership and Community Policing Act of 1994. The COPS Office is charged with fulfilling the 

mandates of this law. The purposes of the law are to 

• increase the number of community policing officers on the beat; 

• provide additional and more effective training to law enforcement officers to enhance their problem-solving, 

service, and other skills needed in interacting with members of the community; 

• encourage the development and implementation of innovative programs to permit members of the 

community to assist law enforcement agencies in the prevention of crime; 

• encourage the development of new technologies to assist law enforcement agencies in reorienting the 

emphasis of their activities from reacting to crime to preventing crime. 

recipient. The Uniform Guidance defines it as “Recipient means a non-Federal entity that receives a Federal award 

directly from a Federal awarding agency to carry out an activity under a Federal program. The term recipient does 

not include subrecipients. See also § 200.1 Non-Federal entity.” 2 C.F.R. § 200.1. 

research and development. Research and development (R&D) means all research activities, both basic and 

applied, and all development activities that are performed by non-Federal entities. The term “research” also 

includes activities involving the training of individuals in research techniques where such activities use the same 

facilities as other research and development activities and where such activities are not included in the instruction 

function. “Research” is defined as a systematic study directed toward fuller scientific knowledge or understanding 

of the subject studied. “Development” is the systematic use of knowledge and understanding gained from research 

directed toward the production of useful materials, devices, systems, or methods, including design and 

development of prototypes and processes. 

SAFECOM guidance. The U.S. Department of Homeland Security Office of Emergency Communications, in 

coordination with various stakeholder groups, develops the annual SAFECOM Guidance on Emergency 

Communications Grants. The guidance provides recommendations to recipients seeking funding for interoperable 

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FY 2023 COPS Office Blue Alert (BA) Program Award Owner’s Manual 

emergency communications projects, including allowable costs, items to consider when funding emergency 

communications projects, awards management best practices for emergency communications awards, 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. Recipients (including sub-recipients) that are using BA 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 https://www.cisa.gov/safecom/funding. 

simplified acquisition threshold. Simplified acquisition threshold means the dollar amount below which a nonFederal entity may purchase property or services using small purchase methods. Non-Federal entities adopt small 

purchase procedures in order to expedite the purchase of items costing less than the simplified acquisition 

threshold. The simplified acquisition threshold is set by the Federal Acquisition Regulation at 48 C.F.R. Subpart 2.1 

(Definitions) and in accordance with 41 U.S.C. § 1908. Currently, the simplified acquisition threshold is $250,000. 

subaward. Subaward means an award provided by a pass-through entity to a subrecipient for the subrecipient to 

carry out part of a Federal award received by the pass-through entity. It does not include payments to a contractor 

or payments to an individual that is a beneficiary of a Federal program. A subaward may be provided through any 

form of legal agreement, including an agreement that the pass-through entity considers a contract. 

subrecipient. Subrecipient means a non-Federal entity that receives a subaward from a pass-through entity to 

carry out part of a Federal program; but does not include an individual that is a beneficiary of such program. A 

subrecipient may also be a recipient of other Federal awards directly from a Federal awarding agency. 

supplanting. For the purposes of your COPS Office BA award, supplanting means replacing state, local, or Bureau 

of Indian Affairs (BIA) funds that otherwise would have been spent on award purposes with federal COPS Office 

funds. State, local, and tribal governments are prohibited from supplanting throughout the award period. This 

means that your agency may not use COPS Office funds to pay for any equipment/technology, services, personnel, 

or other items which, in the absence of the COPS Office program, would otherwise have been funded with state or 

local funds or with funds supplied by the BIA. The COPS Office funds must instead be used to supplement, or 

increase, your budget on award purposes. For additional information on supplanting, please review the award 

condition titled "Supplementing, Not Supplanting" in this manual. 

supplies. Supplies means all tangible personal property other than those described under equipment. A computing 

device is a supply if the acquisition cost is less than the lesser of the capitalization level established by the nonFederal entity for financial statement purposes or $5,000, regardless of the length of its useful life. 

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. 

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FY 2023 COPS Office Blue Alert (BA) Award Owner’s 

Manual 

This manual was created to assist COPS Office BA Program recipients with the administrative and financial matters 

associated with their award. 

For more information about your award, please contact your COPS Office Program Manager. If you do not know 

the name or telephone number of your Program Manager, please contact the COPS Office Response Center at 

AskCOPSRC@usdoj.gov. 

U.S. Department of Justice 

Office of Community Oriented Policing Services 

145 N Street NE 

Washington, DC 20530 

To obtain details on COPS Office programs, contact the COPS Office Response Center at AskCOPSRC@usdoj.gov. 

Visit the COPS Office online at https://cops.usdoj.gov. 

Published September 2023