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Award condition: Compliance with restrictions on the use of federal funds-prohibited and controlled equipment under OJP award

The following award condition is specifically incorporated by reference in many OJP awards made during or after May 1, 2023.

Background: Consistent with Executive Order 14074, “Advancing Effective, Accountable Policing and Criminal Justice Practices To Enhance Public Trust and Public Safety,” OJP has prohibited the use of federal funds under this award for purchases or transfers of specified equipment by law enforcement agencies.  In addition, OJP requires the recipient, and any subrecipient (“subgrantee”) at any tier, to put in place specified controls prior to using federal funds under this award to acquire or transfer any property identified on the “controlled equipment” list.   

Award Condition:
Prohibited equipment. Consistent with Executive Order 14074 of May 25, 2022, “Advancing Effective, Accountable Policing and Criminal Justice Practices To Enhance Public Trust and Public Safety,” OJP has prohibited the use of OJP grant funds for the purchase or transfer of the following equipment:

  1. Firearms of .50 or greater caliber
  2. Ammunition of .50 or greater caliber
  3. Firearm silencers, as defined in 18 U.S.C. 921(a)(24)
  4. Bayonets
  5. Grenades (including stun and flash-bang)
  6. Grenade launchers (including launchers for stun and flash-bang)
  7. Explosives (except for explosives and percussion actuated non-electric disruptors used for accredited bomb squads and explosive detection canine training)
  8. Any vehicles that do not have a commercial application, including all tracked and armored vehicles, unless the law enforcement agency certifies that the vehicle will be used exclusively for disaster-related emergencies; active shooter scenarios; hostage or other search and rescue operations; or anti-terrorism preparedness, protection, prevention, response, recovery, or relief
  9. Weaponized drones and weapons systems covered by DOD Directive 3000.09 of November 21, 2012, as amended (Autonomy in Weapon Systems)
  10. Weaponized aircraft, vessels and vehicles of any kind
  11. Aircraft that are combat-configured or combat-coded, have no established commercial flight application, or have no application for disaster-related emergencies; active shooter scenarios; hostage or other search and rescue operations; or anti-terrorism preparedness, protection, prevention, response, recovery, or relief
  12. Long-range acoustic devices that do not have a commercial application.
  13. Camouflage-patterned uniforms intended for law enforcement use in urban or populous areas. (Woodland and desert patterns are allowable based on operational needs for law enforcement missions conducted within a specific physical terrain and environment, such as woodland camouflage patterns used in forested terrain for narcotics eradication programs.)

Controlled equipment.  Consistent with Executive Order 14074 of May 25, 2022, “Advancing Effective, Accountable Policing and Criminal Justice Practices To Enhance Public Trust and Public Safety” the use of OJP grant funds for the purchase or transfer of the following equipment is controlled, and recipients may not obligate, expend, or draw down funds for items on the controlled equipment list without express prior written approval post-award, via Grant Award Modification in OJP’s JustGrants system.

  1. Unmanned Aerial System (UAS), Unmanned Aircraft (UA) and/or Unmanned Aerial Vehicle (UAV)*
  2. Command and/or Control Vehicles (Any wheeled vehicle either purpose-built or modified to facilitate the operational control and direction of public safety units responding to an incident). Command and Control Vehicles are similar to a recreational vehicle and can accommodate multiple people at multiple workstations in the command center. This category is not intended for other types of vehicles that could serve as a command and control center, including sport utility vehicles (SUVs).
  3. Tactical Vehicles, wheeled (A vehicle purpose-built to operate on- and off-road in support of military operations, such as a HMMWV ("Humvee"), 2.5ton truck, 5-ton truck, or a vehicle with a breaching or entry apparatus attached). This excludes commercially available vehicles not tactical in nature, such as pick-up trucks or SUVs being used in the ordinary course by police forces in the United States for patrol activities.
  4. Manned aircraft, fixed and/or rotary wing
  5. Specialized firearms and ammunition under .50 caliber. This excludes service-issued handguns, rifles, or shotguns that are issued or approved by the agency to be used during the course of regularly assigned duties.  
  6. Explosives and pyrotechnics

*The use of Bureau of Justice Assistance (BJA) grant funds for unmanned aircraft systems (UAS), including unmanned aircraft vehicles (UAV), and all accompanying accessories to support UAS or UAV is unallowable.

Requesting prior approval to purchase or transfer controlled equipment.  To request prior approval, the recipient must:

  • Using the JustGrants system (JustGrants) submit a “Programmatic Costs” Grant Award Modification (GAM), marked “Other” and with “Controlled Equipment Request” typed in the available text box. 
  • Attach to the GAM a letter, on the letterhead of the recipient entity and signed by the recipient’s “authorized representative” for the OJP award that includes each of the following elements:
    1. A general description of the requesting agency; 
    2. A detailed justification for acquiring the controlled equipment, including a clear and persuasive explanation of the need for and appropriate criminal justice purpose that it will serve. (If applicable, please describe any previous instance in which the controlled equipment was used in a manner that deviated from the detailed justification supporting the application for that equipment.);
    3. The number of units of the requested controlled equipment that are currently in your agency’s inventory; 
    4. Categories of other controlled equipment acquired through Federal programs during the past three (3) years that the requesting agency currently has in its inventory; 
    5. Whether the requested controlled equipment currently could reasonably be accessed through loans or mutual assistance or mutual aid agreements;  
    6. Certification (written assurance) that the requesting agency has adopted required protocols or will adopt those protocols before physical acquisition or purchase of controlled equipment or transfer of funds (See POLICIES AND PROTOCOLS below);  
    7. Certification (written assurance) that the requesting agency has provided required training or will provide that training before physical acquisition or purchase of controlled equipment or transfer of funds (See TRAINING below);  
    8. Evidence of civilian governing body’s review and approval or concurrence of the requesting agency’s acquisition of the requested controlled equipment; Or, if the requesting agency’s chief executive is popularly elected (e.g., a Sheriff), evidence of official written notice to the civilian governing body at least 30 days in advance of the application to acquire controlled equipment;. 
    9. Whether the requesting agency has applied, or has a pending application(s), for this type of controlled equipment from another Federal agency during the current fiscal year;  
    10. Whether any prior application for controlled equipment has been denied by a Federal agency during the past three (3) years, and, if so, the reason for the denial; and
    11. Whether the requesting agency has been found to be in violation of a Federal civil rights statute or programmatic term during the past three (3) years and, if so, whether any disposition was reached or corrective actions were taken.  LEAs must disclose any finding by a Federal court or a Federal government agency, including an agency’s Office of Civil Rights or the Civil Rights Division of the U.S. Department of Justice, that the LEA has violated a Federal civil rights law with respect to their policing functions.  LEAs must also disclose any admissions of liability they have made regarding violations of Federal civil rights law in their policing functions.

Requirements that apply to Controlled Equipment.  Following prior written approval from the OJP grant making component to use award funds to acquire an item listed on the Controlled Equipment list, the following requirements apply:

Policies and Protocols: Law enforcement agencies (LEAs) that acquire controlled equipment through Federal programs must adopt robust and specific written policies and protocols governing General Policing Standards and Specific Controlled Equipment Standards.

  • General Policing Standards includes policies on (a) Community Policing; (b) Constitutional Policing; and (c) Community Input and Impact Considerations.
  • Specific Controlled Equipment Standards includes policies specifically related to (a) Appropriate Use of Controlled Equipment; (b) Supervision of Use; (c) Effectiveness Evaluation; (d) Auditing and Accountability; and (e) Transparency and Notice Considerations.
  • Record‐Keeping Requirement. Upon request, LEAs must provide a copy of the General Policing Standards and Specific Controlled Equipment Standards, and any related policies and protocols, to the Federal agency that supplied the equipment/funds.

Training: LEAs that acquire controlled equipment through Federal programs must ensure that its personnel are appropriately trained before using or authorizing the use of controlled equipment and that training meets the following requirements:

  • Required Annual Training on Protocols. On an annual basis, all LEA personnel who may use or authorize use of controlled equipment must be trained on the LEA’s General Policing Standards and Specific Controlled Equipment Standards. (For purposes of this Requirement, “annual” training – after an initial comprehensive session – may be accomplished through, for example, an in‐service, presentations at roll call, or as part of other training refreshers.)
  • Required Operational and Technical Training. LEA personnel who use controlled equipment must be properly trained on, and have achieved technical proficiency in, the operation or utilization of the controlled equipment at issue.
  • Scenario‐Based Training. To the extent possible, LEA trainings related to controlled equipment should include scenario‐based training that combines constitutional and community policing principles with equipment‐specific training. LEA personnel authorizing or directing the use of controlled equipment should have enhanced scenario‐based training to examine, deliberate, and review the circumstances in which controlled equipment should or should not be used.
  • Record‐Keeping Requirement. LEAs must retain comprehensive training records, either in the personnel file of the officer who was trained or by the LEA’s training division or equivalent entity, for a period of at least three (3) years, and must provide a copy of these records, upon request, to the Federal agency that supplied the equipment/funds.

After‐Action Review: (1) LEAs must collect and retain “Required Information” (described below) when law enforcement activity that involves a “Significant Incident” requires, or results in, the use of any controlled equipment that was acquired under this award. (2) When unlawful or inappropriate police actions are alleged and trigger a Federal compliance review, and the Federal agency determines that controlled or prohibited equipment was used in the law enforcement activity under review, the LEA must produce or generate a report(s) containing Required Information.

  • “Significant Incident” Defined: Any law enforcement operation or action that involves (a) a violent encounter among civilians or between civilians and the police; (b) a use‐of‐force that causes death or serious bodily injury; (c) a demonstration or other public exercise of First Amendment rights; or (d) an event that draws, or could be reasonably expected to draw, a large number of attendees or participants, such as those where advanced planning is needed.
  • “Required Information” to Be Collected and Retained: (a) Identification of controlled equipment used (e.g., categories and number of units of controlled equipment used, make/model/serial number); (b) description of the law enforcement operation involving the controlled equipment; (c) identification of LEA personnel who used the equipment and, if possible, civilians involved in the incident; and (d) result of controlled equipment use (e.g., arrests, use‐of‐force, victim extraction, injuries).
  • Format of Information Collection and Retention. No new form or format is required as long as the Required Information is retained in a manner that is easily accessible and organized. For example, information about the use of controlled equipment can be included in an Operations Plan, detailed in officer daily logs, or described in use‐of‐force reports.
  • Record‐Keeping Requirement: LEAs must retain “Significant Incident” reports and Required Information for a period of at least three (3) years and must provide a copy of these records, upon request, to the Federal agency that supplied the equipment/funds. This information also should be made available to the community the LEA serves in accordance with applicable policies and protocols including considerations regarding the disclosure of sensitive information.

Transfer/Sale of Award-Funded Controlled Equipment to Other LEAs: LEAs may transfer or sell any controlled equipment acquired under this award to another LEA. Prior to finalizing any transfer or sales agreement, the transferor/seller‐LEA must inform and obtain approval from the Federal agency that supplied the controlled equipment/funds. The acquiring‐LEA must submit the same information that was required of the transferor/seller‐LEA to, and receive approval from, the Federal agency.

Transfer/Sale of Award-Funded Controlled Equipment to Non‐LEAs: LEAs may transfer or sell only the following types of controlled equipment to non‐LEAs: (a) Fixed Wing Aircraft; (b) Rotary Wing Aircraft; (c) Command And Control Vehicles; and (d) Tactical Vehicles. All law enforcement‐related and other sensitive or potentially dangerous components, and all law enforcement insignias and identifying markings, must be removed prior to transfer or sale. The transferor/seller‐LEA must inform and receive approval from the Federal agency from which the controlled equipment or funding to purchase the equipment was acquired prior to the finalization of any transfer or sale.

Disposal of Controlled Equipment: LEAs must abide by all applicable Federal, State and local laws, regulations, and programmatic terms when disposing of controlled equipment acquired under this award. Prior to disposal, LEAs must notify the Federal agency that supplied the controlled equipment/funds.

Sanctions for Violations of Controlled Equipment Programs:

  • For Programmatic Violations. For violations of any programmatic term or condition related to controlled equipment (e.g., failure to adopt required protocols, unauthorized transfers), the LEA will be suspended from acquiring additional controlled equipment through Federal programs for a minimum of 60 days. The suspension will continue until the Federal agency determines that the violation has been corrected. This does not prohibit a Federal agency from imposing other applicable sanctions according to applicable program parameters.
  • Statutory Violations. For alleged violations of law, including, where applicable, civil rights laws, the matter will be referred for investigation to the Federal agency’s Office of Civil Rights (OCR) or other appropriate compliance office, or the U.S. Department of Justice. If the investigation results in a finding that the LEA violated a civil rights or other relevant statute, the LEA will be sanctioned according to statute and/or the Federal agency’s governing rules and policies. At a minimum, the LEA will be suspended from acquiring additional controlled equipment through Federal programs for a minimum of 60 days.
Date Created: June 22, 2023