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HomeMy WebLinkAboutC88-011 County Drug Strike ForceDIVISION OF CRIMINAL JUSTICE STATEMENT OF GRANT AWARD Grant Number: 86 -HI -115 Project Title: Eagle County Drug Strike Force x THIS AWARD IS SUBJECT TO THE FOLLOWING SPECIAL CONDITIONS: C88 -11 -05 This grant is subject to an audit. The grantee must maintain all project records as will facilitate an affective audit for three years or beyond the three year period if an audit is in progress and /or the findings of a completed audit have not been resolved satisfactorily. You will be allowed to request funds in a total amount not to exceed $65.000 by submitting the cash request form provided by the Division of Criminal Justice. Open, competitive procurement procedures must be followed for the purchase of equipment and professional services. All contracts for professional services and any equipment purchases over two thousand dollars must each be approved by the Division of Criminal Justice prior to implementation or purchase. If it appears that the project will not be completed within the time specified in the Statement of Grant Award, the grantee must submit a written request for an extension of the grant period to the Division of Criminal Justice at least 31 days prior to the expiration date of the project. Reimbursement for expenditures beyond the specified completion date will not be allowed. First -time grant recipients may request no more than two (2) ninety day no -cost extensions unless there are extenuating circumstances. Continuation grant recipients may request no more than one (1) ninety day no -cost extension unless there are extenuating circumstances. Fiscal accounting and budget control must be performed by the Delegate Agency in accordance with OMB Management Circular A128. Audits must be performed in accordance with OMB Management Circular A128 by a CPA or licensed public accountant. As a formal part of the Division of Criminal Justice's closeout procedures for this subgrant, the subgrant's authorizing official will be required to notify, in writing, as to the date of the next agency audit which will incorporate this project. At such time as said audit is completed, one copy of the audit report must be forwarded to the Division of Criminal Justice for clearance of the subgrant portion of the audit. If the audit report does not meet A128 standards or is not submitted in a timely manner, then the grantee accepts responsibility for the costs of a financial program audit to be performed by the Department of Public Safety. Subgrantee agrees to notify other appropriate jurisdictions of all undercover anti - narcotic investigations which are being conducted in or through their respective jurisdictions in a timely manner. page one of three Subgrantee shall submit an of the Division of Criminal second quarter federal funds, evaluation plan. Which must receive the approval Justice Research Unit prior to the release of the Federal funds for personnel shall be for one year only. Subgrantee(s) agree to comply with any and all federal regulations including but not limited to Department of Justice, Bureau of Justice Assistance, OJP M 7100.1 and will provide a certification signed by the project director and by the authorized official of any other agency which is a recipient of any of these confidential funds indicating that he has read, understands, and agrees to abide by all of the conditions pertaining to confidential funds as set forth therein. This certification for confidential funds and their control in the amount of $ (federal funds) must be returned to the Division of Criminal Justice prior to the release of confidential funds. Each purchase ( "buy ") of services (P /S), evidence ME) or information (P /I) must be documented per U.S. Department of Justice, Bureau of Justice Assistance, Control and Use of Confidential Funds, Appendix 11, Financial and Administrative Guide For Grants OJP M 7100.1C, CHG 1 and said documentation shall be submitted to the Division of Criminal Justice with each quarterly report. Cash and noncash assets that are seized and revert to a state or local unit of government as a result of a grant which uses confidential expenditures shall be deemed program income pursuant to OMB Circular No. A -102 and only reported as program income up to the total amount of confidential funds expended under the grant. This income will be returned to the primary recipient, the Division of Criminal Justice, and used to support other projects under the appropriate program (OJP M 7100.1C, CHG 1, Chapter 5, Paragraph 62d). Subgrantee shall provide safeguards in the selection process of officers and agents including consultation with other state and local law enforcement agencies. Documentation of this consultation shall be submitted to the Division of Criminal Justice upon request. All expenditures can only be used to enhance the capacity of the criminal justice system to interdict controlled substances. Documentation of sufficient training and adequate expertise in the operation and maintenance of any equipment purchased pursuant to this subgrant shall be provided to the Division of Criminal Justice by the end of the grant period. Documentation of consultation with an expert in the field of sophisticated surveillance equipment concerning selection of specific items shall be provided to the Division of Criminal Justice prior to the end of the grant period. Subgrantee agrees to make every reasonable effort to avoid detaining juveniles in adult jails and lock -ups. page two of three .f �� � , t Subgrantee agrees to share equipment with other Colorado jurisdictions. Law enforcement agencies in and around the Denver metropolitan area will coordinate with and share relevant information with the Denver Anti -Crack Project when indicated and appropriate. Subgrantee is aware of the requirement and agrees to return all equipment purchased pursuant to this award to the State Department of Public Safety whenever this anti - narcotic activity ceases or the equipment is no longer being used specifically for anti - narcotic projects authorized by the Anti -Drug Abuse Act of 1986, PL 99 -570. A revised budget and budget narrative shall be received by the Division of Criminal Justice prior to the release of federal funds. In order to determine the extent to which these federal funds have enhanced or expanded existing services, the subgrantee agrees to submit to the Division of Criminal Justice a report of the total amount of their anti - narcotic budget for (fiscal year or calendar year) 1987 and 1988 (including this grant) by February 15, 1988 (if applicable). This grant is accepted by: Signatur of Du IV Authorized Official George A. Gates Date: February 8, .1988 --------------------- - - - - -- Chairman, Eagle County Board of Title County Commissioners Return original signed goldenrod to: Division of Criminal Justice, 700 Kipling Street, Suite 3000, Denver, CO 80215 DCJ Form 9 page three of three GRANTEE: NAME ADDRESS }DIVISION OF CRIMINAL JUSTICE a` STATEMENT OF GRANT AWARD County of Eagle P. 0. Box 850 Eagle. CO 81631 ATTENTION Richard L. Gustafson GRANT /PROJECT NUMBER 86 —HI -115 GRANT AND PROJECT TITLE Eagle County Drug Strike Force GRANT PERIOD: FROM 01/01/88 To 12/31/88 The Division of Criminal Justice hereby awards a grant to the above named grantee. Federal Grant Award $ 65,000 Initial Federal Drawdown Subgrantee Contribution $ 16,250 $ Total Project Budget $_ 81,250 The approved budget by category is based upon your Grant Application. It is necessary that you base your activities on this approved application and not on the application originally submitted since changes may have occurred as a result of the approval process. Your finance officer must have a copy of the approved Grant Application in order to prepare the necessary quarterly reports for this project. The grantee must secure prior written permission from the Division of Criminal Justice if there is to be an increase in any budget category total that exceeds ten percent, if a new line item is to be added, or if an existing line item is to be deleted. The grantee is to keep copies of all documents and correspondence that relate to this project in a file bearing the project title and number. All expenditures must be supported by documentation and only actual expenditures will be permitted. This grant is subject to the general conditions and the conditions applicable to fiscal administration set forth in the Grant Application and the Statement of Grant Award. This Statement of Grant Award duly executed and returned to the Division of Criminal Justice in conjunction with the approved grant application will serve as the contract between the Division of Criminal Justice and the grantee. Date ill Woodward, Director, Division of Criminal Justice, 700 Kipling Street, Suite 3000, Denver, CO 80215 DCJ Form 9A j Ir k. t $ ! Y z r STATE OF COLORADO DIVISION OF CRIMINAL JUSTICE STANDARD GRANT CONDITIONS y X State of Colorado ( APPLICATION FOR JUSTICE FUNDS Division of Criminal Justice GRANT CONDITIONS Standard Grant Conditions The applicant hereby assures and certifies that he /she will comply with all federal and state regulations, policies, guidelines and requirements, including but not limited to OMB Circulars Nos. A -87 and A -102, as they relate to the application, acceptance and use of federal funds for this federally assisted project. The applicant further understands and agrees that any grant received, directly or through its state law enforcement planning agency (designated under P.L. 90-351, as amended) as a result of this application, shall be subject to and incorporate the grant conditions set forth in the Statement of Grant Award contained in the U.S. Department of Justice Guideline Manual, "Financial Management for Planning and Action Grants: and in the Division of Criminal Justice Administrative Guide. The applicant also assures and certifies with respect to the grant that: a. Discrimination Prohibited Pursuant to grants awarded under P.L. 90 -351, as amended, the grantee declares that the requesting agency is an "equal opportunity employer" and is in compliance with local, state and federal guidelines of the Equal Employment Opportunity Commission (EEOC), and: (1) It will comply with Title VI of the Civil Rights Act of 1964 (P.L. 88 -352), and in accordance with Title VI of that act, no person shall, on the ground of race, color, religion, sex or national origin, be excluded from participation in, be denied the benefits of or be otherwise subjected to discrimination under any program or activity for which the applicant receives federal financial assistance and will immediately take any measures necessary to effectuate this agreement. (2) It will comply with Title VI of the Civil Rights act of 1964 (42 USC 2000d) prohibiting employment discrimination where: (a) The primary purpose of a grant is to provide employment, or (b) Discriminatory employment practices will result in unequal persons who are and should be benefiting from the grant-aided activity. (3) Title VII, Civil Rights Act of 1964, as amended by the EEO act of 1972. (4) Notwithstanding the provisions currently contained relating to civil rights compliance, this grant is expressly subject to the provisions contained in the Colorado Equal Employment Opportunity Policy, a copy of which is available upon request. (5) The personnel employed through this grant hereby consent to appear when requested at any adminis- trative hearing, conference or meeting conducted by the Division of Criminal Justice. b. Inspection and Audit The Division of Criminal Justice and the Comptroller General of the United States shall have access for purposes of audit and examinations to any books, documents, papers and records of the grantee and to relevant books and records of subgrantees and contractors, as provided in Section 521 of P.L. 90 -351, as amended. A notice to this effect shall appear in all subgrants and other arrangements for implemen- tation of this project. In addition, all required records shall be maintained for three years after completion of a project or longer if an audit is in progress and /or the findings of a completed audit have not been resolved. c. Third Party Participation No contract or agreement may be entered into by the grantee for execution of project activities or provisions of services to a grant project (other than purchase of supplies or standard commercial or maintenance services) which is not incorporated in the approved proposal or approved in advance by the Division of Criminal Justice. d. Special Conditions In addition to the general conditions and conditions applicable to fiscal administration to which this grant is subject, it is also conditioned upon and subject to compliance with the following special conditions: (1) Requests for Proposal (RFP) or invitations for bid issued by the grantee or a subgrantee to implement the grant or subgrant project are to provide notice of prospective bidders that the Bureau of Justice organizational conflict to interest provisior is applicable in that contractors that develop or draft specifications, requirements, statements of work and /or RFPs for a proposed procurement shall be excluded from bidding or submitting a proposal to compete for the award of such procurement. State of Colorado APPLICATION FOR JUSTICE FUNDS Division of Criminal Justice GRANT CONDITIONS (2) It is the policy of the Bureau of Justice Programs that the locations of meetings for projects be determined on a cost /benefit basis. That is, meeting sites selected by grantees or recommended by contractors should represent those most cost advantageous not only to Justice but also to those state and local agencies which support our efforts by releasing employees from duty in order that they may participate in project activities. (a) In selecting or recommending sites for project meetings, grantees and contractors should use the official duty station or participants as the basis for identifying an optimal location in terms of travel and per diem costs. This is not to say that all meetings must be held at the same location. As a general rule, however, average costs for all meetings during the project period should approximate the costs of meetings conducted at such an optimal location. (b) In instances where meeting sites are predetermined by the nature of the project or where it can be specifically shown that significant program benefits will be derived from selection of a particular location despite some additional cost, the general rule may be infrequently waived by the government project monitor with the concurrence of the responsible office head. (c) As a general rule, locations which reasonable persons would refer to as "resort areas" will not be selected for Justice funded gatherings, except where all participants reside within the specific geographic area and the site can be proved to be most cost-advantageous to the government. e. Environmental Impact Applicant hereby declares that no significant impact, as defined by the National Environmental Policy Act of 1969 and Bureau of Justice Guidelines, may result from implementation of this program. Further, the applicant hereby declares that implementation of this program will have no adverse effect on prop- erties listed in the National Register of Historic Places. Where this declaration cannot be made, the applicant must attach an Environmental Impact Analysis and proceed in accordance with Bureau of Justice Guildlines. f. Clean Air Act - Federal Water Pollution Act The Clean Air Act, USC 1957 et. seq., as amended, by P. L. 91-604; and Executive Order 11602, require that grants, subgrants or contracts will not be made to parties convicted of any offense under the Federal Water Pollution Control Act. Applicant hereby declares that it has not been convicted of any offense under the above federal acts. g. Additional Provisions The applicant will comply with the provisions of the Hatch Act, the Fair Labor Standards Act and the Uniform Relocation Assistance and Real Property Acquisition Policy Act of 1970 (P.L. 91 -646). h. Criminal Penalties "Section 651. Whoever embezzles, willfully misapplies, steals or obtains by fraud or endeavors to embezzle, willfully misapply, steal or obtain by fraud any funds, assets or property which are the subject of a grant or contract or other form of assistance pursuant to this title, whether receives, conceals or retains such funds, assets or property with intent to convert such funds, assets or property with the intent to convert such funds, assets or property have been embezzled, willfully misapplied, stolen or obtained by fraud, shall be fined not more than $10,000 or imprisoned for not more than five years or both. "Section 652. Whoever knowingly and willfully falsifies, conceals or covers up by trick, scheme or device, any material fact in any application for assistance submitted pursuant to this title, whether received directly or indirectly from the administration shall be subject to the provisions of Section 371 of the Title 18 United States Code." i. Privacy Certification Any grant containing a research or statistical component in which information identifiable to an individual is collected, must submit a Privacy Certificate in compliance with Section 524(a) of the Crime Control Act of 1973, as amended. Contact the Division of Criminal Justice for any further explanation and a sample certification. OJP M 7100..1C CHG 1 NOV 2 0 1987 APPENDIX 11. CONTROL AND USE OF CONFIDENTIAL FUNDS * This Guideline articulates procedures for the use and control of confidential funds by projects funded by the GRANTOR AGENCY (Office of Justice Programs) under the Crime Control and the Juvenile Justice Acts. The Office of Justice Programs includes the following: 1. Office of Justice Programs (OJP). 2. Bureau of Justice Assistance (BJA). 3. National Institute of Justice (NIJ). 4. Bureau of Justice Statistics (BJS). 5. Office of Juvenile Justice and Delinquency Prevention (OJJDP). 6. Office for Victims of Crime OVC). The provisions in this Guideline apply to all GRANTOR AGENCY professional personnel and grantees /sub grantees involved in the administration of grants containing confidential funds. DEFINITIONS FOR TYPES OF SPECIAL LAW ENFORCEMENT OPERATIONS 1. Purchase of Services (P S). This category includes travel or trans- portation of a non - federal officer or an informant; the lease of an apartment, business front, luxury -type automobiles, aircraft or boat or similar effects to create or establish the appearance of affluence; and /or meals, beverages, entertainment and similar expenses for under- cover purposes, within reasonable limits. 2. Purchase of Evidence WE). This category is for the purchase of evidence and /or contraband such as narcotics and dangerous drugs, firearms, stolen property, counterfeit tax stamps, etc., required to determine the existence of a crime or to establish the identity of a participant in a crime. 3. Purchase of Specific Information (P/I). This category includes the payment of monies to an informant for specific information. All other informant expenses would be classified under P/S and charged accord- ingly. POLICY. Confidential funds are those monies allocated to purchase of services, purchase of evidence and purchase of specific information. These funds should only be allocated: 1. When the particular merits of a program /investigation warrant the expenditure of these funds. 2. When requesting agencies are unable to obtain these funds from other sources. Page 1 OJP M 7100.1C CHG 1 � NOV 2 0 1987 APPENDIX 11. (CONT`D) * Confidential funds are subject to prior approval. Such approval will be based on a finding that they are a reasonable and necessary element of project operations. In this regard the approving agency must also ensure that the controls over disbursement of confidential funds are adequate to safeguard against the misuse of such funds. 1. The APPROVING AUTHORITY for the ALLOCATION of confidential funds is: a. GRANTOR AGENCY for block /formula grantees. b. Regional Information Sharing Systems (RISS) projects for member agencies. (Allocation of block of confidential funds is limited to $10,000). 2. The PRIOR APPROVAL AUTHORITY for the disbursement -and expenditure of confidential funds will be at the next higher level as follows: a. GRANTOR AGENCY for categorical grantees. b. State Agencies for block /formula subgrantees. C. Project Headquarters for member agencies for any individual payment in excess of $2,000. A signed certification that the project director has read, understands, and agrees to abide by the provisions of this Guideline is required from all projects that are involved with confidential funds from either Federal or matching funds. The signed certification must be approved at the time of grant application. FIGURE 1. SAMPLE CERTIFICATION CONFIDENTIAL FUNDS CERTIFICATION This is to certify that I have read, understand, and agree to abide by all of the conditions for confidential funds as set forth in the effective edition of OJP Guideline Manual 7100.1, Financial and Administrative Guide for Grants. Date: Signature: Project Director PROCEDURES. Each project and RISS member agency authorized to disburse confi- dential funds must develop and follow internal procedures which incorporate the following elements. Deviations from these elements must receive prior approval. Page 2 3 F a J OJT M 7100.1C CHG 1 ..' NOV Z 0 1987 APPENDIX 11. (CONT -D) * 1. Imprest Fund. The funds authorized will be established in an imprest fund which is controlled by a bonded cashier. 2. Advance of Fund. The supervisor of the unit to which the imprest fund is assigned must authorize all advances of funds for the purchase of information. Such authorization must specify the information to be received, the amount of expenditures, and assumed name of informant. 3. Informant Files. Informant files are confidential files of the true names, assumed names, and signature of all informants to whom payments of confidential expenditures have been made. To the extent possible, pictures and /or fingerprints of the informant payee should also be maintained. Refer to the "Documentation" paragraph for a list of required documents for the informant files. In the RISS program the informant files are to be maintained at the member agencies only. Project Headquarters may maintain case files. 4. Cash Receipts a. The cashier shall receive from the agent or officer authorized to make a confidential payment, receipt for cash advanced to him /her for such purposes. b. The agent or officer shall receive from the informant payee a receipt for cash paid to him /her. FIGURE 2. SAMPLE RECEIPT OF INFORMANT PAYEE RECEIPT For and in consideration of the sale and delivery to the State, County, or City of of information or evidence identified as follows: I hereby acknowledge receipt of $ (numerical & word amount entered by Payee)' paid to me by the State, County, or City of Date: Payee: (Signature) Case Agent /Officer: (Signature) Witness: (Signature) Case or Reference: (Signature) Page 3 Wa OJP M 7100.1C CHG 1 NOV 2 0 1987 APPENDIX 11. (CONT'D) * 5. Review and Certification. The signed receipt from the informant payee with a memorandum detailing the information received shall be for- warded to the agent or officer in charge. The agent or officer in charge shall compare the signatures. He /she shall also evaluate the information received in relation to the expense incurred, and add his/her evaluation remarks to the report of the agent or officer who made the expenditure from the imprest fund. The certification will be witnessed by the agent or officer in charge on the basis of the report and informant payee's receipt. 6. Reporting of Funds. Each project shall prepare a reconciliation report on the imprest fund on a quarterly basis. Information to be included in the reconciliation report will be the assumed name of the informant payee, the amount received, the nature of the information given, and to what extent this information contributed to the investigation. Grantees shall retain the reconciliation report in their files and available for review. Subgrantees shall retain the reconciliation report in their, files and available for review unless the state agency requests that the report be submitted to them on a quarterly basis. 7. Record and Audit Provisions. Each project and member agency must maintain specific records of each confidential fund transaction. At a minimum, these records must consist of all documentation concerning the request for funds, processing (to include the review and approval /dis- approval), modifications, closure or impact material, and receipts and /or other documentation necessary to justify and track all expendi- tures. Refer to Documentation, Item 1, for a list of documents which should be in the informant files. In projects where grant funds are used for confidential expenditures, it will be understood that all of the above records, except the true name of the informant, are subject to the record and audit provisions of the GRANTOR AGENCY legislation. DOCUMENTATION. 1. Informant File Security and Contents. a. For each informant a separate file should be established for accounting purposes. Informant files should be kept in a separate and secure storage facility, segregated from any other files, and under the exclusive control of the office head or an employee designated by him. The facility should be locked at all times when unattended. Access to these files should be limited to those employees who have a necessary legitimate need. An informant file should not leave the immediate area except for review by a management official or the handling agent, and should be returned prior to the close of business hours. Sign -out logs should be kept indicating the date, informant number, time in and out, and the signature of the person reviewing the file. Page 4 OJP M 7100.1C CHG 1 N 0 V 2 0 1487 APPENDIX 11. (CONT'D) * b. Each file should contain the following documents: (1) Informant Payment Record, kept on top of the file. This record provides a summary of informant payments. (2) Informant Establishment Report, including complete identify- ing and locating data, plus any other documents connected with the informant's establishment. (3) Current photograph and fingerprint card (or FBI /State Criminal Identification Number). (4) Cooperating Individual Agreement. (5) Receipt for Purchase of Information. (6) Copies of all debriefing reports (except for the Headquarters case file). (7) Copies of case initiation reports bearing on the utilization of the informant (except for the Headquarters case file). (8) Copies of statements signed by the informant (unsigned copies will be placed in appropriate investigative files). (9) Any administrative correspondence pertaining to the inform- ant, including documentation of any representations made on his behalf or any other nonmonetary considerations furnished. (10) Any deactivation report or declaration of an unsatisfactory informant. 2. Receipt for Purchase of Information. An informant payee receipt shall identify the exact amount paid to and received by the informant payee on the date executed. Cumulative or anticipatory receipts are not permitted. Once the receipt has been completed no alteration is allowed. The agent shall prepare an informant payee receipt containing the following information: a. The jurisdiction initiating the payment. b. A description of the information /evidence received. C. The amount of payment, both in numerical and word form. d. The date on which the payment was made. e. The signature of the informant payee. f. The signature of the case agent or officer making payment. Page 5 OJP M 7100.1C CHG 1 NOV 2 0 1987 APPENDIX 11. (CONT'D) * g. The signature of at least one other officer witnessing the payment. h. The signature of the first line supervisor authorizing and certifying the payment. RISS PROGRAM PROCESSING PROCEDURES. 1. Authorization of Disbursement. , The project director or his designee may allocate blocks of confidential funds in the amount of $10,000 or less to a member agency to be disbursed at the discretion of the agency head. However, any individual payment in excess of $2,000 by a agency must be approved in advance by the project director. 2. Request for Funds. Any member agency requesting funds from the project will do so in writing. The request must contain the amount needed, the purpose of the funds, and a statement that the funds requested are to be used in furtherance of the project's objectives. Additionally, the agency must provide a statement agreeing to establish control, account- ing, and reporting procedures which closely resemble the procedures outlined in this appendix. 3. Processing the Request. The project director, or his designee when appropriate, will approve or disapprove the request. If approved, the request will be forwarded to the project cashier who will record the request and transmit the monies, along with a receipt form, to the member agency. Upon receipt of the monies, the member agency will immediately sign and return the receipt form to the cashier. 4. Records. For all transactions involving the purchase of information, each project must maintain on file, the assumed name, and signature of all informants to whom member agencies make payments from project funds. S. Processing_ the Informant Payee Receipt. The original signed informant payee receipt, with a summary of the information received, will be forwarded to the project by the member agency. The project will then authenticate the receipt by comparing the signature of the informant payee on the receipt with the signature maintained by the project in a confidential file. If discrepancies exist, the project director, or his designee, will take immediate steps to notify the member agency and ascertain the reason(s) for the discrepancies. The member agency must forward written justification to address the discrepancies to the project. If satisfactory, the justification will be attached to the informant payee receipt. INFORMANT MANAGEMENT AND UTILIZATION. All persons who will be utilized as informants should be established as such. The specific procedures required in establishing a person as an informant may vary from jurisdiction to jurisdiction but, at a minimum, should include the following: Page 6 OJP M 7100.1C CHG 1' NOV 2 0 1987 APPENDIX 11._ (CONT'D) * 1. Assignment of an informant code name to protect the informant's iden- tity. 2. An informant code book controlled by the office head or his/her designee containing: a. Informant's code name. b. Type of informant (i.e., informant, defendant /informant, restricted- use /informant). C. Informant's true name. d. Name of establishing law enforcement officer. e. Date the establishment is approved. f. Date of deactivation. 3. Establish each informant file in accordance with Documentation, Item 1. 4. For each informant in an active status, the agent should review the informant file on a quarterly basis to assure it contains all relevant and current information. Where a MATERIAL fact that was earlier reported on the Establishment Report is no longer correct (e.g., a change in criminal status, means of locating him/her, etc.), a supple- mental establishing report should be submitted with the correct entry. 5. All informants being established should be checked in all available criminal indices. If a verified FBI number is available, request a copy of the criminal records from the FBI. Where a verified FBI number is not available, the informant should be fingerprinted with a copy sent to the FBI and appropriate state authorities for analysis. The informant may be utilized on a provisional basis while awaiting a response from the FBI. PAYMENTS TO INFORMANTS. 1. Any person who is to receive payments charged against PE /PI funds should be established as an informant. This includes persons who may otherwise be categorized as sources of information or informants under the control of another agency. The amount of payment should be commen- surate with the value of services and /or information provided and should be based on the following factors: a. The level of the targeted individual, organization or operation. b. The amount of the actual or potential seizure. C. The significance of the contribution made by the informant to the desired objectives. Page 7 OJP M 7100.1C Chg 1 _. NOV 2 0 1987 APPENDIX 11. (CONT'D) * 2. There are various circumstances in which payments to informants may be made: a. Pavments for Information and /or Active Participation. When an informant assists in developing an investigation, either through supplying information or actively participating in it, he /she may be paid for his/her service either in a lump sum or in staggered payments. Payments for information leading to a seizure, with no defendants, should be held to a minimum. b. Payment for Informant Protection. When an informant needs protection, law enforcement agencies may absorb the expenses of relocation. These expenses may include travel for the informant and his/her immediate family, movement and /or storage of household goods, and living expenses at the new location for a specific period of time (not to exceed 6 months). Payments for these expenses may be either lump sum or as they occur, and should not exceed the amounts authorized law enforcement employees for these activities. c. Payments to Informants of Another Agency. To use or pay another agency's informant, he /she should be established as an informant. These payments should not be a duplication of a payment from another agency; however, sharing a payment is acceptable. 3. Documentation of payments to informants is critical and should be accomplished on a receipt for purchase of information. Payment should be made and witnessed by two law enforcement officers and authorized payment amounts should be established and reviewed by at least the firstline supervisory level. In unusual circumstances, a nonofficer employee or an officer of another law enforcement agency may serve as witness. In all instances, the original signed receipt must be submitted to the project director for review and recordkeeping. ACCOUNTING AND CONTROL PROCEDURES. Special accounting and control procedures should govern the use and handling of confidential expenditures, as described below: 1. It is important that expenditures which conceptually should be charged to PE /PI /PS are in fact so charged. It is only in this manner that these funds can be properly managed at all levels, and accurate forecasts of projected needs be made. 2. Each law enforcement entity should apportion its PE /PI /PS allowance throughout its jurisdiction and delegate authority to approve PE /PI /PS expenditures to those offices, as it deems appropriate. 3. Headquarters management should establish guidelines authorizing offices to spend up to a predetermined limit of their total allowance on any one buy or investigation. Page 8 _ OJP M 7100.1C CHG 1 g.„ NOV 2 0 1987 APPENDIX 11. (CONT -D) * 4. In exercising his/her authority to approve these expenditures, the supervisor should consider: (1) the significance of the investigation; (2) the need for this expenditure to further that investigation; and (3) anticipated expenditures in other investigations. . Funds for PE /PI /PS expenditures should be advanced to the officer for a specific purpose. If they are not expended for that purpose, they should be returned to the cashier. They should not be used for another purpose without first returning them and repeating the authorization and advance process based on the new purpose. 5. Funds for a PE /PI /PS expenditure should be advanced to the officer on a suitable receipt form. A receipt for purchase of information or a voucher for purchase of evidence should be completed to document funds used in the purchase of evidence or funds paid or advanced to an informant. 6. For security purposes there should be a 48 -hour limit on the amount of time funds advanced for PE /PI /PS expenditure may be held outstanding. If it becomes apparent at any point within the 48 -hour period that the expenditure will not materialize, then the funds should be returned to the advancing cashier as soon as possible. An extension to the 48 -hour limit may be granted by the level of management that approved the advance. Factors to consider in granting such an extension are the amount of funds involved, the degree of security under which the funds are being held, how long an extension is required, and the significance of the expenditure. Such extensions should be limited to 48 hours. Beyond this, the funds should be returned and readvanced, if necessary. Regardless of circumstances, within 48 hours of the advance, the fund cashier should be presented ,with either the unexpended funds, an executed voucher for payment for information or purchase of evidence or written notification by management that an extension has been granted. 7. Purchase of Services expenditures, when not endangering the safety of the office or informant, need to be supported by canceled tickets, receipts lease agreements, etc. If not available, the office head, or his immediate subordinate, must certify that the expenditures were necessary and justify why supporting documents were not obtained. Page 9 —., —. ;��� a State of Colorado Division of Criminal Justice APPLICATION FOR JUSTICE FUNDS Page 3 22. Detailed Project Budget: Include the estimated cost of all resources needed to undertake the project. This budget page must include federal funds and any cash match. In-kind services are to be explained only in the budget narrative; NOT ON THIS PAGE. CATEGORY a. Personnel (Employees) TOTAL TOTAL (1) Salaries (list each position with salary rate and percentage of time devoted). /YR % /YR % /YR % /YR % /YR q Subtotal of Personnel ( $ (2) FICA, Retirement, Fringe Benefits, etc. % Total Personnel Costs $ $ b. Supplies and Other Operatinq Expenses (communications. renrodtirtinn) C. Travel (itemize transportation and subsistence) d. Equipment (itemize) e. Professional Services (itemize individuals and organizations) F g. Total Percent by Source (1) Federal Funds (2) Subgrantee Match (3) Other State Funds TOTAL e _ $ = 100 24. BUDGET NARRATIVE: Explain and justify the project budget and relate the item budgeted to project activities. (Use additional sheets as needed.) State of Colorado APPLICAT %FOR JUSTICE FUNDS Division of Criminal Justice {. Page 3a 23. Budget Summary and Source of Funds: (Self-explanatory) a. Personnel g. Total Percent by Source (include fringe benefits) $ Federal Funds _ $ % b. Supplies and Operating $ Subgrant Funds $ _ % c. Travel $ Other (list): d. Equipment $ e. Professional Services $ f. TOTAL $ $ _ % Total $ = . 24. BUDGET NARRATIVE: Explain and justify the project budget and relate the item budgeted to project activities. (Use additional sheets as needed.) e � STATE OF COLORADO DIVISION OF CRIMINAL JUSTICE GRANT APPLICATION INSTRUCTIONS 1" q s� t , 1 1 I State of Colorado I APPLICATION FOR JUSTICE FUNDS Division of Criminal Justice Instructions for Page 1 1. through 6. These items are to be completed by the Division of Criminal Justice. 7. Title of Project: Enter a brief descriptive title. 8. Type of Application: Check whether this is the first (original application for this project) or a supplemental or continuation of a previously Justice - funded grant. If previously funded or if a supplemental, indicate the current or pre- vious grant number(s). 9. Justice Program Under Which Application is Submitted: Applicant is to enter the fiscal year applicable, type of funds and program area under which this applica- tion is made. 10. Congressional District: Enter the number of the proponent's Congressional District. 11. Project Duration: Show the anticipated project length in months. 12. Federal Aid Requested: Enter the total amount of Justice (federal monies) funding requested to conduct the project. 13. State Agency /Local Government /Other Agency: Enter the official name, address and telephone number of the state, local government, or other agency that will administer the project. 14. Project Director: The project director is the individual who will be in direct charge of the project. This should be a person who combines knowledge and experience in the project area with ability in administration and supervision of personnel and will be expected to devote a major portion of his /her time to the project. 15. Financial Officer: The financial officer is the person who will be responsible for fiscal matters relating to the project and in ultimate charge of accounting, management of funds, vertification of expenditures and grant financial reports. This must be an individual other than the project director. 16. Official Authorized to Sign Application: This is the individual authorized to enter into binding commitments on behalf of the requesting agency. In local units of government, this individual will normally be a city manager, mayor and/ or commissioner. At the state level, this individual will be a department or division head. In a private non - profit agency, this person would be either the Board Chairperson or Executive Director. 17. through 19. Signatures: All signatures must be original and written by the individual whose name apppears in the appropriate block. Signatures completed by an individual's superiors or secretary are not acceptable. �.y. �„ n � State of Colorado Division of Criminal Justice APPLICATION FOR JUSTICE FUNDS Instructions for Page 3 22. Detailed Project Budget: The budget form must be completed in detail. It must be accompanied by a separate narrative which provides justification and details the basis for determining the cost of the items included in each budget category. The budget must cover the entire project period. The budget form has separate columns to show total cost, category costs (total line items in that category) and the total project cost. a. Personnel (1) Salaries: List each position by title (and name of employee if avail- able); if two individuals have the same title, list it twice. Show the annual salary rate for the employee and the percentage of time to be devoted to the project by the employee. Budgets should take into account time needed to acquire new staff and changing demands for per- sonnel during the course of the project. (2) Employee Benefits: Indicate each type of benefit included and the total cost allowable to employees assigned to the project. b. Supplies and Other Operating Expenses List items within this category by major type (e.g., office supplies, train- ing materials, research forms, telephone, tuition, postage, etc.,) and show the basis for computation (i.e., "X" dollars per month for office supplies, "Y" dollars per person for training materials, telephone -base charge plus long distance at "Z" dollars per month, etc.). Large items should be listed and identified (e.g., unusual supply items, special printing, etc.). c. Travel Itemize travel expenses of project personnel by purpose (e.g., to attend training sessions, to transport clients, etc.) and show basis for computation. Indicate if the travel is in -state or out -of- state. Show airfare, ground transportation, automobile, lodging and meals. State travel rates are the maximum allowed. Generally, these allowable rates are: (1) $.20 per mile for use of personal vehicle. (2) Lodging (a) In -state is actual cost of reasonable accommodations. However, lodging costs in excess of $40.00 must have prior approval of Director. (b) Out -of -state is most reasonable rate. (3) Meals In -State Out -of -State (a) Breakfast 5.00 6.00 (b) Lunch 6.00 7.00 (c) Dinner 14.00 16.00 25.00 $29.00 Exceptions to these rates are listed and explained in the Division of Criminal Justice Administrative Guide. Tuition and registration fees, and vehicle gas and maintenance on grant- or government -owned vehicles are operating expense not travel. 3 State of Colorado I APPLICATION FOR JUSTICE FUNDS Division of Criminal Justice Instructions for Pages 3 and 3a d. Equipment List separately each type of item to be purchased with unit cost. This category should include all items costing $100 or more and having a useful life of one year or more and items of a specialized nature, such as calcu- lators, which may cost less than $100 but must be inventories. All equip- ment must be purchased through competitive bid or established purchasing procedures. e. Professional Services List each type of consultant or service with proposed fee (by day or hour) and the amount of time to be spent on such services. Rates for individual professional services cannot exceed $18.75 per hour or $150 per eight -hour day. This is a maximum rate and should not be considered a normative rate. f. Total Protect Costs The "Total Project Cost" is the sum of the "Category Totals." 24. Budqet Narrative The applicant must provide a justification and explanation of the budget items on page 3a. The budget narrative should use the same category subheadings as used on page 3 (e.g., a. Personnel, b. Supplies and Other Operating Expenses, etc.). The budget narrative should contain the criteria used to compute budget figures. All budget figures should be justified and explained clearly so as to be easily understood. The budget narrative should show the relationship between category amount and proposed project operations. For example, if this were a training project, explanation of the professional services budget category amount should include an explanation of the need for consultants to provide training. Project income should be clearly identified, estimated and explained in all budget categories. Project income is earnings by the subgrantee realized from grant supported activities. Such earnings exclude interest income and may include, but is not limited to, income from services fees, sale of commodities, usage or rental fees, sale of assets purchased with grant funds and royalties on patents and copyrights. These funds must be used for project purposes or to reduce the amount of the federal award. Project income is subject to the same guidelines and restrictions as grant funds. Use of project income for costs not included in the approved project budget must be approved by the Division of Criminal Justice. The following is specific information required for specific budget categories: a. Personnel Explain how the salary rate for each position was determined. Provide evidence to show that the proposed salary is one which is paid for equiva- lent positions and employee qualifications in your area. Include the qualifications required for each position and a specific job description. If salaries are increased from one project year to the next indicate the percentage increases for each position and justify. 4 f 9 State of Colorado I APPLICATION FOR JUSTICE FUNDS I Division of Criminal Justice Instructions for Page 3a b. Supplies and Operating Explain how the costs were determined and justify the need for the various line items. c. Travel Explain the relationship of each cost item to the project, (e.g., if conference expenses are requested, explain the topic of the conference and its relationship to the project). d. Equipment Explain why the proposed equipment is essential to conducting the project. Provide justification that purchase is more reasonable than rental or leasing of the equipment. e. Professional Services Explain why proposed consultant services cannot or should not be provided by project staff. Explain how the rate was determined. For each consult- ing organization, indicate the number of people to be assigned to the project, number of hours per person per day to be spent on the project, and a breakdown of the contract price by major cost item. Professional services should be procured competitively. Sole source contracts must be justified and are subject to approval by the Division of riminal Justice. All contracts for professional services must be reviewed and approved by Division of Criminal Justice prior to being signed. State of Colorado ( APPLICATION FOR JUSTICE FUNDS Division of Criminal Justice Instructions for Page 4 25. Multi- Jurisdictional Grantees: Fill in appropriate blank "yes" or "no" to indicate whether the project is multi - jurisdictional. If "yes ", list other agencies or units of government involved by name, the chief executive of that agency or unit of government, his /her signature, date and the amount of cash match that unit of government is appropriating to the project, if any. If the condition of agreement is not fulfilled, then this proposed multi - jurisdictional project will not be funded. 26. Other Private or Public Agencies Support: If the applicant plans to obtain non - federal financial support in addition to, or in place of Bureau of Justice support, answer "yes" and fully identify the source(s). 27. Federal Support: If other federal funds will be available for financing components of the project, the applicant should indicate and explain. This should be interpreted broadly and include notice of any related activities supported by other federal programs (HHS, JTPA, etc.). 28. Federal Submissions: Indicate other federal agencies or programs to which this proposal or a related project idea has been submitted or offered for discussion. Indicate the status of the project in that federal agency's funding process. 29. Certification of Non - Supplanting: Self- explanatory. 7 State of Colorado APPLICATION FOR JUSTICE FUNDS Division of Criminal Justice Instructions for Page 5 30. Certification of Appropriation of Match: Prior to funding of an approved application, the Division of Criminal Justice must receive proof of matching funds in the form of a Certification of Appropriation of Cash Match. The form must be signed by the authorizing official and can be submitted with the application. a. For programs requiring a match, either in -kind services or cash, completion of this page is required. b. For programs having no specific match requirements, but cash is provided, this page needs to be completed. M State of Colorado Division of Criminal Justice APPLICATION FOR JUSTICE FUNDS Instructions for Pages 6a and 6b 31. and 32. Civil Rights Compliance: The Division of Criminal Justice must ensure that personnel procedures used to hire grant- funded personnel will provide equal employment opportunities to all applicants. The applicant should complete either the DCJ Form 15a or DCJ Form 15b which should be submitted as a part of the application. The DCJ Form 15a should be used by those agencies with at least 50 employees and. receiving $25,000 or more in Justice funds. These criteria should be met by the implementing agency, not the unit of government serving the grantee. For example, if application is to provide training in a police department, the police department must meet criteria, not the city which would serve as the grantee. All applicants meeting the criteria for DCJ Form 15a must submit an equal employment opportunity plan or have one on file with the Division of Criminal Justice. The DCJ Form 15b should be completed by smaller agencies with fewer than 50 employees and by those who have received less than $25,000 including the present application. Although an equal employment opportunity plan will not be needed, the applicant should attach to the DCJ Form 15b, an outline of the procedures and criteria which will be used to hire personnel under the grant to include: a. The job description, qualifications and background necessary to fill the position. b. The recruitment process including the advertising of the vacancy and the method to be used to initially screen applications; where present personnel will be employed in the program, and the applicant describes the promotion or selection procedures they intend to follow. c. The selection process, including the criteria and methods to be used to select the people to be interviewed, and to select final choice(s) should be outlined. State of Colorado APPLICATION FOR JUSTICE FUNDS Division of Criminal Justice Instructions for Page 7 PROJECT PLAN NARRATIVE All projects must demonstrate a capability to impact upon the reduction of crime and/ or the improvement of the administration of justice. Any project which cannot meet this requirement, will not be considered for funding. This requirement must be reflected in items 33 to 37. 33. Problem Statement Clearly describe the problem this project is addressing. Provide supporting facts and figures to document its existence. Indicate the source of data cited (e.g., agency records, UCR data, program evaluation results). The problem statement should be related to the target population that this project will serve. In documenting the problem statement, provide relevant facts about the target population. 34. Project Goals and Objectives a. Project objectives are clear, concise statements which highlight what the project is intended to achieve. b. Project objectives should be quantifiable (i.e., a numeric value can be attached) in order to facilitate measurement of the changes or achievements brought about by your project. The following are examples of measurable objectives: (1) To provide community relations training to 50 percent of the law enforcement personnel in the department within 12 months. (2) To increase the community relations skills of those law enforcement personnel receiving training by providing three - week -long trainings during a 12 month period. c. Project objectives or goals should include, but not be limited to, the objectives or goals for the program area from which funds are being requested. d. The objectives must be related to the problem statement in Item 33 and to the project description presented in Item 35. 35. Project Description and Workplan a. Provide a narrative description of the general approach or strategy you have selected for attaining each of the objectives stated in Item 34. This description should provide a clear understanding of the method which your project will use to achieve these objectives. Discuss any major alternative approaches to meet these objectives, justifying your chosen alternative. b. Provide a detailed workplan for the time period covered by this applica- tion. This workplan may be in chart form and, at a minimum, should: (1) Identify the tasks necessary to achieve each of the goals stated in Item 34. Each project goal may have one or more major activities with subtasks or may have one or more tasks. (2) Provide a timetable for completion of each task. (3) Identify the staff positions or consultants to be assigned to each task. 10 State of Colorado Division of Criminal Justice APPLICATION FOR JUSTICE FUNDS Instructions for Page 7 PROJECT PLAN NARRATIVE The following is an example of a workplan done in chart form: EXAMPLE WORKPLAN Person(s) or Calendar Months to be Position -s PositionT-sT Spent Working on Eac Objective Responsible Task or Activity To provide community relations training to 50 percent of the law enforcement personnel in the department within 12 months. Task 1: To recruit and hire a full -time community Personnel relations trainer. Officer July- August Task 2: To develop a training Community curriculum. Relations Trainer August- September Task 3: To select those person- Chief-and nel to receive training Supervisory Personnel August- September c. Provide a complete timetable which includes all of the major activities or tasks and summarize the time spent to complete them. d. Staff and Other Project Resources Indicate achievements, experience or other activities which qualify the applicant agency to conduct this project. Provide brief biographical sketches of key staff or consultants to be involved in the project. If specific staff have not yet been identified, the qualifications and background which will be sought for these key positions should be included. Describe the role of advisory bodies and agencies, other than the sponsor- ing agency, that are involved in this project. Where the cooperation of such agencies is essential to the success of this project, provide written evidence of their support (e.g., specific referral agreements). Provide an organization chart summarizing lines of responsibilities and authority for the conduct of this project. Include in this chart, staff, advisory bodies and consultants, if any. e. Effects and Impact Describe specifically what the project will demonstrate or achieve. Describe how the project will address the needs and solve the problems cited in Item 33. This should include an indication of those agencies or groups that will benefit and the level of impact expected. 36. Evaluation Design The manner in which you will evaluate your project is important and should be given the same advance planning as the project design itself. The evaluation design should provide detailed information regarding evaluation efforts and requirements. The evaluation design must address the following areas: C"i