U.S. Department of Justice Office of Community Oriented Policing Services Image of United States Department of Justice seal COPS Manual Community Oriented Policing Services www.usdoj.gov/cops/ Tribal Resources Grant Program Grant Owner’s Manual for FY 1999 A step-by-step guide to assist law enforcement agencies in carrying out a nd reporting on their Tribal Resources Grant Program grant Tribal Resources Grant Program Grant Owner’s Manual The following m anual was created to assist Tribal Resources Grant Program (TRGP) grantees with administrative and financial m atters associated with the grant. Contents Getting Sta rted . iv Glossary of Terms . vi NIJ Standards for Bullet Proof Vest. x I. Grant Acceptance, Terms, and Conditions . 3 The Award Page What is a Modified Award? Grant Conditions Reasons for Grant Conditions Review of Grant Conditions Assurances & Certifications Accepting the Grant Award Who should sign the award for my agency? When do the grant materials need to be returned? What are the specific rules regarding Termination of Grant Funding ? How are changes to the grant made? Extending the g ra nt Modifying the grant Other questions about accepting the grant II. Accessing Grant Funds. 15 Justification for Non-competitive Procurement Payment Methods PAPRS - Phone Activated Paperless Request System LOCES -Letter of Credit Electronic Certification System Setting up Your Account How do I fillout the payment enrollment forms? Do I need a Financial Status Report to open my account? Additional Payment Questions Can we receive advances? How often do we request reimbursement of costs? Can we earn interest on our grant funds? III. Meeting the Local Match . 25 Matching Funds What are some sources of matching funds? When and how must the match be made? Should I maintain records of the match? Waivers Can the matching requirements be waived? How are waivers granted? How are we notified about whether we received a waiver or not? How do we appeal the denial of a waiver? i Tribal Resources Grant Program Grant Owner’s Manua l IV. Financial Record Maintenance . 27 Accounting Systems What records should be kept? How long should documents be kept? Whatif we have more than one grant? Who may access our records? V. Federal Au dit Requirements . 31 Audit Requirements Who must have an audit? What is a norganization-wide financial and compliance audit? What is a ”single audit”? What is the purpose of an audit? What are the audit requirements? Audit Reporting Requirements What is the due date of audit reports? Where are the audit reports to be submitted? What if there are problems with our audit report? How are audit requirements monitored? How can our agency receive technical assistance with audit requirements ? What are the consequences of not complying with audit requirements ? VI. Reports . 43 Program Progress Reports There are two types of program Progress Reports How often will Progress Reports be requested? What kind of information will these reports require? Financial Status Reports How will grant funds be monitored? How do I file Financial Status Reports under PAPRS? How do I file Financial Status Reports u der LOCES? Cash Reconciliation How to Report Violations VIII.When The Grant Period Ends . 41 Grant CloseOut Final Financial Status Report When should all the grant monies be spent? Final Progress Report Conclusion. 45 Appendices . 51 Appendix A- List of Source Documents Appendix B -Assurances and Certifications Appendix C - Regional Offices Getting Started Congratulations on receiving a grant from the Office of Comm u nity Oriented Policing Services (COPS). You have received a grant under the COPS Tribal Resources Grant Program , which provides funding directly to federally recognized Tribal jurisdictions with established law enforcem ent agencies for entry level salaries and benefits of new officers engaged in comm unity policing, training, technology, and equipment for new a nd existing police officers, inclu ding u niform s ba sic issu e equipment, and vehicles. The Tribal Resources Grant Program was designed to expand the im plem entation of comm unity policing and m eet the m ost serious needs of law enforcem ent in Tribal comm u nities throug h a broa dened com prehensive hiring prog ra m . It is intended to strengthen the overall law enforcem ent infastructure in Tribal comm unities. This Tribal Resources Grant Program Grant Owner’s Manual will assist you with the adm inistrative and financial m atters associated with your grant. It was developed by the COPS Office in conjunction with the Office of the Com ptroller (Office of Justice Program s) to ensure that all COPS Tribal Resources Grant Program grantees clearly understand and m eet the requirem ents of their grants. Please do not hesitate to call the COPS Office at 1-800-421-6770 if you need assistance with the im plem entation of you r grant. Thank you for providing us with the opportunity to work in partnership with your community. For assistance, call the COPS Office at 1-800-421-6770. Glossary of Terms Authorized Official The authorized official is the individual in your organization who has final responsibility for all programmatic and financial decisions regarding this grant award. Career law enforcement officer A career law enforcement officer is an officer hired on a permanent basis who is authorized by law or by a state or local pu blic agency to engage in or supervise the prevention, detection, or investigationof violations of crim inal law. Catalog of Federal Domestic Assistance (CFDA) The CFDAis a governm entwide publication orchestrated by the General Services Adm inistration. It is published annually. The CFDAcontains a descriptionand index ofall form s ofFederalassistance available from the Federalgovernm ent. Each grant- making agency is responsible for subm iting descriptions of their program s. Each program is assigned a “CFDA num ber” by the editors of the catalog. The CFDA num ber is used by auditors intracking grant revenues under the Single Audit Act and State Sing le Points ofConta ct incondu cting the requ ired interg overnm enta lreview s u nder Executive Order 12372 in those states that participate in that program . The COPS CFD Anu m ber is 16.710 . Closeout At the end ofyour grant period, the COPS Office is responsible for the “close out” of your grant. To fulfillthis requirem ent, we willdeterm ine that you, as wellas the COPS Office, have com pleted allof the work required by the grant. Community Policing Community policing is a policing philosophy that promotes and supports organizational strategies to address the causes and reduce the fear of crime and social disorder through problem solving tactics and community-police partnerships. A fundam ental shift from traditional, reactive policing, community policing stresses the preventionof crim e before it occurs. Community policing is an integralpart of combating crim e a nd im proving the quality of life in the na tion's cities, tow ns, a nd ru ra l areas. Core com ponents of comm unity policing include partnering with the comm unity; problem solving ; and transform ing policing ag encies to su pport a nd em pow er frontline officers, decentralize command and encourage innovative problem solving . It is expected that all federal funds received from the COPS Office are to be applied directly to the im plem entationand prom otionof the comm unity policing philosophy in law enforcem ent. The Comm unity Policing Consortium 's prim ary m ission is to deliver comm unity policing training and technical assistance to police departm ents and sheriffs' offices that Tribal Resources Grant Program Grant Owner’s Manua l are designated COPS grantees. Training sessions are held at the state/regional and county levels and use curicula reflecting the breadth of the Consortium 's collective policing k now ledg e. For agencies that need overview training, the Consortium offers orientationto com m unity policing as well as sheriff-specific sessions that address their unique issues a nd obsta cles. Problem solving , developing stra teg ies, personnel deploym ent, m a nag ing ca lls for service, bu ilding comm u nity pa rtnerships/cu ltu ra ldiversity, a nd tra in the tra iner w ork shops a re a va ila ble to ag encies sea rching for m ore specific cou rses. COPS Office The Office of Comm unity Oriented Policing Services (COPS) is your “grantor agency” for your Tribal Resources Grant Program grant. The COPS Office is responsible for adm inistering your grant for the entire grant period. You canreach the COPS Office a t 1-800 -421-6770 . Federa lly Recog nized Tribe Federa lly Recog nized Tribes a re entities recog nized a nd elig ible for fu nding a nd services from the Bureau of Indian Affairs, U.S. Departm ent of Interior. Grant Number This number is in the following format: 1999-HHW X-0000 for 3 year hiring grants and 1999-HEW X-0000 for 1 year equipment and training grants awarded in FY 1999. It can be found in the upper, left-hand corner of your grant Award Page. It is assigned by the Office of the Comptroller and should be used when corresponding with that office. This will aid the Comptroller’s staff in determining, which grant you are referring . Matching Funds Under the COPS Tribal Resources Grant Program , unless a waiver has beengranted because of severe fiscaldistress, the COPS Office provides up to 75 percent of total project costs inclu ding entry level sa la ries a nd fring e benefits for new law enforce- m ent officers over three yea rs. The m a xim u m tha t the COPS Office ca npa y per officer for that 3-year period is $75,000 for salary and benefits and 75 percent of project costs a ssocia ted w ith, tra ining , technolog y, equ ipm ent, a nd/or vehicles. COPS TribalResources Grant Program grantees are responsible for a cash m atch ofat least 25 percent of the totalcost ofallowable item s. Localm atching funds m ay not be taken from your agency’s law enforcem ent budget, but m ust be additional funds m ade avail- a ble specifica lly to pa y the loca lm a tch. Obligation of Funds Federal funds a re considered “obliga ted” w henthe g ra nt awa rd docu m ent is sig ned by the director of the COPS Office or his designated official. Funds are reserved against the grant untilallthe grant m onies are spent or refunded to the Federalgovernm ent. Local funds are considered “obligated” whenthe salaries and benefits have Glossary of Terms been paid or will be paid for work perform ed by the officer(s) during a previous pay period or when the m onies for the purchase of approved item s (training, technology, equ ipm ent, a nd vehicles) ha ve been spent. Office of the Com ptroller/Financial Analyst The Office of the Com ptroller (Office of Justice Program s) handles the financial and budgetary aspects of your grant. A financial analyst has been assigned to your state from that office to answer any financial questions that you m ay have about your grant. To identify your financial analyst, refer to the budget clearance memorandum enclosed in your award package. OJP EIN number This num ber is your agency’s nine-digit Federal tax identification num ber as assigned to you by the IRS. In som e cases, the EIN has been previously assigned to another ag ency w ithin you r ju risdiction. In tha t insta nce, a new vendor nu m ber w ill be assigned to you by the Office of the Com ptroller. The newly assigned vendor num ber is to be used for adm inistrative purposes only and should not be used for IRS purposes. ORI Nu m ber [Orig ina ting Ag ency Identifier] This num ber is assigned by the FBI, as a law enforcem ent identifier. The first two letters a re you r sta te a bbrevia tion, the next three nu m bers a re you r cou nty’s code a nd the final two num bers identify your jurisdiction within your county. It can be found on you r g ra nt awa rd docu m ent. It is a lso a shortened version of the law enforcem ent agency National Crim e Inform ation Center (NCIC) identifier. If your agency does not have an ORI num ber assigned by the FBI, the COPS Office assigns a non-official ORI code to u se a s a n ag ency identifier (the la st 2 dig its w ill be “Z” if you r code is a nonofficia l ORI code). It ca n be fou nd on you r awa rd docu m ent. W hen you conta ct the COPS Office with a question, you can use the ORI num ber or your grant num ber, and w e w ill be able to assist you . The Public Safety Partnership and Comm unity Policing Act of 1994 The COPS Office is charged with fulfilling the m andates of this law. The purposes of the law are to m ake grants to States, units of local governm ent, Indian tribal govern- m ents, other pu blic a nd priva te entities, a nd m u lti-ju risdictiona l or reg iona l consortia thereof to increa se police presence, to expa nd a nd im prove coopera tive efforts between law enforcem ent agencies and m em bers of the comm unity to address crim e a nd disorder problem s, a nd otherw ise to enha nce pu blic sa fety. Supplanting For the pu rpose of you r COPS g ra nt, su ppla nting m ea ns repla cing sta te, loca l, or Bureau of Indian Affairs funds which otherwise would have been spent on law enforcem ent purposes with Federal COPS funds. You are prohibited from supplanting throughout the 3-year grant period, which m eans that you m ay not use COPS funds to pa y for a ny sw orn officers (fu ll-tim e, pa rt-tim e, reserve, or other pa id officer posi Tribal Resources Grant Program Grant Owner’s Manua l tions) who otherwise would have been employed or purchase anything with COPS funds that otherwise would have beenpurchased with state, local, or Bureau of Indian Affairs funds inthe absence of the COPS program . COPS funds m ust instead be used to su pplem ent you r law enforcem ent bu dg et. Ina ssessing the presence of su ppla nting, throughout the grant period we willexpect you to hire new officers at a levelconsistent with recent historica l pra ctice a nd to tak e positive a nd tim ely steps to fill a ll vacancies inyour locally funded swornpersonnelresulting from attrition. For further inform ation, please review grant condition#3 and/or contact the COPS Office Legal Division at (20 2) 514-3750 . Technology Allowa ble technolog y item s inclu de com pu ter ha rdwa re, softwa re, m obile da ta com pu ters, comm u nica tionsystem s, dispa tch system s, NIBRS com plia nt crim e da ta system s, a nd insta lla tiona nd tra ining costs a ssocia ted w ith technolog ies. Training Allowable training includes basic law enforcem ent training, comm unity policing training , g ra nt m a nag em ent tra ining (DOJ-OJP), a nd com pu ter tra ining a nd/or technica l assistance for system s, hardware, and/or software. Uniforms and Basic Issue Equipment Allowable uniform s and basic issue equipm ent include standard atire, dress atire, outerwear, footwear, hats/caps/gloves, badges, prim ary issue handgun, holder, bulletproof vest, porta ble ra dio a nd holder, gu n belt a nd a ccessories, pepper spra y a nd holder, baton and baton holder, handcuffs and case/holder, m anuals, reference book s, notebook s, etc. Vehicles Allowa ble vehicles inclu ded sta nda rd police vehicles a nd ba sic vehicle a ccessories. Allowable vehicles m ay also include specialconveyances such as m otorcycles, snow- m obiles, ATVs, or vehicles standard to the jurisdictionbased ondem onstrated need. Wa ivers Awaiver of the 25 percent local m atch requirem ent is available to applicants that dem onstra te severe fisca l distress resu lting in a n ina bility to provide a dequa te law enforcem ent services. Requ ests for a wa iver a re considered ona ca se by ca se ba sis and m ust be m ade at the tim e of the application. Waivers are covered intheir entirety inthe Guidelines for Waivers ofLocalM atch inthe TribalResources Grant Program ApplicationKitand Instructions. Ifa waiver was applied for at the tim e ofapplication and denied, the decision can be appealed for a second review. Contact your grant advisor for further assistance. Waivers will not be considered if they were not sub- m itted with the originalTRGP application. National Institute of Justice National Institute of Justice (NIJ) The following inform ation was adapted from NIJ Guide 100-98, "Selection and Applica tion Gu ide to Police Body Arm or." The pu blica tion in its entirety m a y be requ ested from : National Institute of Standards and Technology Ofice of Law Enforcem ent Standards (OLES) Technology Building (225), Room A323 Gaithersburg, MD 20899 (30 1) 975-2757 "NIJ's policy onbody a rm or ha s a lwa ys beentha t preserving the life of the police officer is the sole criteria onwhich to judge body arm or effectiveness. At present, an officer m ay select a garm ent that corresponds to anappropriate threat level a nd be confident tha t a rm or in com plia nce w ith NIJ's sta nda rd w ill defea t the sta ted threa t level." Type I(.22 LR; .38 Specia l) Type Ibody arm or is light. This is the m inim um levelofprotectionevery officer should have and the arm or should be routinely wornat alltim es while onduty. Type Ibody arm or was the arm or issued during the NIJ dem onstrationproject inthe m id-1970's. Most agencies today, however, because of increasing threats, opt for a higher levelof protection. This arm or protects against .22 Long Rifle High-Velocity lead bullets, with nom inal m a sses of 2.6 g (40g r), im pa cting a t a velocity of 320 m /s (1,0 50 ft/s) or less, a nd against .38 Specialroundnose lead bullets, with nom inalm asses of 10.2 g (158 gr), im pacting at a velocity of259 m /s (850 ft/s) or less. It also provides protectionagainst m ost other .25 and .32 caliber handgunrounds. Type II-A(Low er Velocity .357 M ag nu m ; 9mm ) Type II-Abody a rm or is w ellsu ited for fu ll-tim e u se by police depa rtm ents, pa rticu larly those seeking protection for theirofficers from lower velocity .357 Magnum and 9mm amm unition. This a rm or protects aga inst .357 M ag nu m ja ck eted soft-point bu llets, w ith nom ina l m asses of10.2 g (158 gr), im pacting at a velocity of381 m /s (1,250 ft/s) or less, and against 9mm full-m etal jacketed bullets, with nom inal m asses of 8.0 g (124 gr), im pacting at a velocity of332 m /s (1,175 ft/s). It also protects against such threats as .45 Auto., .38 Special+P, and som e other factory loads incaliber .357 Magnum and 9mm , as wellas the Type Ithreats. Type II(Higher Velocity .357 Mag nu m ; 9mm ) Type IIbody arm or is heavier and m ore bulky thaneither Types Ior II-A. It is worn full-tim e by officers seeking protectionagainst higher velocity .357 Magnum and 9mm a mm u nition. Triba lResou rces Gra ntProg ra m Gra ntOw ner’s M a nua l This a rm or protects aga inst .357 Mag nu m ja ck eted soft-point bu llets, w ith nom ina l m asses of10.2 g (158 gr), im pacting at a velocity of425 m /s (1,395 ft/s) or less, and against 9mm full-jacketed bullets, with nom inalvelocities of 358 m /s (1,175 ft/s). It also protects against m ost other factory loads incaliber .357 Magnum and 9mm , as wellas the Type Iand II-Athreats. Type III-A(.44 Magnum ; Subm achine Gun9mm ) Type III-Abody arm or provides the highest levelofprotectioncurrently available from concealable body arm or and is generally suitable for routine wear inm any situations. However, departm ents located inhot, hum id clim ates m ay need to evaluate the use of Type III-Aa rm or ca refu lly. This arm or protects against .44 Magnum lead sem i-wadcutter bullets with gas checks, nom inalm asses of 15.55 g (240 gr), im pacting at a velocity of 426 m /s (1,400 ft/s) or less. It a lso provides protectionaga inst m ost ha ndgu nthrea ts, a s w ella s the Type I, II-Aa nd IIthrea ts. Type III(Hig h-Pow ered Rifle) Type IIIbody arm or is clearly intended only for tactical situations when the threat warants such protection, such as barrica de confrontations involving sporting rifles. This arm or, norm ally of hard or sem i-rigid construction, protects against 7.62 mm full-m etal jacketed bullets (U.S. m ilitary designationM80), with nom inal m asses of 9.7 g (150 g r), im pa cting a t a velocity of838 m /s (2,750 ft/s) or less. It a lso provides protectionagainst threats such as 223 Rem ington(5.56 mm FMJ), 30 Carbine FMJ, a nd 12-gaug e rifled slug , a s w ella s the Type Ithroug h III-Athrea ts. Type IV (Arm or-Piercing Rifle) Type IV body arm or provides the highest level of protection currently available. Because this arm or is intended to resist "arm or piercing" bullets, it oftenuses ceram ic m a teria ls. Su ch m a teria ls a re brit le in na tu re a nd m a y provide only sing le-shot protection, since the cera m ic tends to break u p w henstru ck . As w ith Type IIIa rm or, Type IV a rm or is clea rly intended only for ta ctica lsitua tions w henthe threa ts wa r a nt su ch protection. This a rm or protects aga inst .30 -0 6 ca liber a rm or-piercing bu llets (U.S. m ilita ry designation AMP2), with nom inalm asses of 10.8 g (166 gr). Im pacting at a velocity of 868 m /s (2,850 ft/s) or less. It also provides at least single-hit protectionagainst the Type Ithroug h IIIthrea ts. Specia lType Apurchaser who has a specialrequirem ent for a levelofprotectionother thanone of the above standard threat levels should specify the exact test rounds and m inim um im pact velocities to be used and indicate that this standard shallgovern inallother respects. Section 1 Tribal Resources Grant Program Grant Owner’s Manual Grant Acceptance, Terms, and Conditions Grant Acceptance, Terms, and Conditions I. Grant Acceptance, Terms, and Conditions In order to officia lly beg in you r g ra nt, you w ill need to review the Awa rd Pag e a nd Conditions, sign the new Award, and return it to: COPS Tribal Resources Grant Program Office of Comm u nity Oriented Policing Services 1100 Verm ont Ave., NW Washington, DC 20530 (For overnight delivery, plea se u se 2000 5 a s the zip code.) You will be able to draw down grant funds after: 1. The COPS Office approves your budget. 2. You sign your Award Page and return it to the COPS Office. 3. After steps one and two are com pleted, you m ay access your grant funds through the PAPRS or LOCESsystem s. The Accounting Division will forward inform ation to you rega rding how to a ccess fu nds. See Section II, Accessing G ra nt Fu nds, for m ore inform a tion. The Award Page The Award Page is the one-page, double-sided docum ent indicating your official grant funding am ount, the award num ber, the award date, and the official grant period. The Award Page also contains preprinted inform ation of your law enforcem ent and governm ent officials’ nam es and addresses. If this inform ation is incorrect or has cha ng ed, plea se correct it on the cha ng e of inform a tion sheet provided in the Awa rd Packet. Your grant award number is in this format: 1999 HHWX 0000 for hiring awards a nd/or 1999 HEW X 0000 for equ ipm ent a nd tra ining awa rds. It is u sed for fina ncia l purposes and should be referred to when you contact the Office of the Com ptroller. Your ORI num ber begins with your state abbreviation followed by num bers and/or letters. This num ber is assigned by the Federal Bureau of Investigation for use in tracking inform a tion for the Uniform Crim e Report. The COPS Office tra ck s g ra nt inform a tion based u pon this ORI nu m ber. If you have any questions regarding your grant, please refer to your grant award num ber or your agency’s ORI num ber when you contact your COPS Grant Advisor. Tribal Resources Grant Program Grant Owner’s Manua l What is a Modified Award? In a sm all num ber of cases, a Modified Award Page m ay be included inthe award packet. The final grant amount on this document may differ from the estimated am ount onyour original Award Page because the finalgrant am ount is based upon you r fina la pproved bu dg et. If you a re receiving a M odified Awa rd, tak e ca refu l note of the change betweenyour estim ated award am ount onthe originaldocum ent and the actualam ount onthe Modified Award. If you have any questions about the m odification, refer to your budget clearance m em orandum included inthe Award Packet. If you still ha ve qu estions, plea se conta ct you r fina ncia l a na lyst throug h the Ju stice Response Center at 1-800-421-6770. After you review and understand this docum ent, please sign, m ake a copy for your records and m ail the original back to the COPS Office w ith you r pa ym ent selectionsheet. Grant Conditions The grant conditions are the term s listed onthe back ofyour Award Page. By accepting this grant, you are entering into anagreem ent with the U.S. Departm ent ofJustice, Office of Comm unity Oriented Policing Services (COPS). As part of that agreem ent, you agree to these 15 grant conditions (and possibly additionalconditions specific to you r ag ency). The sectionthat follows describes indetail each of the award conditions, their rationale and their im plications. It also addresses m any com m only a sk ed qu estions. Reasons for Grant Conditions The grant requirem ents of your TribalResources Grant Program grant are established w ithin: • The Pu blic Sa fety Pa rtnership a nd Comm u nity Policing Act of 1994 u nder w hich the COPS Office was established; and • Applica ble ru les, regu la tions, a nd policies issu ed by the D epa rtm ent of Justice, Office of Managem ent and Budget (OMB), the General Accounting Office (G AO), a nd the United Sta tes Trea su ry. You m ay request copies ofany source reference docum ent from : Office of Adm inistra tion Pu blica tionUnit, Room G 236 New Executive Ofice Building Washington, DC 20503 Gra nt Accepta nce, Term s, a nd Conditions You m a y requ est COPS docu m ents from either the COPS Office or the Office of the Com ptroller. Review of Grant Conditions 1. Allowable Costs: Salaries and approved fringe benefits for sworn officers The funding under this project is for the paym ent of entry level SALARIES AND APPROVED FRINGE BENEFITS for three yea rs for sw orn entry-level career law enforcem ent officers, newly hired, lateral transfers, or rehired officers. Grant funds m ay not be applied to portions of salaries above entry level. Rather, such am ounts must be provided for by the grant recipient. Overtim e cannot be paid for with this funding. W hy This Condition:The COPS Tribal Resources Grant Program is a program that can only fund entry-level salaries and benefits for the hiring or rehiring of career law enforcem ent officers under the personnel portion of the grant program . Rehires are officers who have recently been laid off because of local budget cuts or would be laid off if not for COPS g ra nt. W ha t You Shou ld Do:Salaries covered by COPS grants m ust be reasonable for the services rendered and paid to an officer appointed under the laws or rules governing hiring by your law enforcem ent agency. Salary paym ents m ust be based on payroll records supported by tim e and attendance records or the equivalent. The types of records you m ust keep to docum ent that you are following this grant condition are described in Section IV of this m a nua l. Fringe benefits m ay be paid if they are part of a reasonable com pensation package offered to your em ployees and if they fall within the categories authorized by the COPS Office w hich inclu de FICA, Socia l Secu rity, hea lth insu ra nce, life insu ra nce, va ca tion, sick lea ve, retirem ent, w ork er’s com pensa tion, a nd u nem ploym ent insu ra nce. Overtim e costs are not allowed. However, if you train your officers prior to swearing them in, grant funds m ay be applied to salaries and benefits paid to the new officers during training. As long as you spend the funds on salary and benefits that you docum ented in your budget summ ary and that were approved by your financial analyst, this condition w ill be sa tisfied. 2. Allowable Costs: Background Investigations (Requ ests for fu nding ca nnot exceed $3,000 per officer position) Background investigations m ust be com pleted before reim bursem ents can be m ade and before any salaries awarded under the grant can be paid to new hires. Reim bu rsem ent requ ests for ba ckg rou nd investiga tions m u st be a ccom pa nied by a com pleted "certification form " which will be sent to all grantees who have been awa rded new officers positions. The criteria to be follow ed for ba ckg rou nd investiga tions will also be sent to all new grantees at the tim e awards are m ade. Background investigations m ay not be initiated prior to the official award start date of the grant period. Triba lResou rces Gra ntProg ra m Gra ntOw ner’s M a nua l 3. Allowa ble Costs:Tra ining (Requ ests ca nnot exceed $1200 per depa rtm ent for ea ch of the follow ing tra inings: m andatory comm unity policing training, m andatory grant m anagem ent tra ining , a nd com pu ter tra ining ). Requests for basic law enforcem ent training cannot exceed $6000 per departm ent. Comm unity policing training m ust be com pleted through one of the following training facilities sponsored by the COPS Office, Regional Comm unity Policing Institute (RCPI), Comm u nity Policing Consortiu m , or the Federa l Law Enforcem ent Tra ining Center. 4. Allowa ble Costs:Uniform s a nd Basic Issu e Equ ipm ent (Requ ests u nder this ca teg ory ca nnot exceed $3,000 per officer position) • Standard attire (uniform shirts, trousers, ties, belts) • D ress a t ire (dress coa t, dress shirts, dress pa nts, ties) • Ou terw ea r (ra incoa t, coa t, ja ck et, reflective vest) • Footw ea r (dress shoes, a thletic shoes, boots) • Hat/Caps/Gloves • Identifica tionba dg es/other insig nia (na m e pla tes, etc.) • Other sta nda rd issu e a ppa rel/u niform a ccessories (su bject to a pprova l) Ba sic Issu e Equ ipm ent • Prim ary issue handgun • Holster • Body a rm or/vest • Porta ble ra dio a nd holder • Gunbelt and belt accessories • Pepper Spray and holder • Ba tona nd ba tonholder • Ha ndcu ffs a nd ca se • M a nua ls, reference book s, notebook s, etc. • Other m iscella neou s item s issu ed to police recru its (fla shlig ht, tem pla tes, w histles, etc.) Inaddition, the funding under the TribalResources Grant Program is for paym ent of background investigations for swornofficers positions, equipm ent, training, vehicles, and technology that have beenapproved by the COPS Office. 5. Allowa ble Costs:Technolog y (Requ ests u nder this ca teg ory ca nnot exceed $75,000 per item or g rou p of lik e item s) Fundable technology item s include com puter hardware, software, m obile da ta com pu ters, comm u nica tionsystem s, dispa tch system s, NIBRS com pliant crime data systems, cameras, and cellphones. Gra nt Accepta nce, Term s, a nd Conditions 6. Allowa ble Costs: Police Vehicles (Requ ests u nder this ca teg ory ca nnot exceed $20 ,000 per vehicle) Allowa ble item s inclu de: Police ca rs, ba sic vehicle a ccessory pa ckag e, a nd special conveyances such as bicycles, m otorcycles, snow m achines, ATVs ba sed on dem onstra ted need. 7. D isa llowa ble Costs This is not a n inclu sive list. The COPS Office reserves the rig ht to deny fu nding for item s that m ay not have been included in the Tribal Resources Grant Program application kit. You m ay not apply for these item s under TRGP: • Overtim e hou rs for sw orn officers or civilia ns • Sa la ries a nd benefits of existing em ployees • Civilian salaries and benefits • Indirect costs • Constru ction/renova tion costs • Office rental space • Office fu rnitu re/su pplies • Phone lines/u tilities • Office equipm ent (copiers, fax m achines) • D icta tion system s • Televisions/VCR • Crim e m a pping system s • Video Ca m era s (other tha n vehicle m ou nted)/film • Amm u nition • Dogs (K-9) • Radar guns • Vehicle parts, service, or m aintenance • Vehicle lea sing or renta l ag reem ents In addition, this program will not provide funding for any item s or position(s) which are funded in the applicant agency’s budget with other sources of funding (state, local, or BIA). You m ay apply only for otherwise unfunded positions or item s to supplem ent your agency’s law enforcem ent budget. 8. Fiscal Year and Cognizant Federal Agency Prior to drawing down funds for this award, the recipient m ust provide the Control Desk , Office of the Com ptroller, w ith the recipient orga niza tion’s fiscal year and the nam e of the recipient organization’s Cognizant Federal Agency. W hy This Condition: In order to ensure that your agency is in com pliance with Federal audit requirem ents and OMB regulations, the Office of the Com ptroller and Triba lResou rces Gra ntProg ra m Gra ntOw ner’s M a nua l the Cognizant Federal Agencies m ust coordinate tracking of allFederal funds awarded u nder g ra nts. To a ccom plish this, w e need you r coopera tion inga thering the inform a tion. W ha t You Shou ld Do:This inform ationwas requested inthe application form you subm itted for COPS TribalResources Grant Program . Inm ost cases this conditionhas been satisfied. However, if you did not provide this information, your Cognizant Federa l Ag ency is the Federa ldepa rtm ent or ag ency tha t provides you w ith the m ost Federal m oney. It m ay have been assigned to your jurisdiction previously. If this is your first Federal grant, your Cognizant Federal Agency is the U.S. Departm ent of Justice. Please contact your grant advisor ifyou have any questions about the identity of you r Cog niza nt Federa l Ag ency. 9. Su pplem enting , Not Su ppla nting COPS Tribal Resources Grant Program funds must be used to hire one or more new, additionalcareer law enforcement officers, beyond the num ber of officers that would be hired or em ployed by the grantee in the absence of the grant. Unless authorized in writing by the COPS Office, grant funds m ay not be applied to the salary or benefits ofanoficer hired by a grantee prior to your TribalResources Grant Program award date. W hy This Condition:The Public Safety Partnership and Comm unity Policing Act of 1994 specifically states that Federal funds under the COPS program s m ay not be used to supplant existing local, state, or Bureau of Indian Affairs funds, which otherwise would have beenm ade available for these purposes. What You Should Do:COPS TribalResources Grant Program funds m ay not replace resources the grantee would have used or had comm itted to use for law enforcem ent purposes without the grant. COPS funds are expected to increase the grantee’s force levelabove the num ber of funded (filled and vacant) swornpositions existing prior to February 1, 1999. The Public Safety Partnership and Comm unity Policing Act of 1994 specifically states that Federal funds under the COPS program s are not used to su ppla nt existing loca lor sta te fu nds. You m a y, how ever, tra nsfer a vetera nofficer to the community policing position and use COPS funds to hire a new officer to replace the redeployed veteran. COPS funds m ust be used to supplem ent your law enforcem ent budget. To m eet this grant condition, you will need to ensure that: • Each officer that you hire under the COPS TribalResources Grant Program is new ly hired a fter Septem ber 1, 1999 u nless a nexception is au thorized in writing by the COPS Office. • The officer(s) that you are hiring brings your force to a num ber over and above you r bu dgeted (fu nded) sw orn force as ofFebruary 1, 1999. • During the life ofyour grant, you m ust continue to hire as m any new, locally- funded officers as you would have if you had not received your grant. Grant Acceptance, Terms, and Conditions (You m a y not ca ncel or postpone spending m oney in you r bu dg et tha t is comm itted to hiring other new officers.) • You m ust take positive and tim ely steps to fill vacancies and locally funded sworn force positions that were created onor after your grant award date by retirem ent, resig na tion, or other rea sons w ith new officers other tha n your COPS TribalResources Grant Program oficer. Aga in, a ny exceptionm ust be authorized inwriting by the COPS Office. A“career law enforcem ent officer” is anofficer hired ona perm anent basis who is au thorized by law or by a sta te or loca l pu blic ag ency to engag e in or su pervise the prevention, detection, or investiga tionof viola tions of the law s. 10 . Retention Your agency is expected to im plem ent its planto retainthe positions fund ed by the COPS Tribal Resources Grant Program at the conclusion of the g ra nt. COPS funded positions m ust be retained over and above the previously locally funded num ber ofpositions inthe law enforcem ent agency for at least one localbudget cycle beyond the conclusionof federal funding. These positions canbe retained using state, local, other non-federal funding, or funding from the Bureau of Indian Affairs. W hy This Condition:The Public Safety Partnership and Comm unity Policing Act of 1994 envisions that positions for officers should be m aintained by localities beyond the Federal funding period. The localm atch and the provisionofa decreasing Federal share were established to enable communities to adequately plan for paying the salaries and benefits of the new officers without burdening them with the fullcost of hiring a new officer. It is u p to you r ag ency to determ ine how the Federa l sha re decreases from year to year. Please refer to your applicationbudget inform ationsheet that you provided to the COPS Office to review your Federal/localshare plan. What You Should Do:You r retentionpla nshou ld focu s onm a inta ining the officer positionrather thana specific officer beyond the life of the grant. If, for any reason, the officer originally filling the position funded by the COPS Tribal Resources Grant Program grant leaves your departm ent, you are requested to fillthe positionw ith a new officer. 11. Reports In order to assist the COPS Ofice in the monitoring of the award, your agency will be responsible for submiting annual Progress Reports and qua rterly Fina ncia l Sta tu s Reports. W hy This Condition:The Public Safety Partnership and Comm unity Policing Act of 1994 a nd other Federa lregu la tions a nd policies requ ire tha t fina ncia la ssista nce provided by the Federa lg overnm ent be m onitored ca refu lly to ensu re the proper u se of Triba lResou rces Gra ntProg ra m Gra ntOw ner’s M a nua l Federal funds. Inaddition, the COPS Office seeks to docum ent, ona continuing basis, the progress ofour program s and our grantees. W ha t You Shou ld Do:This grant condition is to m ake you aware of your responsibilities inassisting us with reporting requirem ents. These reports are discussed extensively in Section VI of this manual. To meet this condition, you will fill out one Prog ra m Prog ress Report per yea r a nd fou r Fina ncia lSta tu s Reports per yea r. 12. Extensions Requests for extensions, without additional funding, of the grant award period should be subm itted inwriting to your grant advisor within90 days of the officialend date of the award. W hy This Condition:Under Federa lregu la tions, requ ests to extend the g ra nt period require prior approval. Without anapproved extension, your funding willbe auto- m a tica lly stopped a t the end of the g ra nt period W ha t You Shou ld Do:Inaneffort to reduce the num ber of extensions during the grant period, the COPS Office asks that you delay any request for anextensionuntil3 m onths prior to the officialend date of the award. Whenthe COPS Office receives and approves your extensionrequest, we will ensure that you have continued access to your grant m onies. 13. Eva lua tion The COPS Office m ay conduct nationalevaluations of the comm unity policing activities of its grantees and other COPS-funded initiatives. The grantee ag rees to coopera te w ith the eva lua tors. W hy This Condition:The Public Safety Partnership and Comm unity Policing Act of 1994 states that evaluations of the program m ay be caried out or comm issioned by the Atorney General for the fu rtherance of the pu rposes of the Act. The COPS Office plans to conduct evaluations to determ ine what program s are working, how program s m a y be im proved, a nd w hy certa inprog ra m s a re w ork ing better tha nothers. Specifica lly, the COPS Office m a y a ssess the wa y inw hich you im plem ent you r com m unity policing program . Insom e jurisdictions, COPS staff or evaluators m ay study the effectiveness of funded program s, projects, and activities. Evaluators m ay collect inform ationabout the program s’effect oncrim e, victim s ofcrim e, and the quality of life in comm unities. In addition, they m ay ask questions about how residents feel about comm unity policing and how police feelabout their work. This inform ationwill be u sefu l to other comm u nities a nd police ag encies a cross the cou ntry. W ha t You Shou ld Do:W heneva lua tions a re u ndertak en, you m a y be conta cted in w riting w ith specific requ ests for inform a tion. In g enera l, eva lua tors m a y need to Gra nt Accepta nce, Term s, a nd Conditions speak with individuals inyour departm ent, observe activities ofyour departm ent, and obtainwrittenreports about and from your departm ent. You willbe asked to facilitate a ny site visits a nd inform a tion-ga thering a ctivities. Ina ddition, you w ill be a sk ed to provide accurate and tim ely inform ationabout your grant activities. 15. Grant Owner’s Manual The grantee agrees to abide by the term s, conditions, and regulations as found inthe COPS TribalResources Grant Program Grant Owner’s Manual. W hy This Condition:This m anualhas beentailored to inform you of the policies, procedures, and regulations that apply to your grant. You willbe responsible for the inform ation and rules contained in this m anual. More detailed guidance can be requested through your grant advisor. What You Should Do:Please read the entire COPS TribalResources Grant Program Grant Owner’s Manualcarefully prior to signing the grant Award Page. Ifyou have any questions, please contact your grant advisor. When you sign the Award Page, you should ensure that the proper reporting and financialsystem s are inplace to satisfy the requ irem ents. 16. Em ploym ent Elig ibility The grantee agrees to com plete and keep on file, as appropriate, an Imm igrationand Naturalization Service Em ploym ent Eligibility Verification Form (I-9). This form is to be u sed by recipients of Federa l fu nds to verify that persons are eligible to work inthe United States. Assu ra nces & Certifica tions In a ddition to the g ra nt conditions, you r ag ency rem a ins bou nd by the sig ned Assurances and Certifications that it provided to the COPS Office uponapplicationto the TribalResources Grant Program . Although the U.S. Departm ent ofJustice has m ade every effort to sim plify the process for a pplying for a nd receiving g ra nts, provisions of Federa l law requ ire u s to seek you r certifica tion rega rding certa in m a tters. M ost of these Assu ra nces a nd Certifica tions a pply to a llg ra nts provided by the Federa lg overnm ent. W henyou ha ve com pleted your originalapplication, the Assurances and Certifications that you agreed to by sig ning the a pplica tionw ere inclu ded inthe a pplica tionk it. Another copy of the Assurances and Certifications is contained inAppendixB of this m anual. If you have any questions about them , please contact your grant advisor. Accepting the G ra nt Awa rd After you have reviewed the conditions of the award and your agency agrees with those conditions, you are ready to accept the award. At the botom of the Award Page are Triba l Resou rces Gra nt Prog ra m Gra nt Ow ner’s M a nua l three signatu re lines. The Director of the COPS Office has signed the Award Page indicating approval of your grant, an obligation of Federal funds to your organization, and our comm itm ent to the award. To officially begin the grant and to be able to draw dow n you r fu nds, your law enforcem ent executive and governm ent executive m ust sign the Award Page and return the original copy to: COPS Tribal Resources Grant Program Office of Comm u nity Oriented Policing Services 1100 Verm ont Ave., NW Washington, DC 20530 (For overnight delivery, please use 20005 as the zip code.) Faxed awards cannot be accepted. Who should sign the award for m y agency? The law enforcem ent executive and governm ent executive who have final responsibility for all programm atic and financial decisions regarding this grant award m ust sign the Award Page. The police chief or director of public safety is generally the law enforcem ent executive. The head of the tribal governm ent is the governm ent executive. If you have any questions as to who should sign the award, please contact your lega l a dvisor. W hen do the g ra nt m a teria ls need to be retu rned? You m u st retu rn the sig ned Awa rd Pag e w ithin 90 da ys of you r receipt of it. No fu nds m ay be released until we have received your signed Award Page, your budget has received fina l clea ra nce, a nd a ny other releva nt g ra nt conditions pa rticu la r to you r ag ency ha ve been sa tisfied. If you require an extension for accepting the award beyond the 90-day tim e fram e from the postm ark date, please request it in writing, stating the reason for the delay. W ha t a re the specific ru les rega rding term ina tion of g ra nt fu nding ? The COPS Office has the right to sanction or to term inate your project when there is rea son to believe throug h periodic m onitoring or review tha t you : • Are not substantially com plying with the requirem ents of the Act, the guidelines or with other provisions of Federal law; • Are fa iling to m ak e sa tisfa ctory prog ress towa rd the g oa ls or stra teg ies in your application and inform ation, as reflected by perform ance and status reports; • Do not adhere to grant agreem ent requirem ents or conditions; • Propose substantial plan changes to the extent that, if originally subm itted, would have resulted in the application not being selected for funding; Gra nt Accepta nce, Term s, a nd Conditions • Do not subm it reports (in a tim ely m anner); • File fa lse certifica tion in connection w ith a n a pplica tion, periodic report, or other docu m ent su bm itted to the COPS Office or to the Office of the Com ptroller; or • Provide other g ood cau se for term ina tion a s determ ined by the COPS Office. In these instances, we m ay: • Tem pora rily w ithhold pa ym ents pending correction of the situa tion; • Disallow all or part of the cost of the activity or action not in com plia nce; • W holly or pa rtly su spend or term ina te the cu rrent awa rd; • Require that som e or all of the grant am ounts be rem itted to the U.S. Departm ent of Justice; • Condition a fu tu re g ra nt or elect not to provide fu tu re g ra nt fu nds u ntil a ppropria te a ctions a re tak en to ensu re com plia nce; • W ithhold fu rther awa rds for the prog ra m ; • Recomm end civil or crim ina l enforcem ent by other ag encies; or • Tak e other rem edies tha t a re lega lly a va ila ble. In the event that sanctions are im posed or a grant is term inated, you will be notified in writing of our decision and the reason(s) for that decision. You also will receive reasonable tim e to either discontinue operations or seek support from other sources. How are changes to the grant m ade? You m ust seek prior approval if you plan to m ake grant changes relating to any of the follow ing issu es: • Changes in num ber of officers that will be hired under your COPS g ra nt; • Extensions (a llow s you to leng then the g ra nt period to ensu re three full years of COPS funding for positions, if applicable); • Salary and benefit changes resulting in decrease of award am ount; • M ajor programm atic changes; • Major budget changes (e.g., your departm ent was awarded 4 com puters, but will purchase 5 with the sam e am ount of m oney); or • Changes in plans to retain positions following the expiration of the COPS G ra nt. In order to m ak e one of these cha ng es, you w ill need to su bm it you r pla ns in w riting to the COPS Office for prior approval. Please docum ent your reasons for the proposed changes and add any other inform ation that will assist us in reviewing the changes. Triba l Resou rces Gra nt Prog ra m Gra nt Ow ner’s M a nua l Extending the g ra nt No-cost tim e extensions will be given, if necessary, to grantees in order to com plete grant requirements and draw down all grant funds. Extensions do not affect the am ount of the grant, only the end date of the grant. If extensions to com plete grant requ irem ents a re necessa ry, they m a y be requ ested 90 da ys before the end of the g ra nt period. The COPS Office w ill send inform a tion to you rega rding the criteria a nd procedure for an extension before the end of the initial grant period. M odifying the g ra nt You m ust seek prior approval if you plan to m ake grant changes relating to any of the follow ing issu es: • k ey personnel cha ng e(s); • sa la ry a nd benefit cha ng es; • m ajor programm atic changes; • m ajor budget changes (e.g. your departm ent was awarded 10 laptop com puters, but will purchase 12 with the sam e am ount of m oney). In order to m ake one of these changes, you are required to subm it your plans in writing to the COPS Office for prior approval. Please docum ent your reasons for the proposed changes and any inform ation that will assist us in reviewing the changes. Other qu estions a bou t a ccepting the g ra nt If for any reason you have questions about accepting this grant, please contact your grant advisor by calling 1-800-421-6770. If you have decided not to accept this grant, please send us a letter advising us of your decision. However, prior to deciding not to accept your COPS Tribal Resources Grant Prog ra m g ra nt, plea se conta ct you r g ra nt a dvisor to discu ss other options. If, for exa m ple, betw een the tim e you su bm itted the a pplica tion a nd received a n awa rd, the person you intended to hire ha s decided not to a ccept the position, you m a y requ est a n extension of the g ra nt period. Section 2 Tribal Resources Grant Program Grant Owner’s M anual Accessing Grant Funds Accessing Grant Funds II. Accessing Grant Funds Ju stifica tion for Non-com petitive Procu rem ent Plea se review the enclosed Uniform Requ irem ents for Gra nts a nd Coopera tive Agreem ents to State and Local Governm ents. If you have any questions regarding the Federal Governm ent requirem ents that guide procurem ent procedures, please call 1800 -421-6770 . All g ra ntees m u st follow the regu la tions listed in 28 C.F.R. 66.36 Procurem ent. If you have determ ined that noncom petitive procurem ent applies to you r awa rd, you m u st requ est, in w riting , a n exception to the g enera l ru le rega rding com petition u sing the follow ing form a t: Paragraph 1 – A brief description of the program and what is being contracted for Pa ra gra ph 2 – Explanation of why it is necessary to contract noncom petitively, including the follow ing : • Expertise of the contra ctor • M anagem ent • Responsiveness • K now ledg e of the prog ra m • Experience of contra ctor personnel • Resu lts of a m a rk et su rvey to determ ine com petition a va ila bility or, if one wa s not condu cted, expla in w hy not Paragraph 3 – Tim e Constra ints • W hen contra ctua l coverag e is requ ired a nd w hy • Im pact on program if dates are not m et • How long it would take another contractor to reach the sam e level of com petence (equa te to dolla rs, if desired) Paragraph 4 – Uniqu eness Paragraph 5 – Other points that should be covered to “sell the case” Paragraph 6 – A declaration that this action is in the “best interests” of the agency Requests for noncom petitive procurem ent should be sent to: COPS Tribal Resources Grant Program Control Desk Office of Comm u nity Oriented Policing Services (COPS) 1100 Verm ont Avenu e NW , Washington, DC 20530 Triba l Resou rces Gra nt Prog ra m Gra nt Ow ner’s M a nua l This section provides inform ation about how you receive funds and gives answers to paym ent related questions. If you are a new grantee to the COPS Office, you should receive a pa ck et of fina ncia l rela ted docu m ents shortly a fter receipt of you r awa rd package. This packet will contain all of the inform ation that you need to set up your paym ent m ethod and a Financial Guide to assist you with financial m anagem ent and grant adm inistration. Pa ym ent M ethods There are two m ethods of paym ent that you can use to access your grant funds: PAPRS and LOCES. In em ergency situations, you m ay use a Revised H-3 (Request for Pa ym ent). You r u se of the Revised H-3 m u st be clea red w ith a n Office of the Com ptroller Accou nta nt prior to su bm ission. The following explanation of paym ent m ethods will assist you in determ ining which paym ent m ethod you would like to use in accessing your COPS grant funds. PAPRS - Phone Activated Paperless Request System PAPRS repla ces the pa per form H-3 (Requ est for Pa ym ent) requ ests by ena bling grantees to use their touch-tone telephone to request funds. Approved paym ent requests will be autom atically scheduled for paym ent by the U.S. Treasury. The system also provides online inform ation to grantees about the status of their requests. If you do not have a touch-tone phone, please contact the Accounting Division helpline a t (20 2) 30 7-590 9. How do we set up a PAPRS account? If you are a new grantee to the COPS Office, you should receive a packet of financial related docum ents shortly after receipt of your award package. This packet will contain all of the information that you need to set up your payment method. You will receive a PAPRS u ser’s m a nua l u nder a sepa ra te cover from the Office of the Com ptroller, Accounting Division. Once you receive your OJPVendor Num ber (which m ay or m ay not be the sam e as your taxpayer identification num ber) and PIN num ber, you ca n follow the directions in the u ser’s m a nua l to a ccess you r fu nds. LOCES - Letter of Credit Electronic Certifica tion System LOCES is a m odem comm u nica tion system tha t a llow s recipients of COPS fu nds to electronica lly requ est pa ym ent from a ny of their g ra nt fu nds a nd receive direct deposit to their bank accounts within 48 hours. You will need a com puter with a dedica ted m odem . 1. To m ake requests for paym ents through LOCES, you m ust have a personal com puter operating DOS 3.1 or higher. We recomm end a 28.8 baud m odem . Accessing Grant Funds 2. Com plete and return the LOCES Autom ation Survey form . Upon receipt, your LOCES softwa re w ill be cu stom ized for you r u se a nd forwa rded to you . 3. Com plete an ACH Vendor/Miscellaneous Paym ent (SF 3881) enrollm ent form and forward to your bank. A complete LOCES form and manual package may be requested by contacting the Accounting Division helpline at (202) 307-5909. In addition, the Accounting Division can provide technical assistance on using the LOCES system . W ha t a re the benefits of LOCES? The LOCES m ethod is a com pletely com puterized m ethod of paym ent. It also allows you to file you r qua rterly Fina ncia l Sta tu s Reports (SF-269) electronica lly. Setting u p You r Accou nt How do I fill ou t the pa ym ent enrollm ent form s? In the pa ck et of fina ncia l docu m ents you received is a n Au tom a ted Clea ring House (ACH) Vendor/Miscellaneous Paym ent (SF 3881) enrollm ent form . The ACH Vendor/M iscellaneou s Paym ent (SF 3881) enrollm ent form needs to be filled ou t rega rdless of the pa ym ent m ethod. You m u st retu rn this form to the Office of the Com ptroller, U.S. D epa rtm ent of Ju stice, 1100 Verm ont Avenu e, NW , 2nd Floor, Washington, DC 20530, prior to trying to access your funds. The “Agency Information” section has been filled out by our Accounting Division. Your agency needs to fill ou t the “Pa yee/Com pa ny Inform a tion” section follow ing the directions on the ba ck of the form . You a lso need to provide the g ra nt nu m ber (printed on the award page) on this form . Then you m ust have your financial institution com plete the “Financial Institution Inform ation” section and have the appropriate financial official sig n the form . If you are already a COPS grantee, you should already have selected one of the two pa ym ent m ethods a nd filled ou t a n ACH Vendor/M iscella neou s Pa ym ent (SF 3881) enrollment form . If you have any questions, please call the Accounting Division helpline at: (202) 307-5909. Do I need a Fina ncia l Sta tu s Report to open m y a ccou nt? As pa rt of Federa l au diting requ irem ents, you r ag ency ha s to com plete a Fina ncia l Status Report (Standard Form 269) quarterly. Paym ent requests will be denied if the current 269 is overdue. Please m ake blank copies of the form (both sides) provided in your award packet and retain them for future use. This form is a report of your expenditures for the grant. The Financial Status Report is due 45 days following the end of a calendar quarter (calendar quarters end March 31, June 30, Septem ber 30, a nd Decem ber 31). Even w hen you ha ve not expended a ny fu nds du ring a qua rter, the Financial Status Report should be subm itted with zeros in the appropriate spaces. W hen setting u p you r a ccou nt, check to see w hen the la st qua rter ended a nd fill ou t LOCES a llow s you to electronica lly requ est a nd receive g ra nt fu nds. Triba lResou rces Gra ntProg ra m Gra ntOw ner’s M a nua l a Fina ncia lSta tu s Report to reflect the a m ou nt of you r ag ency’s expenditu res for the grant during that quarter and subm it the form along with the ACH Vendor form . For the rest of the year, please subm it Financial Status Reports no later than May 15, August 15, Novem ber 15, and February 15. Com pleting the FinancialStatus Report does not m eanthat you willbe reim bursed for the am ount you show as being expended. You m ust still request paym ent through PAPRS or LOCES (see the sectiononpaym ent m ethods). For m ore inform ation, see the sectionof this m anualentitled Reports. Additiona l Pa ym ent Qu estions Ca nw e receive a dva nces ? Yes. Ifyou receive funds through electronic transfer, the period allowed is 10 days in a dva nce. If you receive fu nds by Trea su ry check , the period a llow ed is 28 da ys in a dva nce. Ingeneral, the concept of “m inim um cash onhand” applies to COPS grants. The m inim um -cash-on-hand concept requires that you request funds based upon imm ediate cash disbursem ent needs. You should tim e your request for paym ent to ensure that Federalcash onhand is the m inim um that you need to m ake your imm ediate salary and fringe benefit paym ents. There should be no excess Federalgrant funds onhand, except for a pproved a dva nces discu ssed a bove. The Federal Governm ent has four basic rules regarding advances. Advances canbe term ina ted ifthe g ra ntee: • Is u nw illing or u na ble to a t a inproject g oa ls; • M a inta ins excess ca sh onha nd; • Does not adhere to the term s and conditions of the grant; or • Fa ils to su bm it relia ble a nd tim ely reports. How oftendo w e requ est reim bu rsem entofcosts? There a re no definitive gu idelines onhow oftenyou shou ld requ est reim bu rsem ents. Only reim bu rsem ents for tra ining , technolog y a nd equ ipm ent, a ctua l sa la ries a nd benefits ofCOPS TribalResources Grant Program officer(s) canbe m ade. Ca nwe ea rn interestonour gra nt funds? You should m inim ize the tim e betweenyour draw downofgrant funds and your pay- m ent of grant costs. You need to account for interest earned onadvance of Federal fu nds a s follow s: Accessing Grant Funds • You may keep interest earned on all advances of Federal grant funds up to $250 per fiscal year; and • Annually pay back interest earned (over and above $250 per fiscal year) on advances of Federal grant funds to the U.S. Department of Health and Human Services, Payment Management Systems, Rockville, MD 20852. Section 3 Triba l Resou rces Gra nt Prog ra m Grant Owner’s M anual M eeting the Loca l M a tch M eeting the Loca l M a tch III. M eeting the Loca l M a tch The COPS Tribal Resources Grant Program provides up to 75 percent of the cost of allowable item s. Grantees are responsible for at least 25 percent of the total cost of allowable item s unless the requirem ent of a local m atch has been waived in whole or in part. The m atch m ust be a cash m atch and contributions m ay be applied at any tim e during the life of your grant, provided that the full m atching share is obligated by the end of the grant period. The local m atch m ay not be paid from funds already budgeted for a specific law enforcem ent pu rpose. (You m a y not rea lloca te fu nds from w ithin your law enforcem ent budget to pay the local m atch). The local m atch m ust be in addition to funds previously budgeted for specific law enforcem ent purposes. M a tching Fu nds W ha t a re som e sou rces of m a tching fu nds? Sou rces for m a tch requ irem ents m a y inclu de: • Prog ra m incom e fu nds from a sset forfeitu res; • Funds from state or local governm ent that are comm itted to m atching funds for your program ; • Fu nds from Federa l prog ra m s w hich specifica lly au thorize u se a s m atching funds, such as the Housing Comm unity Developm ent Act of 1974 or the Equitable Sharing Program or Bureau of Indian Affairs Fu nding ; or • Fu nds contribu ted by private sou rces. When and how m ust the m atch be m ade? Matching contributions m ay be applied at any tim e during the life of your grant provided that the full m atching share is obligated by the end of the grant period. In a ddition, as a percentage of the total, the local share m ust increase every year during the grant period and the Federal share m ust decrease. This m eans that if you received $60,000 from the Federal governm ent for your COPS Tribal Resources Gra nt Prog ra m officer, you cou ld spend the Federa l sha re a t $38,000 for yea r one, $15,000 for year two, and $7,000 for year three and m eet this requirem ent. If you have any questions about adjusting your m atch from what is stated in your budget, please contact you r grant advisor or financial analyst. Shou ld I m a inta in records of the m a tch? You shou ld m a inta in records of you r loca l sha re. These records shou ld clea rly show the source of the m atch, the am ount of the m atch, and when the m atch was contribu ted. Triba lResou rces Gra ntProg ra m Gra ntOw ner’s M a nua l Wa ivers of the loca lm a tch a re g ra nted only inca ses ofsevere fisca ldistress. Wa ivers Ca n the m a tching requ irem entbe wa ived? Inorder to m axim ize the num ber of comm unities that can take advantage of COPS g ra nts, wa ivers of the loca l m a tch a re considered. Wa iver requ ests w ill only be considered when a jurisdiction m akes the request at the tim e of application. Applicants that are able to provide satisfactory docum entationof severe fiscal distress a re elig ible for wa ivers. Except in extrem e situa tions, requ ests for wa ivers after anaward has beenm ade will not be considered. How are waivers granted? It is the burdenof the jurisdictionto dem onstrate extrem e fiscaldistress at the tim e ofapplication. Waivers fallu nder tw o categories:presu m ptive a nd ca se by ca se. If, a t the tim e of a pplica tion, the a pplica nt is decla red ba nk ru pt by a cou rt of law or placed in receivership by the state or Federal governm ent, a presum ptive waiver is granted. Case by case waivers are reviewed based ona dem onstrationofsevere fiscal distress, inclu ding : • Budgetary im balance or expenditure cutbacks resulting insignificant reductions inother services provided by the applicant; • Significant lay-offs of personnelwith the applicant departm ent; • Significant downgrading of applicant’s bond rating due to fiscal stress; • Locationwithin an area in which a declarationof m ajor disaster has been m ade pursuant to the Robert T. Stafford Disaster Relief and Em ergency Assista nce Act; or • Other circu m sta nces dem onstra ting severe fisca ldistress. How a re w e notified a bou tw hetherw e received a wa iveror not? The cover letter and financialclearance m em o inyour grant award package will indicate whether your request for a waiver was granted. Ifyou received a waiver and have additionalqu estions, please contact you r grant advisor. Plea se note tha t even ifyou did receive a wa iver, you a re stillrequ ired to develop a nd im plem ent and include our retentionplan for the continuationof the funded activity following the conclusionof the Federalassistance. How do w e a ppea l the denia lofa wa iver? If you r wa iver requ est wa s denied a nd you w ou ld lik e to a ppea lthe decision, plea se m ak e you r a ppea l inw riting to: U.S. Departm ent of Justice Office of Comm u nity Oriented Policing Services (COPS) Atn: Assistant Director for Grants Adm inistration 1100 Verm ont Avenu e, NW , 10 th Floor Washington, DC 20530 (For overnight delivery, plea se u se 2000 5 a s the zip code.) Section 4 Tribal Resources Grant Program Grant Owner’s M anual Fina ncia l Record M a intena nce Fina ncia l Record M a intena nce IV. Fina ncia l Record M a intena nce Under your COPS Tribal Resources Grant Program grant, you are required to establish a nd m a inta in a ccou nting system s a nd fina ncia l records to a ccu ra tely a ccou nt for fu nds awa rded a nd disbu rsed. These records need to inclu de both Federa l a nd m atching fu nds. Accou nting System s You need to establish and m aintain accounting system s and financial records to accurately account for funds awarded to you. These records should include both Federal funds and m atching funds of state, local and private organizations. You r a ccou nting system shou ld: • Present a nd item ize a pproved costs of tra ining , equ ipm ent, technolog y, a nd salaries and benefits and show the actual costs of these item s; • Assure responsible use of grant funds; • Assu re tha t fu nds a re spent in conform a nce w ith you r g ra nt conditions; a nd • Be able to provide the necessary inform ation for periodic review and audit. W ha t records shou ld be k ept? You r fisca l control a nd a ccou nting system s shou ld ena ble you to m ak e a ccu ra te, cu r- rent, and com plete disclosure of the financial activity under your COPS Tribal Resources Grant Program grant. Your accounting records should contain inform ation showing expenditures under the grant and m ust be supported by item s such as payrolls, tim e a nd a ttenda nce records, ca nceled check s, or sim ila r docu m ents. You must adequately safeguard grant funds and make sure that they are used for au thorized pu rposes. You w ill be responsible for refu nding expenditu res disa llow ed by au ditors. How long shou ld docu m ents be k ept? All fina ncia l records, inclu ding pa yroll, tim e a nd a ttenda nce records, ca nceled checks, and sim ilar docum ents associated with your COPS Tribal Resources Grant Program grant should be kept for at least three years from the grant closing audit report date. 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 k ept u ntil com pletion of the a ction. These records shou ld be ea sily loca ted a nd should be properly protected against fire or other dam age. Triba l Resou rces Gra nt Prog ra m Gra nt Ow ner’s M a nua l Records shou ld be k ept for a t lea st three yea rs from the g ra nt closing au dit report da te. You should m aintain your records so that you can identify them by grant year or by you r fisca l yea r, w hichever you find m ore convenient. What if we have m ore than one grant? If you ha ve m ore tha n one Federa l g ra nt, fu nds received u nder one project m a y not be u sed to su pport a nother project. You r a ccou nting system s a nd fina ncia l records m ust reflect expenditures for each project separately. Federal funds m ay be used to m eet your m atch only if they are specifically approved by the COPS Office. If Federal funds are being used to m eet your m atch, your accounting system shou ld a ccu ra tely docu m ent how the fu nds a re being u sed a nd the programm atic intent of the m atch funds. W ho m a y a ccess ou r records? Au thorized Federa l representa tives, inclu ding the representa tives of the U.S. Departm ent of Justice and the Com ptroller General for the U.S., m ay access these records a s long a s they exist for the pu rposes of m ak ing au dits, exa m ina tions, excerpts, or tra nscripts. Section 5 Triba l Resou rces Gra nt Prog ra m Grant Owner’s M anual Federa l Au dit Requ irem ents Federa l Au dit Requ irem ents V. Federa l Au dit Requ irem ents Sta te a nd loca l g overnm ents previou sly su bject to au dit requ irem ents u nder OM B Circu la r A-128 w ill be su bject to au dit requ irem ents u nder revised OM B Circu la r A133, as am ended. Au dit Requ irem ents Who m ust have an audit? State and local governm ents, nonprofit organizations, and institutions of higher education are governed by OMB Circular A-133, as amended. Whether an audit is required under this circular is dependent upon the am ount of Federal funds that can be audited during the recipient’s fiscal year. If the organization receives $300,000 or m ore per year in Federal funds, the organization m ust have an organization-wide fina ncia l a nd com plia nce au dit. State and local governm ents, nonprofit organizations, and institutions of higher education receiving less than $300,000 a year in Federal awards are exem pt from Federal au dit requ irem ents, bu t records m u st be a va ila ble for review by a ppropria te officia ls of the Federal grantor agency or subgranting entity. Comm ercia l (for profit) orga niza tions sha ll ha ve fina ncia l a nd com plia nce au dits perform ed by qualified individuals who are independent from those who authorized the expenditure of Federal funds. This audit m ust be perform ed in accordance with Governm ent Au diting Sta nda rds. The au dit thresholds conta ined in OM B Circu la r A133, a s a m ended, a pply. W ha t is a n orga niza tion-w ide fina ncia l a nd com plia nce au dit? An organization-wide financial and com pliance audit is an audit conducted by an independent auditor covering the entire operations of the state and local governm ent, nonprofit organization, and institution of higher education. At the option of a particular governm ent entity, an organization-wide financial and com pliance audit can be perform ed only on the specific departm ents or agencies that will receive, expend, or otherwise adm inister Federal funds during the fiscal year, rather than on the entire sta te or g overnm ent entity. W ha t is a “sing le au dit”? The “single audit” is an audit m ade by an independent auditor covering the entire operations of the state or local governm ent. At the option of that particular govern- m ent, a sing le au dit ca n be perform ed only on the specific depa rtm ents or ag encies that will receive, expend, or otherwise adm inister Federal m onies during that year, rather than on the entire state or local governm ent entity. Triba l Resou rces Gra nt Prog ra m Gra nt Ow ner’s M a nua l W ha t is the pu rpose of a n au dit? Audits review your adm inistration of grant funds, including your local cash m atch. Audits specifically determ ine whether: • You have established an accounting system which will provide reasonable assurance that your organization is managing the COPS Tribal Resources Grant Program funds in com pliance with the laws and regulations docum ented in this m anual and in the assurances which were part of your application. Your accounting system m ust provide for adequate review and control by your authorized officials to provide accountability for grant draw-down am ounts, grant paym ents for training, salaries and benefits, and purchases of technology and equipm ent, as well as m atching fund paym ents and bank account bala nces; • You or your financial m anager have prepared financial statem ents that are a ccu ra te a nd in a ccorda nce w ith g enera lly a ccepted a ccou nting principles; • You have prepared financial reports, including Financial Status Reports, cash reports, and claim s for advances and reim bursem ents which contain accurate and reliable financial data, and are represented in accordance with the conditions of your COPS Tribal Resources Grant Program and the Tribal Resources Grant Program Grant Owner’s Manual; and • You ha ve spent the g ra nt fu nds in a ccorda nce w ith the conditions of you r Tribal Resources Grant Program grant and provisions for Federal law that m ay bear on your financial statem ents. What are the audit requirem ents? If an auditor becom es aware of any issues or illegal acts, the auditor is required to give prom pt notice of the problem to the m anagem ent official in your departm ent. The m anagem ent official is required to prom ptly notify your Cognizant Federal Agency of the issues or illegal acts and of the proposed and actual actions to solve the problem . The COPS Office m ust inform the appropriate officials, including state and local law enforcem ent agencies or prosecuting authorities, of any known violations of the law within their respective areas of jurisdiction. Your auditor m ay request from you the CFDA num ber for the Tribal Resources Grant Program . That num ber is 16.710. Au dit Reporting Requ irem ents W ha t is the du e da te of au dit reports? 1) A grantee whose fiscal year begins before July 1, m ust subm it an audit report w ithin 13 m onths a fter the fisca l yea r ends. 2) A grantee whose fiscal year begins on or after July 1, m ust subm it an audit report w ithin 9 m onths a fter the fisca l yea r ends. Federa l Au dit Requ irem ents W here a re the au dit reports to be su bm itted? Audit reports are to be subm itted to your Cognizant Federal Agency and to other Federalagencies that provide direct Federal funding to your organization. ACognizant Federal Agency is generally the agency that provides you with the m ost Federalm oney. If this is the first Federalgrant that your organizationhas received, the Departm ent of Justice is your Cognizant Federal Agency. Inthat case, your audit reports shou ld be sent to: Federa l Au dit Clea ringhou se Bureau of the Census 120 1 10 th Street Jeffersonville, IN 47132 If this is not your first Federalgrant, please check with your financialanalyst or the auditor withinyour departm ent to determ ine which agency is your Cognizant Federal Ag ency. W ha t if there a re problem s w ith ou r au dit report? You r m a nag em ent officia ls w ill need to develop recomm enda tions for tim ely a ction that willresolve issues that the audit identifies. Prior to your audit, you m ust develop policies a nd procedu res for a ctiononau dit recomm enda tions. These policies a nd procedures should designate officials to be responsible for: • Follow-up onaudit findings; • M a inta ining a record of the a ctions tak enonrecomm enda tions a nd tim e schedu les; • Responding to a nd a cting onau dit recomm enda tions; a nd • Subm iting periodic reports to the Cognizant Federal Agency on recomm enda tions a nd a ctions tak en. How a re au dit requ irem ents m onitored? The Office of the Com ptroller, incoordinationwith the COPS Office, willtrack audit requ irem ents. Au dit reports w illbe tra ck ed u ntila ll issu es a re resolved a nd the au dit is closed. How ca nou rag ency receive technica la ssista nce w ith au dit requ irem ents? The Office of Justice Program s, at the U.S. Departm ent ofJustice, is available to provide you w ith technica la ssista nce in im plem enting au dit requ irem ents w henthe U.S. D epa rtm ent of Ju stice is you r a ssig ned Cog niza nt Federa l Ag ency. You m a y receive Triba lResou rces Gra ntProg ra m Gra ntOw ner’s M a nua l technicalassistance onthe following m atters by contacting: Denise Christodou lopou los OJP Au dit Lia son 810 7th Street, NW Washington, DC 20531 (20 2) 616-5968 • Review of au dit a r a ng em ents; • Review of audit program s or guides to be used for the conduct of the audit; a nd • On-site assistance inperform ing the audit, when necessary, as a result ofcom plexproblem s that m ay arise. W ha ta re the consequ ences of notcom plying w ith au dit requ irem ents? Future grants will not be awarded to any applicant who has anoverdue audit report or a nopenau dit report, ifthe g ra ntee ha s not a ttem pted to respond or ha s tak en no a ctionto resolve finding s. You m u st be incom plia nce w ith the au dit requ irem ents to receive grant funds. Exceptions to this policy are by the recomm endationof the Office of the Com ptroller. Section 6 Tribal Resources Grant Program Grant Owner’s M anual Reports Reports VI. Reports Periodically, you will be asked to provide two types of reports: Program Progress Reports and Financial Status Reports. Funds and future awards m ay be withheld if reports a re not retu rned or a re excessively la te. Prog ra m Prog ress Reports There a re tw o types of prog ra m Prog ress Reports : The Departm ent Initial Report - This report is requ ired only once du ring the life of the grant, and m ust be returned within 45 days of receipt. The Depa rtm ent Annua l Report - This report is requ ired once a yea r du ring the life of the grant. It will be m ailed to the grantee and m ust be com pleted and returned w ithin 45 da ys of the receipt. How often w ill Prog ress Reports be requ ested? The Departm ent Annual Report will be requested once a year. The Departm ent Initial Report is requ ested only once du ring the life of the g ra nt. W ha t k ind of inform a tion w ill these reports requ ire? These reports will request inform ation about the status of your grant in term s of selection, hiring, or training; characteristics of the officers you have hired; descriptions of officer activities; purchase of equipm ent technology; and general inform ation about your departm ent. You also will be asked about progress you have achieved in im plem enting comm u nity policing . Fina ncia l Sta tu s Reports How w ill g ra nt fu nds be m onitored? The Office of the Com ptroller m onitors the financial aspects of your grant through fina ncia l reports, m eeting s, telephone conta cts, reports, au dits, review of g ra nt change requests, and special request subm issions. In specific cases, inform ation m ay be requ ested du ring a n on-site visit. How do I file Fina ncia l Sta tu s Reports u nder PAPRS? Under the COPS PAPRS system , you a re requ ired to com plete a nd retu rn qua rterly Financial Status Reports (SF-269) within 45 days after the end of the calendar quarter. The Fina ncia l Sta tu s Reports requ est inform a tion on you r m onies spent inclu ding am ounts for Federal expenditures, local m atching contributions and the unobligated balance of the award. Triba l Resou rces Gra nt Prog ra m Gra nt Ow ner’s M a nua l You r Requ est for Pa ym ents (Revised H-3) m a y be dela yed if you ha ve not su bm itted these Fina ncia l Sta tu s Reports. How do I file Fina ncia l Sta tu s Reports u nder LOCES? Under the LOCES paym ent m ethod, you are required to com plete and return quarterly Financial Statu s Reports (SF-269) w ithin 45 days after the end of the calendar quarter. However, you have the option of com pleting those reports electronically each qua rter. Ca sh Reconcila tion Reports The Office of Comptroller, Accounting Division, will send you on a semiannual basis a Cash Reconciliation report. This report includes all cash activity related to your grant award during the period. You will need to verify the accuracy of that report. No response is necessary if the inform ation reflected in the report is in agreem ent with you r a ccou nting records. If the inform a tion differs from you r a ccou nting records, please notify the Accounting Division in writing outlining the identified differences. How to Report Viola tions (Frau d, Wa ste, a nd Abu se) If you suspect any alleged violations, serious irregularities, or acts that m ay result in the use of public funds in a m anner inconsistent with the Public Safety Partnership and Comm unity Policing Act of 1994 or the purposes of this grant, please report such to the U.S. Departm ent of Justice Inspector General Hotline at 1-800-869-4499. We w ou ld g rea tly a pprecia te you r coopera tion to help u s ensu re tha t these Federa l g ra nt fu nds a re spent responsibly. Section 7 Triba l Resou rces Gra nt Prog ra m Grant Owner’s M anual W hen the G ra nt Period Ends W hen the G ra nt Period Ends VIII. W hen the G ra nt Period Ends G ra nt Close Ou t At the end of your grant period, the COPS Office is responsible for the “close out” of your grant. To fulfill this requirem ent, we m ust determ ine that you, as well as the COPS Office, have com pleted all of the work required of the grant. Within 90 days of the end of the grant period, you will be asked to submit final financial and program reports. These reports will be very sim ilar to the reports discu ssed in Section VI. Fina l Fina ncia l Sta tu s Report The final Financial Status Report of your grant award is due within 90 days after the end of the g ra nt period. (Exa m ple: If the tra ining a nd equ ipm ent awa rd period is Septem ber 1, 1999 to August 31, 2000, the final report is due by Novem ber 30, 2000) This fina l report shou ld reflect the total am ount of Federal expenditures, the total amount of matching contributions and, the amount of unobligated fu nds, if any. Any unobligated or unspent funds will be deobligated from the award a m ou nt. W hen shou ld a ll of the g ra nt m onies be spent? Grant funds m ust be obligated by the end of the grant period. Obligated funds cover expenses that you have incurred but not yet paid. Grant funds that have been obligated will have 90 days after the end of the grant period in which to be expended. Any grant funds that you do not request paym ent for at the end of the 90 days will revert to the COPS Office. Fina l Prog ress Report Within 90 days of the end of your grant award period, the COPS Office will ask you to subm it a final Progress Report. The final Progress Report and its instructions will be m ailed to you in the third year of your grant. It will request inform ation sim ilar to the a nnua l Prog ress Reports. Triba l Resou rces Gra nt Prog ra m Gra nt Ow ner’s M a nua l Conclusion We hope that this m anual has assisted you with your grant questions. We welcom e and encourage any comm ents you have regarding the COPS Tribal Resources Grant Program and the m aterials we are developing for its adm inistration. If you have specific comm ents rega rding this m a nua l, plea se send them to: COPS Tribal Resources Grant Program Grant Owner’s Ma nual 1100 Verm ont Ave., NW Washington, DC 20530 (For overnight delivery, plea se u se 2000 5 a s the zip code.) We will review these comm ents and m ake revisions as appropriate. If you have any questions about your grant, please call your grant advisor at 1-800 -421-6770 . Section 8 Triba l Res ou rces G ra nt Prog ra m Grant Owner’s M anual Appendices Appendices Appendix A List of Sou rce Docu m ents Prim a ry Sou rces: Public Safety Partnership and Comm unity Policing Act of 1994, 42 U.S.C. U.S. Departm ent of Justice, Office of Justice Program s, Financial and Adm inistrative Guide for Grants, OJP M 7100.1D: May 15, 1990 Additiona l Sou rces : Code of Federa l Regu la tions (CFR) 28 CFR Part 66 Uniform Adm inistrative Requirem ents for Grants and Cooperative Ag reem ents to Sta te a nd Loca l Governm ents 28 CFR Pa rt 67 G overnm ent w ide Requ irem ents for D rug -Free W ork pla ces (G ra nts) 28 CFR Pa rt 69 G overnm ent w ide New Restrictions on Lobbying 31 CFR Pa rt 20 5 Trea su ry D epa rtm ent Regu la tions Im plem enting for Ca sh M anagem ent Im provem ent Act of 1990 OM B Circu la r A-87 Cost Principles for Sta te a nd Loca l G overnm ents OM B Circular A-33 Audits of Educational Institutions Assu ra nces for Universa l Hiring (Inclu ded) Executive Order 12547 "Non-Procurem ent Debarm ents and Suspension" Executive Order 12372, 28 CFR, Part 30 "Intergovernm ental Review of Federal Program s" OM B Circu la r A-129 M a nag ing Federa l Credit Prog ra m s 4 CFR Parts 101-105 Departm ent of Justice/General Accounting Office, "Joint Federal Cla im s Collections Sta nda rds" 5 CFR Pa rt 1320 "Controlling the Pa perw ork Bu rden on the Pu blic" Execu tive Order 12291 "Regu la tions" 5 CFR Part 151 "Political Activities of State and Local Officials or Em ployees" Triba l Resou rces Gra nt Prog ra m Gra nt Ow ner’s M a nua l Appendix B - Assu ra nces Several provisions of Federal law and policy apply to all grant program s. We (the Office of Comm unity Oriented Policing Services) need to secure your assurance that you (the applicant) will com ply with these provisions. If you would like further inform ation about any of the m atters on which we seek your assura nce, plea se conta ct u s. By you r au thorized representa tive’s sig na tu re, you a ssu re u s a nd certify to u s tha t you w ill com ply w ith all lega l a nd a dm inistra tive requ irem ents tha t g overn the applicant for acceptance and use of Federal grant funds. In particular, you assure us that: 1. You have been legally and officially authorized by the appropriate gov-person to discrim ination in connection with any program s or activities erning body (for exam ple, m ayor or city council) to apply for this grant funded in whole or in part with Federal funds. These civil rights require- and that the persons signing the application and these assurances on your ments are found in the non-discrimination provisions of the Omnibus behalf are authorized to do so and to act on your behalf with respect to Crime Control and Safe Streets Act of 1968, as amended (42 U.S.C. § any issues that m ay arise during processing of this application. 3789(d)); Title VI of the Civil Rights Act of 1964, as am ended (42 U.S.C. § 2000d); the Indian Civil Rights Act (25 U.S.C. §§ 1301-1303); Section 2. You will com ply with the provisions of Federal law which lim it certain 504 of the Rehabilitation Act of 1973, as am ended (29 U.S.C. § 794); Title political activities of your em ployees whose principal em ploym ent is in II, Subtitle A of the Am ericans with Disabilities Act (ADA) (42 U.S.C. § connection with an activity financed in whole or in part with this grant. 12101, et seq.); the Age Discrimination Act of 1975 (42 U.S.C. § 6101, et These restrictions are set forth in 5 U.S.C. § 1501, et seq. seq.); and Department of Justice Non-Discrimination Regulations contained in Title 28, Parts 35 and 42 (subparts C, D, E and G) of the Code 3. You will comply with the minimum wage and maximum hours pro-of Federal Regulations. visions of the Federal Fair Labor Standards Act, if they apply to you. A. In the event that any court or adm inistrative agency m akes a finding of 4. You will establish safeguards, if you have not done so already, to pro-discrim ination on grounds of race, color, religion, national origin, genhibit em ployees from using their positions for a purpose that is, or gives der, disability or age against you after a due process hearing, you agree the appearance of being, m otivated by a desire for private gain for them -to forward a copy of the finding to the Office of Civil Rights, Office of selves or others, pa rticu la rly those w ith w hom they ha ve fa m ily, bu siness Ju stice Prog ra m s, 810 7th Street, NW , Wa shing ton, DC 20 531. or other ties. B. If you are applying for a grant of $500,000 or m ore and Departm ent 5. You will give the Department of Justice or the Comptroller General regulations (28 CFR 42.301 et seq.) require you to submit an Equal access to and the right to exam ine records and docum ents related to the Opportunity Em ploym ent Plan, you will do so at the tim e of this applicagrant. tion, if you have not done so in the past. If you are applying for a grant of less tha n $500 ,000 a nd the regu la tions requ ire you to m a inta in a Pla n on 6. You will com ply with all requirem ents im posed by the Departm ent of file in your office, you will do so within 120 days of your grant award. Justice as a condition or adm inistrative requirem ent of the grant; with the program guidelines; with the requirements of OMB Circulars A-87 (gov-9. You will insure that the facilities under your ownership, lease or erning cost calculations) and A-128 or A-133 (governing audits); with the supervision which shall be utilized in the accomplishment of the project applicable provisions of the Omnibus Crime Control and Safe Streets Act are not listed on the Environmental Protection Agency’s (EPA) list of of 1968, as am ended; with 28 CFR Part 66 (Uniform Adm inistrative Violating Facilities and that you will notify us if you are advised by the EPA Requirements); with the provisions of the current edition of the appro-indicating that a facility to be used in this grant is under consideration for priate COPS grant owner’s manual; and with all other applicable laws, listing by EPA. orders, regu la tions or circu la rs. 10. If your state has established a review and comm ent procedure under 7. You will, to the extent practicable and consistent with applicable law, Executive Order 12372 and has selected this program for review, you seek, recruit and hire qualified members of racial and ethnic minority have made this application available for review by the state Single Point of groups and qualified wom en in order to further effective law enforcem ent Contact. by increasing their ranks within the sworn positions in your agency. 11. You will devise a plan to retain the increased hiring level with state 8. You w ill not, on the g rou nd of ra ce, color, relig ion, na tiona l orig in, a nd loca l fu nds a fter the conclu sion of you r g ra nt. g ender, disab ility or ag e, u nlaw fu lly exclu de a ny person from pa rticipa tion in, deny the benefits of or em ploym ent to a ny person, or su bject a ny I hereby certify com pliance with the above assurances that govern the application and use of Federal funds. Sig na tu re: ________________________________________________________________ Da te: ______________________ Appendices Certifica tions Regarding Lobbying; Debarm ent, Suspensionand Other Responsibility Matters; Drug-Free Workplace Requirem ents Coordination w ith Affected Ag encies; Non-Su ppla nting ; a nd Retention. Although the Departm entofJustice has m ade every effort to sim plify the applicationprocess, other provisions ofFederal law require us to seek your certification regarding certainm atters. Applicants should read the regulations cited below and the instructions for certification included inthe regulations to understand the requirem ents and whether they apply to a particular applicant. Signature of this form provides for com pliance with certificationrequirem ents under 28 CFR Part 69, "New Restrictions onLobbying," and 28 CFR Part 67, "Governm ent-wide Debarm ent and Suspension(Nonprocurem ent) and Governm ent-wide Requirem ents for Drug-Free Workplace (Grants)," and the coordinationand non-supplanting requirem ents of the Public Safety Partnership and Comm unity Policing Act of1994. The certifications shallbe treated as a m aterialrepresentationof fact uponwhich reliance willbe placed when the Departm entofJustice determ ines to awa rd the covered g ra nt. 1. Lobbying As required by Section1352, Title 31 of the U.S. Code, and im plem ented at 28 CFR Part 69, for persons entering into a grant or cooperativeagree- m entover $100,000, as defined at 28 CFR Part 69, the applicant certifies that: A. No Federa la ppropria ted fu nds ha ve beenpa id or w illbe pa id, by or onbeha lfof the u ndersig ned, to a ny person for influ encing or a ttem pting to influ ence a n officer or em ployee of a ny ag ency, a M em ber of Cong ress, a n officer or em ployee of Cong ress, or a n em ployee ofa M em ber ofCong ress inconnectionw ith the m ak ing of any Federal grant; the entering into of any cooperative agree- m ent; a nd the extension, continua tion, renewa l, a m endm ent or m odifica tionofa ny Federa lg ra ntor coopera tive ag reem ent; B. Ifa ny fu nds other tha nFedera la ppropria ted fu nds ha ve been pa id or w illbe pa id to a ny person for influ encing or a ttem pting to influ ence a n officer or em ployee of a ny ag ency, a M em ber of Congress, anofficer or em ployee of Congress, or anem ployee ofa Mem ber of Congress inconnectionwith this Federalgrant or coop- era tive ag reem ent, the u ndersig ned sha ll com plete a nd su bm it Sta nda rd Form — LLL, "D isclosu re of Lobbying Activities," in a ccorda nce w ith its instru ctions; C. The undersigned shallrequire that the language of this certificationbe included inthe award docum ents for allsubawards at all tiers (inclu ding su bg ra nts, contra cts u nder g ra nts a nd coopera tive ag reem ents, a nd su bcontra cts) a nd tha t a llsu b-recipients sha llcertify and disclose accordingly. 2. Debarm ent, Suspensionand Other Responsibility Matters (D irect Recipient) As required by Executive Order 12549, Debarm ent and Suspension, and im plem ented a t 28 CFR Pa rt 67, for prospective pa rticipa nts inprim a ry covered tra nsa ctions, a s defined a t 28 CFR Pa rt 67, Section67.510 — A. The applicant certifies that it and its principals: (i) Are not presently deba rred, su spended, proposed for deba rm ent, declared ineligible, sentenced to a denialofFederalbenefits by a state or Federa lcou rt, or volu nta rily exclu ded from covered tra nsa ctions by a ny Federa ldepa rtm ent or ag ency; (ii) Have not withina three-year period preceding this applicationbeen convicted of or had a civiljudgm ent rendered against them for comm issionof frau d or a crim ina loffense inconnectionw ith obta ining , a ttem pting to obta in, or perform ing pu blic (Federa l, sta te or loca l) tra nsa ction or contra ct u nder a pu blic tra nsa ction; viola tion of Federa l or sta te antitrust statutes or comm issionof em bezzlem ent, theft, forgery, bribery, fa lsifica tionor destru ctionof records, m ak ing fa lse sta tem ents, or receiving stolenproperty; (iii) Are not presently indicted for or otherw ise crim ina lly or civilly charged by a governm entalentity (Federal, state or local) with comm issionof any of the offenses enum erated inparagraph (A)(ii) of this certifica tion; a nd (iv) Ha ve not w ithina three-yea r period preceding this a pplica tionha d one or m ore pu blic tra nsa ctions (Federa l, sta te or loca l) term ina ted for cause or default; and B. Where the applicant is unable to certify to any of the statem ents in this certification, he or she shallatach anexplanationto this application. 3. Workplace (Grantees Other Than Individuals) As required by the Drug-Free Workplace Act of 1988, and im plem ented at 28 CFR Part 67, Subpart F, for grantees, as defined at 28 CFR Part 67, Sections 67.615 a nd 67.620 — A. The applicantcertifies that it will, or willcontinue to, provide a drug- free w ork pla ce by: (i) Pu blishing a sta tem ent notifying em ployees tha t the u nlaw fu l m anufacture, distribution, dispensing, possessionor use of a controlled su bsta nce is prohibited in the g ra ntee's w ork pla ce a nd specifying the actions that willbe takenagainst em ployees for violationof such prohibition; (ii) Establishing an on-going drug-free awareness program to inform em ployees a bou t — (a) The dangers ofdrug abuse in the workplace; (b) The grantee's policy ofm aintaining a drug-free workplace; (c) Any a va ila ble drug cou nseling , reha bilita tion a nd em ployee a ssista nce prog ra m s; a nd (d) The penalties that m ay be im posed uponem ployees for drug-abuse viola tions occu rring in the w ork pla ce; Triba lResou rces Gra ntProg ra m Gra ntOw ner’s M a nua l (iii) Making it a requirem ent that each em ployee to be engaged in the perform ance of the grant be given a copy of the statem ent required by paragraph (i); (iv) Notifying the em ployee in the statem ent required by paragraph (i) that, as a conditionofem ploym ent under the grant, the em ployee will— (a ) Abide by the term s of the sta tem ent; a nd (b) Notify the em ployer inwriting of his or her conviction for a violation of a crim inal drug statute occuring in the workplace no later than five calendar days after su ch conviction; (v) Notifying the ag ency, inw riting , w ithin10 ca lenda r da ys a fter receiving notice u nder su bpa rag ra ph (iv)(b) from a n em ployee or otherw ise receiving a ctua l notice of su ch conviction. Em ployers of convicted em ployees m u st provide notice, inclu ding position title, to: COPS Office, 1100 Verm ont Ave., NW , Wa shing ton, D C 20 530 . Notice sha ll inclu de the identifica tion nu m ber(s) of ea ch a ffected g ra nt; (vi) Taking one of the following actions, within30 calendar da ys of receiving notice u nder su bpa rag ra ph (iv)(b), w ith respect to a ny em ployee w ho is so convicted — (a ) Tak ing a ppropria te personnel a ction aga inst su ch a n em ployee, u p to a nd inclu ding term ina tion, consistent w ith the requirem ents of the Rehabilitation Act of 1973, as a m ended; or (b) Requ iring su ch em ployee to pa rticipa te sa tisfa ctorily in a drug a bu se a ssista nce or reha bilita tionprog ra m a pproved for su ch pu rposes by a Federa l, sta te or loca l hea lth, law enforcem ent or other a ppropria te ag ency; (vii) Making a good faith effort to continue to m aintain a drug-free workplace through im plem entationofparagraphs (i), (ii), (iii), (iv), (v) a nd (vi). B. The g ra ntee m a y insert inthe spa ce provided below the site(s) for the perform a nce of w ork done in connection w ith the specific g ra nt: Place of perform ance (street address, city, county, state, zip code) _ _ Gra ntee Na m e a nd Address: _ Check r if there are workplaces on file that are not identified here. Section 67.630 of the regulations provides that a grantee that is a state m ay elect to m ake one certification in each Federa l fisca lyea r, a copy of w hich shou ld be inclu ded w ith each application for Departm ent of Justice funding. States a nd sta te ag encies m a y elect to u se OJP Form 40 61/7. Check r if the sta te ha s elected to com plete OJP Form 40 61/7. 4. Coordina tion The Pu blic Sa fety Pa rtnership a nd Comm u nity Policing Act of 1994 requires applicants to certify that there has been appropriate coordination with all agencies that m ay be a ffected by the a pplica nt's g ra nt proposa l if a pproved. Affected ag encies m a y inclu de, a m ong others, the Office of the United States Atorney, state or localprosecu tors, or correctional agencies. The applicant certifies that there has beenappropriate coordinationwith allaffected agencies. 5. Non-Su ppla nting The applicant hereby certifies that Federal funds will not be u sed to repla ce or su ppla nt sta te or loca l fu nds, or fu nds supplied by the Bureau of Indian Affairs, that would, inthe absence of Federal aid, be m ade available to or for law enforcem ent pu rposes. 6. Retention The applicant hereby certifies that it understands that it m ust abide by its subm itted planto retain the additional civilian positions and redeploym ent levels at the conclusion of the g ra nt period. Application No. and/or Project Nam e: ______________________________ Grantee IRS/ Vendor Num ber: ____________ Typed Nam e and Title of Law Enforcem ent Representative: __________________________________________________ Sig na tu re: __________________________________________________________ Da te: ____________________ As the duly authorized representative of the governing body, Ihereby certify that the Iam binding the governing body to the above certifications, including the planto retain. Elections of new officials will not relieve the governing body of its obligations u nder this gra nt. Typed Nam e and Title of Governm ent Representative: ____________________________________________________ Sig na tu re:___________________________________________________________Da te: ____________________ Image of United States Department of Justice seal FOR MORE INFORMATION: U.S. Department of Justice Office of Community Oriented Policing Services 1100 Vermont Avenue, NW Washington, D.C. 20530 To obtail details on COPS programs, ca ll the U.S. Department of Justice Response Center at 1.800.421.6770. Visit the COPS internet w eb site: www.usdoj.gov/cops Updated:December 23, 1999 Created: July 21, 1999 e11990014