Victims of Crime Act Victim Assistance Grant Program

DEPARTMENT OF JUSTICE

Office of Justice Programs

Office for Victims of Crime

Victims of Crime Act Victim Assistance Grant Program

AGENCY: Department of Justice, Office of Justice Programs, Office for

Victims of Crime.

ACTION: Final program guidelines.

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SUMMARY: The Office for Victims of Crime (OVC), Office of Justice

Programs (OJP), U.S. Department of Justice (DOJ), is publishing Final

Program Guidelines to implement the victim assistance grant program as

authorized by the Victims of Crime Act of 1984, as amended, 42 U.S.C.

10601, et seq. (hereafter referred to as VOCA).

EFFECTIVE DATE: These Final Program Guidelines are effective upon

publication.

FOR FURTHER INFORMATION CONTACT: Carolyn A. Hightower, Director, State

Compensation and Assistance Division, at the above address; telephone

number (202) 307-5947.

SUPPLEMENTARY INFORMATION: VOCA authorizes Federal financial assistance

to States for the purpose of compensating and assisting victims of

crime, providing funds for training and technical assistance, and

assisting victims of Federal crimes. These Program Guidelines provide

information on the administration and implementation of the VOCA victim

assistance grant program as authorized in Section 1404 of VOCA, Public

Law 98-473, as amended, codified at 42 U.S.C. 10603, and contain

information on the following: Summary of the Comments to the Proposed

Program Guidelines; Background; Allocation of VOCA Victim Assistance

Funds; VOCA Victim Assistance Application Process; Program

Requirements; Financial Requirements; Monitoring; and Suspension and

Termination of Funding. The Guidelines are based on the experience

gained during the first seven years of the grant program and are in

accordance with VOCA. These Final Program Guidelines supersede any

Guidelines issued previously by OVC.

The Office of Justice Programs, Office for Victims of Crime, has

determined that this rule is not a ``significant regulatory action''

for purposes of Executive Order 12866 and, accordingly, this rule was

not reviewed by the Office of Management and Budget.

In addition, these Guidelines will not have a significant economic

impact on a substantial number of small entities; therefore, an

analysis of the impact of these rules on such entities is not required

by the Regulatory Flexibility Act, 5 U.S.C. 601, et seq.

The collection of information requirements contained in the Program

Requirements section was submitted to the Office of Management and

Budget (OMB) for review under the Paperwork Reduction Act, 44 U.S.C.

3504(h). Approval to use the specified reports to gather information on

the use and impact of VOCA victim assistance grant funds has been given

by OMB numbers 7390/2A and 7390/4.

Summary of the Comments to the Proposed Program Guidelines

On August 26, 1993, the Office for Victims of Crime (OVC) published

proposed Victims of Crime Act (VOCA) victim assistance Program

Guidelines in the Federal Register, Vol. 58, No. 164, pages 45126

through 45135. These proposed Guidelines were published for the purpose

of soliciting comments on the revised rules of the VOCA victim

assistance grant program from all interested individuals and

organizations. OVC received 48 individual letters from interested

individuals and organizations and had conversations with almost all

State VOCA administrators. In total, over 200 different issues,

questions, recommendations, and comments were received, which often

reflected diverse views from a variety of perspectives.

OVC appreciates the time and effort each respondent invested in

reading and responding to the proposed Guidelines. Although it is not

possible to reply to each respondent on an individual basis, all

comments were carefully considered in developing these Final Program

Guidelines. As a result, OVC rewrote, deleted, and incorporated

additional information to further clarify various sections of the

Guidelines. Explanation of our resolutions and final determinations is

provided in the following paragraphs.

A. Background

Many representatives from sexual assault and domestic violence

programs expressed concern that the Proposed Guidelines would encourage

States to make mandatory the reporting of the crime as a condition of

receiving services. There is no provision in VOCA mandating that crime

victims report crimes to law enforcement agencies as a condition of

receiving VOCA-supported assistance and services. Neither the Proposed

nor these Final Program Guidelines deviates from the original purpose

of VOCA--to support all victims of crime both outside of, and within,

the criminal justice system. (See Federal Register, Vol. 52, No. 62,

April 1, 1987, page 10422.)

Further, some respondents expressed concern that the proposed

Guidelines symbolized a significant shift from a victim service focus

to one which encouraged assistance and support with the criminal

justice system. The sole purpose of the VOCA victim assistance grant

program is to assist States in providing direct services to crime

victims, through local public and nonprofit organizations. Direct

services include crisis intervention, emergency shelter, information

and referral, and group counseling, as well as those services that

assist the crime victim with, and encourage willingness to participate

in, the criminal justice system, such as temporary restraining orders,

emergency child abuse petitions, assistance with property return, court

accompaniment, assisting with victim impact statements, and case

notification. OVC believes that VOCA victim assistance funds have

supported a variety of services in the past and should continue to do

so in the future.

B. Allocation of VOCA Victim Assistance Grant Funds

1. Allocation of Funds to States. Several respondents questioned

the method for allocating grant funds. The allocation of funds to all

State grantees is determined by VOCA. OVC does not have the authority

under the Act, as some respondents suggested, to fund less populated

States at a higher rate, to authorize a separate grant program for

Native Americans, or to extend the length of the grant period to the

year of award plus two years.

2. Allocation of Funds within the States. Some respondents raised

the issue of seed money versus stabilizing victim services through

ongoing programs, an issue which has been raised on numerous occasions.

There is no provision in VOCA or the Program Guidelines to require or

prohibit State grantees from using VOCA as seed money. Each State VOCA

administrator is responsible for developing a funding strategy that

meets the unique needs of crime victims within the State. Historically,

the vast majority of subrecipients are organizations that have

previously received VOCA funds. During FFY 1992, of the approximately

2,400 VOCA subrecipients, only 118 were ``new'' subrecipients.

Fortunately, there has been growth in victim services organizations

throughout the Nation, resulting in crime victims having greater access

to a wider variety of services. This growth has placed additional

burdens upon State administrators to develop funding strategies that

address how to most effectively distribute limited VOCA funds to reach

the greatest numbers of crime victims. As a result, States are

beginning to competitively award VOCA funds versus funding the same

organizations every year.

In keeping with the intent of VOCA, these Final Program Guidelines

will continue to give sole discretion to State administrators for (1)

determining which organizations will receive funds, (2) the amount of

funds to be awarded, (3) the length of time an organization will

receive funding, and (4) the types of services to be provided to meet

the divergent needs of their crime victims.

C. VOCA Victim Assistance Application Process--Application for Training

Funds

Beginning with the FFY 1994 grant period, States may opt to retain

a portion of their VOCA grant to provide State-wide or regional State

training activities that improve the skills of direct service

providers. OVC received a number of comments regarding this new option.

Some respondents believe that the option will be burdensome to the

State VOCA administrators. First, OVC reminds States that this is an

option, not a mandate. Secondly, the reporting requirements contained

in this option are minimal--Subgrant Award Report information must be

submitted and information regarding the training must be reported on

the Performance Report. These reporting criteria apply to VOCA funds

used for this option as well as all other uses of VOCA funds.

Other respondents believe that this option affords State

administrators too much power. State administrators have always

determined how, and for what purpose, VOCA funds will be used. With

this training option, States may conduct the training themselves or

work in coordination with another victim services organization or

coalition. Previously, States who offered State-wide training included

the cost of such training in each VOCA subrecipient's budget, thus

enabling the subrecipient to attend the training. This option

eliminates this extra administrative step. Additionally, this option

permits States to meet the same training needs of many direct service

providers in a very cost-effective way.

Many respondents requested that the match be consistent with other

uses of VOCA. After careful consideration, the Final Program Guidelines

will differ from the Proposed Guidelines in that the match requirement

for this training option will be 20 percent.

D. Program Requirements

1. Priority Crime Victims. The letters from domestic violence and

sexual assault coalitions and programs urged OVC to mandate that States

be required to allocate more than 10 percent of each year's grant to

priority crime victims (victims of child abuse, sexual assault, and

domestic violence). Since the inception of VOCA in FFY 1986 through

1992, States have assessed the need for services and have allocated,

from each year's VOCA grant, an average of 21 percent for victims of

child abuse, 22 percent for victims of sexual assault, and 34 percent

for victims of domestic violence. These Final Guidelines will continue

to give flexibility to State VOCA administrators in allocating limited

funds for victim services.

2. Underserved Crime Victims. VOCA was amended in October 1988 to

require States to make VOCA victim assistance funds available to

previously underserved crime victims, other than victims of child

abuse, sexual assault, and domestic violence. As a result, since 1989,

States have been required to allocate a minimum of 10 percent to

previously underserved crime victims such as victims of assault,

homicide, elder abuse, and DUI/DWI crashes.

This requirement can be met by allocating funds for one type of

crime or by combining allocations for two or more types of crime

victims.

States must identify underserved crime victims by type of crime in

order for OVC to monitor each State's ability to fulfill this

requirement. Identifying crime victims by a particular characteristic

prevents the State and OVC from determining if the underserved

requirement has been met, For example, Hispanic crime victims may be

underserved within a State; however, unless the State identifies the

type of crime, it is impossible to determine whether the funds

allocated should be used to meet a priority or the underserved

requirement.

3. Underserved Requirement--Native American Crime Victims. At the

time the underserved requirement was levied, States were permitted one

exception to designating by type of crime--States could meet the

requirement by allocating funds for services to Native Americans on

reservations. This exception was adopted to encourage State

administrators to make VOCA funds available for services to Native

American crime victims on reservations, where few services were

available.

Because of this exception, State administrators have requested OVC

to interpret the underserved requirement by geographical considerations

(such as rural crime victims) race, religion, sex, or other identifying

characteristics such as non-English speaking crime victims, which was

not the intent of the underserved requirement.

Therefore, beginning with the FFY 1994 VOCA victim assistance

grant, States are required to identify underserved crime victims by

type of crime only. Thus, States serving Native Americans, Hispanic,

geographically isolated, etc. must identify the type of crime to which

these crime victims are subjected.

Some respondents raised concerns that eliminating the Native

American option for meeting the underserved requirement would encourage

States to withdraw funding to Native American victim services

organizations on reservations, if such services cannot help meet the

underserved requirement. OVC strongly encourages State administrators

to include the needs of all crime victims within their State in their

funding strategy, including those crime victims residing in isolated

geographical areas (such as on reservations), and to award VOCA funds

appropriately.

Some State administrators expressed concern that identifying by

type of crime, instead of Native Americans, would prevent them from

meeting the 10 percent requirement. In an attempt to address this

issue, the Final Program Guidelines permit States to allocate less than

10 percent to underserved crime victims, if they can document that a

smaller percentage of funds is warranted for underserved crime victims,

as described in the Final Program Guidelines.

Since 1989, OVC has undertaken an extensive effort to foster the

growth of services to Native Americans on reservations and has

dedicated substantial financial resources for services to crime victims

through the VOCA Assistance to Victims of Federal Crime in Indian

Country Discretionary Grant Program. The purpose of this discretionary

program is to seed organizations offering services to crime victims on

reservations with the expectation that these organizations could apply

for and receive State VOCA victim assistance grant funds. OVC considers

this effort successful in that, during FFY 1992, States funded 39

Native American organizations on reservations. Through this

discretionary grant program, OVC will continue efforts to support

services to Native American crime victims on reservations.

4. Underserved Requirement--Vulnerable Adults. Since 1989, States

have been permitted to identify elder abuse as a type of crime. The

Proposed Program Guidelines broadened the crime of elder abuse to

include all vulnerable adults, regardless of age. However, comments

from respondents indicated that the Proposed Guidelines were not clear.

Therefore, these Final Program Guidelines have been revised to identify

abuse of vulnerable adults as a type of crime, which may be used by

States to meet the underserved requirement.

For the purpose of the VOCA victim assistance grant program, abuse

of vulnerable adults occurs when an adult, who does not have the mental

and/or physical capacity to manage his/her daily needs, is subjected to

either physical or emotional abuse by a guardian or caretaker. This

description parallels that of child abuse. This description differs

significantly from other types of crime to which individuals, who are

able to maintain an independent lifestyle, are subjected such as

assault, robbery, fraud, etc.

5. 10 Percent Requirements for Priority and Underserved Crime

Victims. Beginning with the FFY 1994 grant period, States will be given

the latitude to assess the needs of crime victims within their State

and allocate less than 10 percent to a specific category of priority or

underserved crime victims, so long as they can demonstrate that (1) a

specific category of crime victims is receiving sufficient amounts of

financial assistance from the State or other funding sources, (2) a

smaller amount of financial assistance, or no assistance, is needed

from the VOCA victim assistance grant program, and (3) crime rates for

that category of crime victims have diminished, warranting a lesser

amount of VOCA funds to be allocated. If states cannot satisfy these

conditions, they then must meet the 10% requirement for priority and

underserved crime victims. This flexibility is offered to States who

may be experiencing an influx of funds designated for a specific

categories of crime victim during a grant period or who may be

fortunate in that some types of crimes are very low in their State.

6. Verification of Actual Expenditures for Priority and Underserved

Crime Victims. The Proposed Program Guidelines required States to

verify for OJP representatives that a minimum of 10 percent of each

year's grant is expended for services to each priority and underserved

category of crime victims. This requirement was included in the

Proposed Guidelines based upon a General Accounting Office

recommendation that all recipients of VOCA victim assistance grant

funds verify actual expenditures. OVC received vigorous opposition to

this requirement from almost all State VOCA administrators, because of

the unreasonable burden upon all recipients of VOCA funds.

Therefore, this requirement has been removed from the Final Program

Guidelines.

7. Subrecipient Eligibility Requirement--Use of Volunteers. VOCA

requires that ``eligible crime victim assistance programs'' use

volunteers in providing direct services to crime victims, unless, and

to the extent, that the chief executive determines that a compelling

reason exists to waive the requirement. In response to requests to

delete this requirement, please note that OVC does not have the

statutory authority to change this legislative requirement (42 U.S.C.

1404(b)(1)(c)). OVC encourages State administrators to carefully

consider waivers of this requirement.

Some respondents believe that the use of volunteers prevents victim

services from being looked upon as a profession. OVC believes that

volunteers in many organizations are the foundation of the victim

services program. Perhaps the issue of professionalism relates more to

proper training and support of both paid and volunteer staff, as

opposed to whether or not the individual is paid by the agency. For

example, many subrecipient organizations have a cadre of professionally

trained volunteers.

Other respondents requested OVC to specify the number of hours and

the value of a volunteer's time in relationship to total personnel

within a subrecipient organization. State VOCA administrators have

total discretion in personnel management decisions; OVC is not

authorized to regulate this matter.

8. Subrecipient Eligibility Requirement--Coordination Activities

versus Coordination of Services on Behalf of Individual Crime Victims.

Many respondents questioned sections of the Proposed Guidelines

concerning coordination of activities. Coordinating public and private

efforts on behalf of all crime victims within a community differs

significantly from ensuring that an individual crime victim receives

coordinated services within the community. The former is an eligibility

criteria for any organization to receive VOCA funds, and as such,

cannot be supported with VOCA funds. The latter is an allowable VOCA-

supported activity.

VOCA identifies an ``eligible crime victim assistance program'' as

an organization that ``* * *promotes within the community served

coordinated public and private efforts to aid crime victims''. See

section 1404.(b)(1)(D). It is expected that organizations conduct a

number of coordination activities on behalf of crime victims as part of

their routine activities to be eligible to receive VOCA funds, such as

(1) being known to the general public and to community organizations

serving crime victims; (2) having established working relationships

with other service organizations, such as interagency agreements for

appropriate referral of crime victims for other services; (3) serving

on task forces, commissions, multidisciplinary teams, and/or other

working groups on behalf of crime victims, in general; (4) being known

as an advocate for crime victims within the community; (5) having

developed policies, procedures, and protocols on offering victim

services; (6) having developed methods to assess the needs of crime

victims within their community; (7) having developed methods of

assisting and supporting crime victims; and (8) having developed their

own strategies for serving crime victims and training individuals to

provide direct services. Organizations that do not perform these

activities would have difficulty meeting the statutory requirements of

an eligible crime victim assistance program.

VOCA funds are designated exclusively to provide direct services to

crime victims. Therefore, they cannot, and should not, be used to help

an organization meet eligibility criteria as defined by VOCA.

9. Subrecipient Eligibility Requirements--Contracted Services. Many

respondents expressed concern about the use of VOCA funds to support

contracted services. The intent of VOCA has always been to support

services to crime victims through the staff of a subrecipient

organization. It was not intended that VOCA subrecipients serve as

contractors of services.

In previous years, the Program Guidelines prohibited VOCA funds

from supporting professional services. The rationale behind this

prohibition was that VOCA could not support administrative, indirect,

and other organizational costs that were included in a loaded hourly

rate, when these costs were strictly prohibited by VOCA. However, VOCA

subrecipients have always been, and will continue to be, permitted to

augment their staff by awarding a contract (for the equivalent of an

individual's salary and fringe) to an individual or organization whose

hourly or yearly rate contains no administrative and/or other VOCA-

unallowable costs.

Although it was not the intent that VOCA subrecipients serve as

contractors of services, OVC recognizes that, at times, it may be

necessary for VOCA subrecipients to contract for specialized services.

For example, if there is an infrequent need for a victim service, it

may not be cost-effective for the VOCA subrecipient to employ an

individual with the skills to perform the needed service, either on a

part- or full-time basis. At other times, there may be emergency

situations requiring victim services that are beyond the scope of the

VOCA subrecipient organization. In situations such as these, VOCA

subrecipients may contract for VOCA-allowable services, at the

discretion of the State grantee and within the parameters of the OJP

contracting rules and regulations and the OJP ``Financial and

Administrative Guide for Grants'' (M7100.1D), effective edition. VOCA

funds can only support limited use of contract services. Subrecipients

are prohibited from using a majority or their entire award for

contracted services that have administrative, overhead, and other

indirect costs included in the hourly or daily rate. However, all

contract documentation is subject to review by OVC and the Office of

the Comptroller at both the State and the subrecipient level.

States who permit VOCA funds to be used for contracted services are

encouraged to closely scrutinize each request to use VOCA funds to

purchase services and consider the following: (1) How the need for, and

frequency of, the contracted services was determined; (2) the total

amount of contracted services requested within the grant period; (3)

how reasonable is the hourly fee; (4) does the hourly fee contain any

administrative costs; (5) what other options for service provision were

available; (6) do the subrecipient's contracting procedures strictly

adhere to OJP contract guidelines; and (7) the proportion of the

contracted services in relation to other VOCA supported activities;

etc.

When contracted services are a necessity, they are expected to

comprise a very small percentage of a subrecipient's VOCA award. Thus,

subrecipients cannot use their entire VOCA award or a majority of their

award to purchase services. To do so raises questions such as: (1) How

did the VOCA subrecipient meet the VOCA eligibility criteria of

providing crime victim services, if they are contracting for a majority

or all of the services; (2) if the organization providing contracted

services is not eligible to receive funding, is the contract mechanism

an attempt to circumvent the eligibility criteria established by VOCA;

(3) if the organization providing contracted services is an eligible

crime victim service provider, why doesn't that organization receive

VOCA funds directly; (4) if services are continually purchased, what

incentive exists for the organization to hire quality staff to provide

the service within the organization; and (5) with VOCA funds being so

limited and the needs of crime victims so great, how can a loaded rate

that includes administrative and other indirect costs be justified?

10. Eligible Subrecipient Organizations--Program Income. A number

of respondents questioned OVC's prohibiting VOCA-funded projects from

generating program income. OVC has discovered during site visits that a

growing number of organizations are generating program income from

VOCA-funded projects and that few States and subrecipients understand

the financial and monitoring burden they assume when program income is

generated. OVC has four major concerns regarding Federal funds

generating income for subrecipient organizations.

First, the rates being charged to crime victims are loaded hourly

rates that include administrative and many types of indirect costs

prohibited with VOCA grant funds. Program income that is received by

the subrecipient is used to off-set unallowable VOCA costs. Further,

VOCA funds were never intended to be a revenue-generating source for

the subrecipient.

Second, few States and subrecipients have the capability to track

program income appropriately and in accordance with Federal financial

accounting requirements. All program income generated from a VOCA-

funded project is restricted to the same uses as the VOCA grant, which

presents many problems for the subrecipient and the State, particularly

when VOCA funds only support a portion of the counselor's time.

Third, any and all program income, no matter how large or small,

must be tracked and accounted for, both at the subrecipient and State

grantee level. Few subrecipients have procedures for reporting the

income to the State so the State can monitor the appropriate uses of

the VOCA-generated income.

Fourth, the purpose of the VOCA victim assistance grant program is

to provide services to all crime victims without concern for their

financial resources or availability of insurance or other third-party

payors. Crime victims suffer tremendous emotional, physical, and

financial losses; and it was not the intent of VOCA to exacerbate the

injustice by asking the crime victim to pay--again.

OVC is mindful that some subrecipients use program income, in part,

to offer additional services to crime victims, thus expanding available

services beyond the VOCA-funded position. Therefore, these Final

Program Guidelines will permit States and subrecipients to generate

income from VOCA-funded staff time under the following conditions: (1)

Only with prior approval of financial and monitoring procedures by the

Office of the Comptroller; and (2) with the stipulation that no crime

victim is ever denied services for lack of insurance or personal

resources to cover the cost of the service.

E. Services, Activities, and Costs

1. Allowable Direct Services, Activities, and Costs--Liability

Insurance. Several respondents questioned the use of VOCA funds to pay

for liability insurance for direct-service providers who are subject to

civil action. These Program Guidelines permit State administrators the

option of including this type of insurance as an allowable cost, when

it is part of an organization's benefit package for employees. OVC

believes that to force direct-service providers to pay their own

liability insurance, when many direct service providers receive low

salaries, could have serious consequences on the quality of services

provided to crime victims. NOTE: This section does not include the

indirect organizational costs of building liability insurance, etc.,

which are not VOCA allowable costs.

2. Other Related Allowable Services, Activities, and Costs--

Supervision. Several respondents requested that OVC reconsider its

ruling on supervision of direct service providers as an allowable

direct service. VOCA funds are not intended to defray the costs of

management and administrative salaries within an organization. This is

reflected in the ``no administrative costs provision'' of VOCA. The

primary purpose of VOCA is to offer a supplement to those organizations

that are able and willing to absorb the costs of supervising additional

VOCA-funded staff. However, OVC realizes that the quality and quantity

of direct services can be enhanced by funding a volunteer coordinator's

salary or the salary of an individual who supervises interns.

Therefore, these Final Program Guidelines will continue to give State

grantees the latitude of determining under which circumstances VOCA

funds should support supervisory activities.

Background

In 1984, VOCA established the Crime Victims Fund (Fund) in the U.S.

Treasury and authorized the Fund to receive deposits from fines and

penalties levied on criminals convicted of Federal crimes. This Fund

provides the source of funding for carrying out all of the activities

authorized by VOCA.

OVC serves as the Federal focal point for all crime victim issues,

which includes ensuring that the criminal justice system addresses the

legitimate rights and interests of crime victims.

OVC's program activities support this role. These Program

Guidelines address the specific program and financial requirements of

the VOCA crime victim assistance grant program.

OVC makes annual VOCA crime victim assistance grants from the Fund

to States. The primary purposes of these grants are to support the

provision of direct services to innocent victims of violent crime

throughout the Nation, to assist victims of crime as soon as possible

in order to reduce the severity of the psychological and emotional

consequences of the victimization, to demonstrate on-going support for

the victim in coping with the impact of the victimization.

VOCA gives latitude to States to determine how VOCA victim

assistance grant funds will best be used within each State. However,

each State grantee must abide by the minimal statutory requirements

outlined in VOCA and these Program Guidelines.

Allocation of VOCA Victim Assistance Funds

A. Distribution of the Crime Victims Fund

OVC administers the deposits made into the Fund for activities, as

authorized in VOCA. The amount of funds available for distribution each

year is dependent upon the total deposits into the Fund during the

previous Federal Fiscal Year.

The Federal Courts Administration Act of 1992 removed the cap on

the Fund, beginning with Federal Fiscal Year (FFY) 1993 deposits. This

Act also eliminated the need for periodic reauthorization of VOCA and

the Fund by Congress. Thus, under current legislation, the Fund will

receive deposits indefinitely.

Deposits into the Fund are distributed as follows:

1. The first $6,200,000 deposited in the Fund in each of the fiscal

years 1992 through 1995 and the first $3,000,000 in each fiscal year

thereafter shall be available to the Federal judicial branch for

administrative costs to carry out the functions of the judicial branch

under Sections 3611 of Title 18, U.S. Code. [See Section 1402 (d)(1).]

2. Of the next $100,000,000 deposited in the Fund in a particular

fiscal year [Section 1402 (d)(2)],

a. 49.5 percent shall be available for victim compensation grants;

b. 45 percent shall be available for victim assistance grants;

c. 1 percent shall be available for training and technical

assistance services to eligible crime victim assistance programs and

for the financial support of services to victims of Federal crime by

eligible crime victim assistance programs; and

d. 4.5 percent shall be available for child abuse prevention and

treatment grants.

3. The next $5,500,000 deposited in the Fund in a particular fiscal

year shall be available for child abuse prevention and treatment grants

[Section 1402 (d)(3)],

4. The next $4,500,000 deposited in the Fund in a particular fiscal

year shall be available for victim assistance grants [Section 1402

(d)(4)],

5. Any deposits in the Fund in a particular fiscal year that remain

after the funds are distributed for the above purposes shall be

available as follows [Section 1402 (d)(4)]:

a. 47.5 percent shall be available for victim compensation grants;

b. 47.5 percent shall be available for victim assistance grants;

and

c. 5 percent shall be available for training and technical

assistance services to eligible crime victim assistance programs and

for the financial support of services to victims of Federal crime by

eligible crime victim assistance programs.

B. Availability of Funds

All States, the District of Columbia, the Commonwealth of Puerto

Rico, the U.S. Virgin Islands, Guam, American Samoa, Northern Mariana

Islands, and Palau (hereinafter referred to as ``States'') are eligible

to apply for, and receive, VOCA victim assistance grants. [See Section

1404(d)(1) of VOCA, codified at 42 U.S.C. 10603(d)(1).]

Funds are available for expenditure during the FFY of award and in

the next FFY (the grant period). The FFY begins on October 1 and ends

on September 30 of the following year. States may incur expenses

retroactively to the beginning of each year's grant, October 1, even

though the VOCA grant may not be awarded until later in the grant

period. Under VOCA, funds that are not obligated by the end of the

grant period must be returned to the General Fund of the U.S. Treasury.

Therefore, States are encouraged to closely monitor the expenditure of

VOCA funds at the subrecipient level and to reallocate unexpended funds

prior to the end of the grant period, when possible.

C. Allocation of Funds to States

From the Fund deposits available for victim assistance grants, each

State receives a base amount of $200,000, except Palau. The remaining

Fund deposits are distributed to each State, based upon the State's

population in relation to all other States, as determined by current

census data.

D. Allocation of Funds Within the States

The Governor of each State designates the State agency that will

administer the VOCA victim assistance grant program. That designated

State agency establishes policies and procedures regarding the

implementation and administration of the VOCA victim assistance grant

program. These policies and procedures must meet the minimum

requirements of VOCA and the Program Guidelines but can be more

restrictive.

VOCA victim assistance funds granted to the States are to be used

by eligible public and private nonprofit organizations to provide

direct services to crime victims. States have sole discretion for

determining which organizations will receive funds, and in what

amounts, as long as the recipients meet the requirements of VOCA and

the Program Guidelines.

States are encouraged to develop a VOCA program funding strategy,

which should consider the following: the range of victim services

throughout the State and within communities; the unmet needs of crime

victims; the demographic profile of crime victims; the coordinated,

cooperative response of community organizations in organizing services

for crime victims; the availability of services to crime victims

throughout the criminal justice process; and the extent to which other

sources of funding are available for services.

States are encouraged to expand into new service areas as needs

change. Many States use VOCA funds to stabilize victim services by

continuously funding selected organizations. Some States end funding to

organizations after several years in order to fund new organizations.

Other States limit the number of years an organization may receive VOCA

funds. These practices are within the State's discretion and are

supported by OVC, when they serve the best interests of crime victims

within the State.

States may award VOCA funds to organizations that are physically

located in an adjacent State. States should use this adjacent-State

approach when it is the only efficient and cost effective mechanism

available for providing services to victims who reside in the awarding

State. When adjacent-State awards are made, the amount of the award

must be proportional to the number of victims to be served by the

adjacent-State organization. OVC recommends that States enter into an

interstate agreement with the adjacent State to address monitoring of

the VOCA subrecipient, auditing Federal funds, managing noncompliance

issues, reporting requirements, etc.

Note: States are requested to notify OVC of each VOCA award made

to an organization in another State.

States may use a ``conduit'' organization to assist in selecting

qualified subrecipients or to reduce the State's administrative burden

in implementing the grant program. However, neither the ``conduit''

organization nor the State grantee may use any portion of the VOCA

victim assistance grant for the administrative, coordination, and/or

oversight activities. Further, the use of a ``conduit'' organization

does not relieve the State from ultimate programmatic and financial

responsibilities.

VOCA Victim Assistance Application Process

A. State Grant Application Process

Each year, OVC issues to each designated State agency a Program

Instruction and Application Kit. The Kit contains the necessary forms

and detailed information required to make application for VOCA grant

funds, including the Application for Federal Assistance, Standard Form

424. The amount for which each State may apply is included in the

Application Kit. At the time of application, States are not required to

provide specific information on the subrecipients that will receive

VOCA victim assistance funds.

In addition to the Application for Federal Assistance, States shall

specify their arrangements for complying with the provisions of

Circular A-128 (Audits of State or Local Government) and shall submit

Certifications Regarding Lobbying; Debarment, Suspension, and Other

Responsibility Matters; Drug-Free Workplace Requirements; Civil Rights

Compliance; and/or any other certifications required by OJP and OVC.

B. Application for Training Funds

The quality of victim services is directly related to appropriately

trained direct service providers; therefore, skills training for direct

service providers has always been an allowable cost. During previous

grant periods, States awarded VOCA funds to individual subrecipient

organizations to support various skills development and training

activities for individual service providers. Beginning with the FFY

1994 VOCA victim assistance grant program, State grantees have the

option of retaining a portion of their VOCA victim assistance grant for

conducting State-wide and/or regional State training(s) of victim

services staff.

This option is extended for the following reasons: appropriate

training opportunities are not always available within the State

boundaries; direct service providers often do not have resources to

access training in other States; access to quality training by all

victim services personnel could help expand quality services to crime

victims throughout the State; and State-wide training is often more

cost-effective than awarding VOCA funds to subrecipients to be trained

in other States.

To exercise this training option, a State must submit one or more

training proposals to OVC for approval, either at the time of

application for the annual VOCA victim assistance grant or at least

three months prior to the training events. The training activity must

occur within the grant period, and all training costs must be obligated

prior to the end of the grant period.

Note: VOCA grant funds cannot be used to supplant the cost of

existing State administrative staff or related State training

efforts, i.e., Statewide conferences, coalition conferences, etc.

The maximum amount permitted for this purpose is $5,000 or 1

percent of the State's grant, whichever is greater. The VOCA funds will

be matched at 20 percent, cash or in-kind, with the source of the match

described.

Note: States who choose to sponsor State-wide or regional

training(s) are not precluded from awarding VOCA funds to

subrecipients for other types of staff development.

Although specific criteria for applying for training funds will be

given in each year's Application Kit, the following general guidance is

provided, as follows:

1. The training proposal must identify the service provider needs

and address a plan for meeting these needs through the training

activity.

2. The training proposal must describe how the VOCA funds will be

used to improve the skills of paid and volunteer direct service staff.

3. The training offered must consist of skills development

activities for staff. Proposals submitted for seminars and conferences

that only focus on sharing ideas, providing general information, and

networking will not be approved. (An example of skills development is

training focused on how to respond to a victim in crisis. This type

differs significantly from being apprised of legislative updates of

recent research findings regarding victims of crime.)

4. The training proposal will describe the goals of the training

event, outline the curriculum, and identify costs associated with the

purchase of trainers, space, conference coordination, curriculum

development, materials, etc.

5. If registration fees will be charged to non-VOCA supported staff

and volunteers, the proposal must identify how the program income will

be used to defray the cost of the project.

Note: Program income generated from staff time is different from

billing for services.

Program Requirements

A. State Eligibility Requirements

VOCA and the Program Guidelines establish minimal eligibility

requirements. When applying for the VOCA victim assistance grant,

States are required to give assurances that the following conditions or

requirements will be met:

1. States shall certify that only eligible organizations will

receive VOCA funds and that VOCA crime victim assistance funds will be

used only for direct services to victims of crime. See Section 1404(b),

codified at 42 U.S.C. 10603(b). Eligible organizations are those

organizations that not only offer direct services to crime victims but

also serve as a voice on behalf of crime victims in their community.

2. States shall certify that VOCA crime victim assistance grant

funds will not be used to supplant State and local funds that would

otherwise be available for crime victim services. See Section

1404(a)(2)(C) of VOCA, codified at 10603(a)(2)(C). VOCA victim

assistance grant funds are intended to enhance or expand services, not

substitute for other sources of funding.

Note: This supplantation clause applies to State and local

public agencies only.

3. States shall certify that a minimum of 10 percent of each FFY's

grant (30 percent total) will be allocated to each of the following

categories of crime victims: sexual assault, domestic violence, and

child abuse.

Note: This is a State requirement and does not mean that each

VOCA subrecipient must meet this requirement.

These categories of crime victims are identified as ``priority''

victims by VOCA, because the problems experienced by these victims are

often exacerbated by societal attitudes or vulnerabilities. Although

``priority'' victims are given special consideration in allocating VOCA

funds, this designation does not imply that the needs and suffering of

``priority'' victims are greater than other crime victims.

Each State must meet this requirement, unless it can demonstrate to

OVC that (1) a ``priority'' crime victim is currently receiving

significant amounts of financial assistance from the State or other

funding sources; (2) a smaller amount of financial assistance, or no

assistance, is needed from the VOCA victim assistance grant program;

and (3) crime rates for a ``priority'' crime victim has diminished.

4. States shall certify that an additional 10 percent of each VOCA

grant will be allocated to victims of violent crime who were

``previously underserved'' with VOCA funds, other than the ``priority''

victims. Underserved victims include, but are not limited to, survivors

of homicide victims, victims of assault, survivors of DUI/DWI crashes,

etc. To meet the ``previously underserved'' requirement, States must

identify underserved crime victims by type of crime.

Note: Each State has latitude for determining the method for

identifying ``previously underserved'' crime victims, which may

include public hearings, needs assessments, task forces, meetings

with State-wide victim services agencies, etc.

Each State must meet this requirement, unless it can justify to OVC

that (1) services to victims of violent crime, other than the

``priority'' victims, are receiving significant amounts of financial

assistance from the State or other funding sources; (2) a smaller

amount of financial assistance, or no assistance, is needed from the

VOCA victim assistance grant program; and (3) crime rates for victims

of violent crime, other than ``priority'' victims, has diminished.

States may fund services to Native Americans, elderly, Hispanic, or

any other crime victims with specific demographic profiles and use

those services to meet the ``previously underserved'' requirement.

However, States must identify the type of violent crime to which the

victims are subjected, such as assault, homicide, DUI/DWI, kidnapping,

robbery, elder abuse, abuse of vulnerable adults, etc.

Note: For the purpose of the VOCA victim assistance grant

program, abuse of vulnerable adults occurs when an adult, who does

not have the mental and/or physical capacity to manage their daily

needs, is subjected to either physical or emotional abuse by a

guardian or caretaker.

5. States shall certify that appropriate accounting, auditing, and

monitoring procedures will be employed at the State and subrecipient

levels and that records are maintained to assure fiscal control, proper

management, and efficient disbursement of the VOCA victim assistance

funds, as per the M7100.1D, effective edition.

6. States shall certify compliance with all Federal laws and

regulations applicable to Federal assistance programs and with the

provisions of Title 28 Code of Federal Requirements (CFR) applicable to

grants.

7. States shall certify its compliance, and its subrecipients'

compliance, with the applicable provisions of VOCA and the Final

Program Guidelines.

8. States shall submit required programmatic and financial reports

on the use of the VOCA victim assistance funds by the deadlines

prescribed by OVC. (See Program Requirements and Financial Requirements

for reporting requirements and timelines.)

9. States shall ensure that no person shall, on the grounds of

race, color, religion, national origin, handicap, or sex, be excluded

from participation in, denied the benefits of, subjected to

discrimination under, or denied employment in connection with, any

undertaking funded in whole or in part with VOCA victim assistance

grant funds.

10. In the event a Federal or State court or administrative agency

makes a finding of discrimination on the grounds of race, religion,

national origin, sex, or disability against a recipient of VOCA victim

assistance funds, the State shall certify that a copy of that finding

will be forwarded to the Office of Civil Rights (OCR) for OJP.

11. States shall immediately notify OVC in the event of a finding

of fraud, waste, and/or abuse of VOCA funds and continue to apprise OVC

of the status of on-going investigations.

12. States are encouraged to coordinate their activities with the

State victim compensation agency. Coordination could include activities

such as meetings; training activities for direct service providers on

the general parameters of the State compensation agency's program

(e.g., eligibility criteria, completion of claims, and time frames for

receiving compensation); providing information on VOCA victim

assistance services within the State; developing joint guidance, where

applicable, on third-party payments to VOCA assistance organizations;

etc.

13. States are encouraged to coordinate their activities with the

Victim/Witness Coordinator staff within U.S. Attorney Offices to ensure

that the Coordinators are aware of available resources for victims of

Federal crime. Such coordination could include providing Coordinators

with a list of VOCA-funded organizations, co-sponsoring training

activities, inviting Coordinators to serve on review panels that select

the organizations to receive VOCA funds, etc.

B. Subrecipient Organization Eligibility Requirements

VOCA establishes minimal eligibility criteria that must be met by

all organizations that receive VOCA funds. These funds are to be

awarded to subrecipients for the purpose of providing direct services

to victims through their staff. Each subrecipient organization shall:

1. Be a public or nonprofit organization that provides direct

services to crime victims.

2. Have a record of providing effective direct services to crime

victims for a minimum of one year, have the support and approval of its

services by the community, have a history of providing direct services

in a cost-effective manner, and have financial support from non-Federal

sources. An organization meeting these criteria is considered an

``existing'' organization for match purposes.

States may choose to fund organizations which have been providing

direct victim services for less than one year. However, these

organizations must have financial support from non-Federal sources and

meet the match requirement for ``new'' victim services organizations.

3. Be able to meet program match requirements. Match must be

committed for each VOCA-funded project, must be derived from the other

resources within the organization, and cannot be derived from other

Federal funds and/or sources, except as provided in Chapter 2,

paragraph 14, of the M7100.1D. All funds designated as match are

restricted to the same uses as the VOCA victim assistance funds and

must be expended within the grant period. Thus, only services and

activities that are VOCA-allowable qualify as match. Because of this

requirement, VOCA subrecipients must maintain records which clearly

show the source, the amount, and the period during which the match was

expended. Organizations are not encouraged to commit excessive amounts

of match to the VOCA-funded project.

Match requirements are as follows:

a. For an ``existing'' victim services organization, the match is

20 percent, cash or in-kind, of the total VOCA project (VOCA grant plus

match).

b. For a ``new'' victim services organization the match is 35

percent, cash or in-kind, of the total VOCA project (VOCA grant plus

match).

c. The match for VOCA subrecipients that are Native American

tribes/organizations located on reservations, whether new or existing,

is 5 percent, cash or in-kind, of the total VOCA project (VOCA grant

plus match.) A Native American tribe/organization is described as any

tribe, band, nation, or other organized group or community, which is

recognized as eligible for the special programs and services provided

by the United States to Native Americans because of their status as

Native Americans. A reservation is defined as a tract of land set aside

for use of, and occupancy by, Native Americans.

d. Subrecipients located in the U.S. Virgin Islands, and all other

territories and possessions of the United States excluding Puerto Rico,

whether considered new or existing, are not required to match the VOCA

funds. See 48 U.S. Code, 1469a(d).

4. Use volunteers unless the State determines there is a compelling

reason to waive this requirement. A ``compelling reason'' may be a

statutory or contractual provision concerning liability or

confidentiality of counselor/victim information, which bars using

volunteers for certain positions, or the inability to recruit and

maintain volunteers after a sustained and aggressive effort.

5. Promote, within the community served, a coordinated approach for

serving crime victims, thus avoiding duplication of effort.

Coordination may include, but is not limited to, serving on State,

Federal, local, or Native American task forces, commissions and/or

working groups; developing written interagency agreements; etc.--all of

which contribute to better and more comprehensive services to crime

victims.

Note: The examples of coordination efforts, as mentioned above,

qualify an organization to receive VOCA victim assistance funds, but

are not activities that can be supported with VOCA funds.

6. Assist crime victims with crime victim compensation benefits.

Such assistance may include identifying and notifying crime victims of

the availability of compensation, assisting them with application forms

and procedures, obtaining necessary documentation, and/or checking on

claim status.

7. Comply with the applicable provisions of VOCA, the Program

Guidelines, and the requirements of M7100.1D, which includes

maintaining appropriate programmatic and financial records that fully

disclose the amount and disposition of VOCA funds received. This

includes financial documentation for disbursements; daily time and

attendance records specifying time devoted to VOCA allowable victim

services; client files; the portion of the project supplied by other

sources of revenue; job descriptions; contracts for services; and other

records which facilitate an effective audit.

8. Maintain statutorily required civil rights statistics on victims

served by race or national origin, sex, age, and disability, within the

timetable established by the State grantee; and permit reasonable

access to its books, documents, papers, and records to determine

whether the recipient is complying with applicable civil rights laws.

Note: This requirement is waived when providing a service, such

as telephone counseling, where soliciting the information is

inappropriate or offensive to the crime victim.

9. Submit statistical and programmatic information on the use of

and impact of VOCA funds, as requested and within the timetable

established by the State grantee.

10. Provide services to victims of Federal crimes on the same basis

as victims of State crimes. Federal crimes are prosecuted by U.S.

Attorney Offices.

11. Provide a variety of services and assistance to crime victims,

beyond assistance with compensation and information/referral services.

12. Abide by any additional eligibility or service criteria as

established by the State grantee.

13. Provide services, at no charge, through the VOCA-funded

project. Any deviation from this provision requires prior approval by

the State and OVC.

14. Maintain confidentiality of client-counselor information. VOCA

subrecipients cannot use or reveal any client information without the

consent of the client.

C. Eligible Subrecipient Organizations

Nonprofit and public organizations that provide direct services to

crime victims are eligible to receive VOCA funds. These include, but

are not limited to, rape crisis centers, domestic violence shelters,

child abuse treatment facilities, centers for missing children,

prosecutor offices, courts, probation and parole authorities,

hospitals, public housing authorities, and religious-affiliated

organizations.

Although nonprofit and public organizations may be eligible to

receive VOCA funding, there are limitations on the use of VOCA victim

assistance grant funds by these organizations. For example, VOCA funds

cannot be used for an activity mandated by State legislation for which

State or local funds are not available. However, VOCA funds can extend

or enhance the legislatively mandated activities.

Note: In situations where a service is mandated by law but funds

have not been appropriated, State grantees are cautioned to closely

review using VOCA funds to support such activities. States may use

VOCA funds to support an unfunded legislative mandate for a limited

time, if the State believes that such support is essential to

meeting the needs of crime victims.

In addition to victim services organizations, whose sole mission is

to serve crime victims, many other public and nonprofit organizations

that offer services to crime victims may be eligible to receive VOCA

victim assistance grant funds. These organizations include, but are not

limited to, the following:

1. Criminal justice agencies such as law enforcement organizations,

prosecutor offices, courts, probation and parole authorities. However,

these organizations may only use VOCA funds for services that exceed

the boundaries of their mandate. For example, a police department

cannot use VOCA victim assistance funds to hire law enforcement

personnel for activities that a sworn law enforcement officer would be

expected to provide in the normal course of his/her duties, such as

crime scene intervention, questioning of victims and witnesses,

investigation of the crime, and follow-on activities.

2. State and local public agencies charged with, for example,

providing child and adult protective services or mental health

services. Because rules and laws governing each jurisdiction differ,

OVC encourages each State to closely review requests for VOCA funding

by social services and public mental health organizations to ensure

supplantation does not occur.

3. Religious-affiliated organizations. Religious organizations that

receive VOCA funds must ensure that (1) services are offered to all

crime victims without regard to religious views; (2) the receipt of

services is not contingent upon participation in a religious activity

or event; and (3) receipt of the funds does not create an ``excessive

entanglement'' of church and State.

4. Other public and nonprofit organizations whose primary mission

or purpose is not providing services to crime victims but who have a

component of the organization that provides services to crime victims.

Such organizations may include state grantees, mental health centers,

hospitals, legal services agencies, coalitions, etc. These

organizations must meet the same eligibility criteria as all other

subrecipients.

5. State crime victim compensation agencies. Compensation programs

that provide direct services such as group treatment, therapy and

counseling, court accompaniment, shelter, etc. may receive VOCA funds.

These services extend far beyond information/referral counseling

regarding compensation benefits, and assistance with filing for

compensation benefits.

Note: Because State compensation programs do not generally

provide the type of direct services envisioned by the VOCA victim

assistance grant program and the Program Guidelines, State grantees

are encouraged to discuss with OVC any proposed award of VOCA victim

assistance funds to a compensation program prior to making a final

funding decision.

6. Hospitals and emergency medical facilities. Such organizations

must offer counseling, support groups, and other types of victim

services. Additionally, States may award VOCA funds to a medical

facility for the purpose of performing forensic examinations on sexual

assault victims if (1) the examination meets the standards established

by the State, local prosecutor's office, or State-wide sexual assault

coalition; and (2) appropriate crisis counseling and/or other types of

victim services are offered to the victim in conjunction with the

examination.

D. Ineligible Recipients of VOCA Funds

Some public and nonprofit organizations that offer services to

crime victims are not eligible to receive State VOCA victim assistance

funding. These organizations include, but are not limited to, the

following:

1. Federal agencies, including U.S. Attorneys Offices, are not

eligible to receive VOCA funds. Receipt of VOCA funds would constitute

an augmentation of the Federal budget with money intended for State

agencies. However, private nonprofit organizations that operate on

Federal land may be eligible subrecipients of VOCA victim assistance

grant funds.

2. In-patient treatment facilities that are designed to provide

treatment to individuals with drug, alcohol, and/or mental health-

related conditions are not eligible to receive VOCA victim assistance

grant funds. In-patient facilities are not open and accessible to the

general public and, therefore, do not meet the criteria for a victim

services organization as intended by VOCA and these Program Guidelines.

E. Services, Activities, and Costs

Throughout the legislative history of VOCA, Congress has provided

guidance on the types of direct services intended by this Act. These

include those services which respond to the immediate needs of crime

victims, so that the severity of the psychological trauma is reduced;

assist the victim in participating in the criminal justice process; and

help restore the victim's sense of dignity, self esteem, and coping

mechanisms. Likewise, costs that are necessary and essential to

providing these direct services may be supported with VOCA victim

assistance grant funds.

1. Allowable Direct Services, Activities, and Costs. The following

is a non-exhaustive listing of services, activities, and costs that are

considered to be eligible for support with VOCA victim assistance grant

funds within a subrecipient's organization:

a. Those services which immediately respond to the emotional and

physical needs (excluding medical care) of crime victims such as crisis

intervention; accompaniment to hospitals for medical examinations;

hotline counseling; emergency food, clothing, transportation, and

shelter; emergency legal assistance such as filing restraining orders;

and other emergency services that are intended to restore the victims'

sense of dignity, self esteem, and coping mechanisms.

b. Those services and activities that assist the primary and

secondary victims of crime in understanding the dynamics of

victimization and in stabilizing their lives after a victimization such

as counseling, group treatment, and therapy.

c. Services that are directed to the needs of the victim within the

criminal justice system but not, primarily, to the needs of the

criminal justice system. These services may include criminal justice

advocacy, accompaniment to law enforcement offices, transportation to

court, child care while in court, trial notification and case

disposition information, restitution advocacy, assistance with victim

impact statements, and parole notification.

d. Services which offer an immediate measure of safety to crime

victims such as preventing the reburglarization by boarding-up windows,

replacing or repairing locks, etc.

e. Forensic examinations for sexual assault victims only to the

extent that other funding sources (such as State compensation or

private insurance or public benefits) are unavailable or insufficient.

Note: State grantees should establish controls for using VOCA

victim assistance funds to pay for forensic examinations in sexual

assault cases. The controls should require VOCA subrecipients to

investigate to what extent other resources are available to pay for

the examinations; what other direct services will be offered in

conjunction with the examination; and if the examination meets the

evidentiary standards established by the State, local prosecutor's

office, or State-wide coalition. VOCA funds cannot be used to pay

for those forensic examinations that do not conform to one of these

standards.

f. Costs that are necessary and essential to providing direct

services such as pro-rated costs of rent, telephone service,

transportation costs for victims to receive services or participate in

the criminal justice system, and local travel expenses for direct

service providers.

g. Services which assist crime victims with managing practical

problems created by the victimization such as acting on behalf of the

victim vis-a-vis other service providers, creditors, or employers;

assisting the victim to recover property that is retained as evidence;

assisting in filing for compensation benefits; helping to apply for

public assistance; managing the overall service and informational needs

on behalf of the crime victim until such time that the victim can

assume these responsibilities; etc.

h. Costs that are directly related to providing direct services

through staff. Such costs may consist of the following: Advertising

costs associated with recruiting VOCA-funded personnel; training costs

for paid and volunteer staff; salaries and fringe benefits, to include

malpractice insurance for professional direct service providers who are

subject to civil actions.

i. Meetings and panels where crime victims are able to confront

perpetrators, if they are requested by the victim and if they offer

therapeutic value to crime victims. At times, such meetings and panels

can provide victims with an opportunity to tell and retell one's story,

put feelings and experiences into words, and enable victims to move

forward with their lives.

States that plan to fund this type of service should closely review

the criteria for, and the standards governing, the service to be

provided. At a minimum, the following should be considered: (1) The

benefit or therapeutic value to the victim, (2) the type of crimes and

subsequent victims that will benefit from the service, (3) the number

of victims wishing to participate, (4) the provision of appropriate

support and accompaniment for the victim, (5) appropriate

``debriefing'' opportunities for the victim after the meeting or panel,

(6) the credentials of the facilitators, (7) the other needs of

individual crime victims, and (8) the opportunity for a crime victim to

withdraw from the process at any time without negative feelings or

penalty. States are encouraged to discuss proposals with OVC prior to

awarding VOCA funds for this type of activity.

Note: Victim-Offender mediation services in which the mediation

serves to replace criminal justice proceedings cannot be supported

with VOCA victim assistance funds.

2. Other Related Allowable Services, Activities, and Costs. The

services, activities, and costs discussed under this section are not

generally considered direct crime victim services. For example, staff

training is often a necessary and essential activity to ensure that

quality direct services are provided; however, it is not a direct

services. Other costs described in this section may, also, be tied to

direct services, although in a more remote way. Before these costs can

be supported with VOCA funds, the State and subrecipient must agree

that direct services to crime victims cannot be offered without support

for these expenses, that the subrecipient has no other source of

support for them, and that only limited amounts of VOCA funds will be

used for these purposes. The following list provides examples of such

items:

a. Skills training for staff. VOCA funds designated for training

are to be used exclusively for developing the skills of direct service

providers (paid and volunteer) so that they are better able to offer

quality services to crime victims. An example of skills development is

training focused on how to respond to a victim in crisis. This type of

training differs significantly from being apprised of legislative

updates or recent research findings regarding victims of crime.

VOCA funds can be used for training direct service providers within

the subrecipient's organization, who are not supported with VOCA funds;

however, priority should be given to the individuals supported with

VOCA funds.

VOCA funds can purchase materials such as books, training manuals,

and videos for direct service providers, within the VOCA-funded

organization, and can support the costs of a trainer for in-service

staff development. Although VOCA cannot support training individuals in

other organizations, other staff from other organizations can be

invited to attend training activities that are held for the

subrecipient's staff, if no additional costs will be incurred by the

VOCA-funded project.

VOCA funds can support costs associated with attendance at training

activities held on a State-wide basis or within a similar geographic

area, such as travel, meals, lodging, and registration fees. This

limitation encourages State grantees and subrecipients to first look

for available training within their immediate geographical area, as

travel costs will be minimal. However, when needed training

opportunities are unavailable within the immediate geographical area,

State grantees may authorize the use of VOCA funds to support needed

training outside of this geographical limitation.

VOCA funds cannot be used to support attendance at local, regional,

or national-level conferences that do not focus on skills development

for direct service providers but focus, instead, upon national issues,

networking, legislative updates, presentation of research papers, etc.

nor can VOCA funds support management and administrative training for

executive directors, board members, and other individuals that do not

provide direct services.

b. Equipment and furniture that the State determines is necessary

and essential to providing or enhancing direct services to crime

victims, as demonstrated by the VOCA subrecipient.

Note: VOCA funds cannot support the entire cost of equipment

that is not used exclusively for victim-related activities but can

support a prorated share. Additionally, subrecipients cannot use

VOCA funds to purchase equipment for another organization or

individual to perform a victim-related service.

Examples of allowable costs may include beepers; typewriters and

word processors; video-tape cameras and players for interviewing

children; two-way mirrors; and equipment and furniture for shelters,

work spaces, victim waiting rooms, and children's play areas.

At times, computers may increase a subrecipient's ability to reach

and serve crime victims. In such cases, VOCA subrecipients must

describe to the State how the computer equipment will enhance services

to crime victims; how it will be integrated into and/or enhance the

subrecipient's current system; the cost of installation; the cost of

training staff to use the computer equipment; the on-going operational

costs, such as maintenance agreements, supplies; how these additional

costs will be supported; etc.

States who authorize equipment to be purchased with VOCA funds must

establish policies and procedures on the acquisition as well as the

disbursement of the equipment, when the subrecipient no longer receives

a VOCA grant. (See M7100.1D). Additionally, at a minimum, property

records must be maintained, which contain the following: A description

of the property and a serial number or other identifying number; who

holds title; the acquisition date, the cost and the percentage of VOCA

funds supporting purchase; the location, use, and condition of the

property; and any ultimate disposition data, including the date of

disposal and sale price.

c. Contracts for professional services. VOCA funds can only support

limited use of contract services. Subrecipients are prohibited from

using a majority or their entire award for contracted services that

have administrative, overhead, and other indirect costs included in the

hourly or daily rate.

VOCA grant funds are to be used within the subrecipient's

organization. It was not intended that the VOCA subrecipients serve as

contractors of services. However, at times, it may be necessary for

VOCA subrecipients to contract for specialized services such as when

there is an infrequent need for a specialized victim service. In such

situations, subrecipient organizations may find that it is not cost-

effective to employ an individual with the skills to perform the needed

service, either on a part- or full-time basis. Additionally, there may

be emergency situations requiring victim services that are beyond the

scope of the VOCA subrecipient organization. Examples include the

following: An attorney's fee for securing an emergency temporary

retraining order; a physician's fee for conducting an forensic

examination on a sexual assault victim only to the extent that other

funding sources are unavailable or insufficient; emergency

psychological or psychiatric services; etc.

Note: VOCA funds cannot be used to pay for legal costs or legal

representation for divorces, child custody or visitation rights

litigation, etc., for victims of spousal or child abuse.

d. Operating costs directly related to serving crime victims are

allowable, such office supplies; equipment use fees, when supported by

usage logs; printing, photocopying, and postage; brochures which

describe available services; books and other victim-related materials;

etc. VOCA funds may support administrative time to complete VOCA-

required time and attendance sheets and programmatic documentation,

reports, and statistics; administrative time to maintain crime victims'

records; pro-rated share of audit costs; etc.

e. Supervision of direct service providers only to the extent that

the State grantee believes that such supervision is necessary and

essential to providing direct services to crime victims. For example, a

State grantee may believe that using VOCA funds to support a volunteer

coordinator position that is responsible for recruiting, screening,

training, supervising, and maintaining volunteers is necessary and

essential as well as being a cost-effective way of serving more crime

victims.

f. Repair and/or replacement of an essential item of a victim

service that contributes to maintaining a healthy and/or safe

environment, such as a furnace in a shelter. State grantees are

cautioned to scrutinize each request for expending VOCA funds for such

purposes to ensure the following: (1) that the building is owned by the

subrecipient organization and not rented/leased, (2) all other sources

of funding have been exhausted, (3) there is no available option for

providing the service in another location, (4) that the cost of the

repair or replacement is reasonable considering the value of the

building, and (5) the cost of the repair or replacement is pro-rated

among all sources of income. States are encouraged to discuss

individual requests for substantial repairs of essential service

components with OVC.

g. Activities and costs related to describing the services

available to crime victims within the community such as presentations,

brochures, newspaper articles, etc.

3. Unallowable Services, Activities, and Costs. The following

services, activities, and costs, although not exhaustive, cannot be

supported with VOCA victim assistance grant funds:

a. Crime prevention activities and other activities intended to

educate the community on the prevention of crime and to raise the

public's consciousness regarding crime.

b. Lobbying and administrative advocacy for victim legislation or

administrative reform, whether conducted directly or indirectly.

c. Perpetrator rehabilitation and counseling. Subrecipients cannot

knowingly use VOCA funds to offer rehabilitative services to offenders.

Likewise, VOCA funds cannot support services to incarcerated

individuals, even when the service pertains to the victimization of

that individual.

d. Needs assessments, surveys, evaluations, studies, and research

efforts conducted by individuals, organizations, task forces, special

commissions, etc. which study and/or research a particular crime victim

issue.

e. Activities that are directed at prosecuting an offender and/or

improving the criminal justice system's effectiveness and efficiency

such as witness notification and management activities; expert

testimony at a trial; victim/witness expenses such as travel to testify

in court and subsequent lodging and meal expenses; victim protection

costs; etc., which are considered part of the criminal justice agency's

responsibility.

f. Fundraising activities.

g. Indirect organizational costs such as liability insurance on

buildings and vehicles; capital improvements; security guards and body

guards; property losses and expenses; real estate purchases; mortgage

payments; construction costs; etc.

h. Use of assistance funds for reimbursing crime victims for

expenses incurred as a result of a crime or to supplement crime victim

compensation awards to victims of crime for such costs as funeral

expenses, lost wages, medical bills, etc.

i. Vehicles, purchased or leased. State grantees who believe that

crime victims will not be able to receive services without VOCA support

for a vehicle are urged to discuss the situation with OVC. Unless OVC

gives prior approval to use VOCA to support a vehicle, such an expense

is unallowable.

j. Nursing home care, home health-care costs, in-patient treatment

costs, hospital care, and other types of emergency and non-emergency

medical and/or dental treatment. VOCA victim assistance grant funds

cannot support medical costs regardless of whether they are a result of

a victimization or not. EXCEPTION: See Program Requirements, E.

Allowable Direct Services, Activities, and Costs, 1.e., regarding

forensic examinations for sexual assault victims.

k. Relocation expenses such as moving expenses, security deposits

on housing, ongoing rent, mortgage payments; However, VOCA funds may be

used to support staff time in locating resources to assist victims with

these expenses.

l. Professional dues and memberships in the name of a specific

individual. However, VOCA funds may purchase organizational

memberships, or a membership, for example, in the name of the

``Executive Director,'' if such membership will offer needed, timely,

and relevant information on victim services and issues that assist

direct service providers to provide quality services.

m. Salaries, fees, and reimbursable expenses associated with

administrators, board members, executive directors, consultants,

coordinators, and other individuals unless, and to the extent that,

these expenses are incurred while providing direct services to crime

victims.

n. Development of protocols, interagency agreements, and other

working agreements that benefit crime victims, in general, throughout

the community. These activities are considered examples of the types of

activities that organizations undertake as part of their role as a

victim services organization, which in turn qualifies them as an

eligible VOCA subrecipient. As such, VOCA funds cannot be used to

support these activities.

o. The costs of sending individual crime victims to conferences.

The purpose of the VOCA victim assistance grant program is to maximize

the impact of the limited VOCA funds by expanding the number of direct

service providers available to offer services. VOCA funds are

insufficient to support individual crime victims' needs and cannot be

used for this purpose.

p. Attendance at national-level conferences and symposia that have

as a primary focus discussions and presentations on national issues,

networking, sharing ideas, presenting research findings, etc., even

when held in a subrecipient's community. Conferences that focus on

skills development components that enable service providers to offer

quality services to crime victims may be allowable. (See previous

guidance located at Program Requirements, E. Services, Activities, and

Costs, 2.a.)

q. Development of training manuals and/or extensive training

materials. Viable crime victim organizations that receive VOCA funds

should, prior to receiving a VOCA grant, offer training and materials

for their staff.

F. Program Reporting Requirements

States will be required to adhere to all reporting requirements and

times for submitting the required reports, as indicated below. Failure

to do so may result in a hold being placed on the drawdown of the

current year's funds, a hold being placed on processing the next year's

grant award, or can result in the suspension or termination of a grant.

1. Subgrant Award Reports. States are required to submit to OVC,

within 30 days of making the subaward, Subgrant Award Report

information for each subrecipient of VOCA victim assistance grant

funds. Subgrant Award Report information is to be submitted to OVC via

the automated subgrant dial-in system, whenever possible. When not

possible, State grantees must complete and submit the Subgrant Award

Report form, OJP 7390/2A, for each VOCA subrecipient.

If the Subgrant Award Report information changes by the end of the

grant period, States must inform OVC of the changes, either by revising

the information via the automated subgrant subdial system, by

completing and submitting to OVC a revised Subgrant Award Report form,

or by making notations on the State-wide database report and submitting

it to OVC. The total of all Subgrant Award Reports submitted by the

State must agree with the Final Financial Status Report (269A) that is

submitted at the end of the grant period.

A Subgrant Award Report is required for each organization that

receives VOCA funds and uses the funds for employee salaries, fringe,

supplies, rent, etc. This requirement applies regardless of whether the

mechanism by which the State awards VOCA funds to a subrecipient is

called a grant, contract, or subgrant and regardless of the type of

organization (public or nonprofit) that receives the funds.

Subgrant Award Reports are not to be completed for organizations

that serve only as conduits for distributing VOCA funds or for

organizations that provide limited, emergency services, on an hourly

rate, through VOCA subrecipient organizations. All services and

activities purchased on an hourly rate with VOCA funds are to be

included in the subrecipient's Subgrant Award Report.

2. Performance Report. Each State is required to submit specific

end-of-grant data on the OVC-provided Performance Report, form No. OJP

7390/4, no later than 90 days after each VOCA victim assistance grant

ends.

G. Additional Program Requirements

1. Civil Rights--Prohibition of Discrimination for Recipients of

Federal Funds. No person in any State shall, on the grounds of race,

color, religion, national origin, sex, or disability be excluded from

participation in, be denied the benefits of, be subjected to

discrimination under, or denied employment in connection with any

program or activity receiving Federal financial assistance, pursuant to

the following statutes and regulations: Section 809(c), Omnibus Crime

Control and Safe Streets Act of 1968, as amended, 42 U.S.C. 3789d, and

Department of Justice Nondiscrimination Regulations, 28 CFR part 42,

Subparts C, D, E, and G; Title VI of the Civil Rights Act of 1964, as

amended, 42 U.S.C. 2000d, et seq.; Section 504 of the Rehabilitation

Act of 1973, as amended, 29 U.S.C. 794; Subtitle A, Title II of the

Americans with Disabilities Act of 1990, 42 U.S.C. 12101, et seq. and

Department of Justice regulations on disability discrimination, 28 CFR

Part 35 and Part 39; Title IX of the Education Amendments of 1972, as

amended, 20 U.S.C. 1681-1683; and the Age Discrimination Act of 1975,

as amended, 42 U.S.C. 6101, et seq.

2. Confidentiality of Research Information. Except as otherwise

provided by Federal law, no recipient of monies under VOCA shall use or

reveal any research or statistical information furnished under this

program by any person, and identifiable to any specific private person,

for any purpose other than the purpose for which such information was

obtained, in accordance with VOCA. Such information, and any copy of

such information, shall be immune from legal process and shall not,

without the consent of the person furnishing such information, be

admitted as evidence or used for any purpose in any action, suit, or

other judicial, legislative, or administrative proceeding. [See Section

1407(d) of VOCA, codified at 42 U.S.C. 10604.]

This provision is intended, among other things, to assure the

confidentiality of information provided by crime victims to counselors

working for victim services programs receiving VOCA funds. Whatever the

scope of application given this provision, it is clear that there is

nothing in VOCA or its legislative history to indicate that Congress

intended to override or repeal, in effect, a State's existing law

governing the disclosure of information, which is supportive of VOCA's

fundamental goal of helping crime victims. For example, this provision

would not act to override or repeal, in effect, a State's existing law

pertaining to the mandatory reporting of suspected child abuse. See

Pennhurst State School and Hospital v. Halderman, et al., 451 U.S. 1

(1981). Furthermore, this confidentiality provision should not be

interpreted to thwart the legitimate informational needs of public

agencies. For example, this provision does not prohibit a domestic

violence shelter from acknowledging, in response to an inquiry by a law

enforcement agency conducting a missing person investigation, that the

person is safe in the shelter. Similarly, this provision does not

prohibit access to a victim service project by a Federal or State

agency seeking to determine whether Federal and State funds are being

utilized in accordance with funding agreements.

Financial Requirements

State grantees and subrecipients of VOCA victim assistance funds

shall adhere to the financial and administrative provisions set forth

in the OJP ``Financial and Administrative Guide for Grants'', M7100.1D

(effective edition). The following describes the audit requirements for

State grantees and subrecipients, the completion and submission of

Financial Status Reports, and actions that result in termination of

advanced funding.

A. Audit Responsibilities for State Grantees

Pursuant to OMB Circular A-128 (Audits of State or Local

Governments), grantees that receive $100,000 or more in Federal

financial assistance in any fiscal year must have a single audit for

that year. State governments receiving at least $25,000, but less than

$100,000, in a fiscal year have the option of performing a single audit

or an audit of the Federal program, as required by the applicable

Federal laws and regulations. State and local governments receiving

less than $25,000 in any fiscal year are exempt from audit

requirements.

B. Audit Responsibilities for Subrecipients

Pursuant to OMB Circular A-128 (Audits of State or Local

Governments), local governments that receive $100,000 or more in

Federal financial assistance in any fiscal year shall have a single

audit for that year. Local governments receiving at least $25,000, but

less than $100,000, in a fiscal year have the option of performing a

single audit or an audit of the Federal program, as required by the

applicable Federal laws and regulations. Local governments receiving

less than $25,000 in any fiscal year are exempt from audit

requirements.

Institutions of higher education and other nonprofit organizations

that receive $100,000 or more a year in Federal financial assistance

shall have an audit made in accordance with OMB Circular A-133.

Organizations and institutions that receive at least $25,000, but less

than $100,000, in a fiscal year shall have an audit made in accordance

with OMB Circular A-133 or an audit of the Federal program.

Institutions and organizations receiving less than $25,000 in any

fiscal year are exempt from audit requirements.

C. Financial Status Report for State Grantees

A Financial Status Reports (269A) are required from all State

grantees. A Financial Status Report shall be submitted to the Office of

the Comptroller for each calendar quarter in which the grant is active.

This Report is due even though no obligations or expenditures were

incurred. Financial Status Reports shall be submitted to the Office of

the Comptroller, by the State, within 45 days after the end of each

subsequent calendar quarter. Calendar quarters end March 31, June 30,

September 30, and December 31. A Final Financial Status Report is due

90 days after the end of the VOCA grant period, no later than December

31.

D. Termination of Advance Funding to State Grantees

If the State grantee receiving cash advances by Letter of Credit or

by direct Treasury check demonstrates an unwillingness or inability to

establish procedures that will minimize the time elapsing between cash

advances and disbursement, OJP may terminate advance funding and

require the State to finance its operations with its own working

capital. Payments to the State will then be made by the direct Treasury

check method, which reimburses the State for actual cash disbursements.

Monitoring

A. Office of the Comptroller

The Office of the Comptroller conducts periodic reviews of the

financial policies, procedures, and records of VOCA grantees and

subrecipients. Therefore, upon request, States and subrecipients must

give authorized representatives the right to access and examine all

records, books, papers, case files, or documents related to the grant

and all subawards.

B. Office for Victims of Crime

Beginning with the FFY 1991 grant period, OVC implemented an on-

site monitoring plan in which each State grantee is visited a minimum

of once every three years. While on site, OVC personnel will expect to

review various documents and files such as (1) financial and program

manuals and procedures governing the VOCA grant program; (2) financial

records, reports, and audit reports for the State grantee and all VOCA

subrecipients; (3) the State's VOCA application kit, procedures, and

guidelines for subawarding VOCA funds; and (4) all other State and

subrecipient records and files.

Additionally, OVC will visit selected subrecipients and will review

similar documents such as (1) financial records, reports, and audit

reports; (2) policies and procedures governing the organization and the

VOCA funds; (3) programmatic records of victims' services; and (4)

timekeeping records and other supporting documentation for costs

supported by VOCA funds.

Suspension and Termination of Funding

If, after notice and opportunity for a hearing, OVC finds that a

State has failed to comply substantially with VOCA, the M7100.1D, the

Final Program Guidelines, or another implementing regulation or

requirements, OVC may suspend or terminate funding to the State and/or

take other appropriate action. At such time, State grantees may request

a hearing on the justification for the suspension and/or termination of

VOCA funds. VOCA subrecipients, within the State, may not request a

hearing at the Federal level. However, VOCA subrecipients who believe

that the State has violated a program and/or financial requirement are

not precluded from bringing the alleged violation(s) to the attention

of OVC.

Carolyn A. Hightower,

Acting Director, Office for Victims of Crime, Office of Justice

Programs.

[FR Doc. 94-5468 Filed 3-9-94; 8:45 am]

BILLING CODE 4410-18-P