Victims of Crime Act Victim Assistance Grant Program

DEPARTMENT OF JUSTICE

Office of Justice Programs

Office for Victims of Crime

[OJP NO. 1045]

RIN 1121-AA30

Victims of Crime Act Victim Assistance Grant Program

AGENCY: U.S. 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).

DATES: Federal Fiscal Year 1996 VOCA grant program.

FOR FURTHER INFORMATION CONTACT: Jackie McCann Cleland, Director, State

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Compensation and Assistance Division, at (202) 307-5983.

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 Interim

Final 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 ten years of the grant program and are in

accordance with VOCA. These 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, these Program

Guidelines were not reviewed by the Office of Management and Budget

(OMB).

In addition, these Program 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, codified at 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, codified at

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 granted by OMB.

Summary of the Comments to the Interim Final Program Guidelines

On May 10, 1995, the Office for Victims of Crime (OVC) published

Interim Final Victims of Crime Act (VOCA) victim assistance Program

Guidelines in the Federal Register, Vol.60, No.90, pages 24888 through

24896. These Interim Final Program Guidelines were published for the

purpose of implementing the victim assistance grant program for Fiscal

Year 1995 VOCA victim assistance grants. State Victim Assistance

administrators were mailed copies of the Interim Final Program

Guidelines and asked to comment on the revised rules of the VOCA victim

assistance grant program. OVC received 11 individual letters from

interested individuals and organizations, met with VOCA administrators

and VOCA subrecipients at national and regional victims conferences,

and had conversations with almost all State VOCA administrators. In

total, about 25 different comments, questions, and recommendations were

received, reflecting the views of VOCA administrators familiar with the

implementation of VOCA victim assistance grants in their own States.

OVC appreciates the time and effort each respondent invested in

reading and responding to the Interim Final Program Guidelines. All

comments were carefully considered in developing these Final Program

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

additional information to clarify various sections of the Program

Guidelines. Explanation of our resolutions and final determinations is

provided in the following paragraphs.

A. VOCA Victim Assistance Application Process

1. Administrative Cost Provision.

Although most respondents praised the guidance set forth in the

Interim Final Program Guidelines implementing the administrative cost

provision of VOCA, some respondents questioned OVC's prohibiting the

use of these funds for indirect cost and noted that this was

inconsistent with rules governing the use of administrative funds in

other OJP formula grant programs. Thus, this restriction has been

eliminated from the Program Guidelines.

2. Administrative Cost Provision for Training

One administrator suggested that the use of administrative funds to

pay for training should not be limited to OVC-sponsored technical

assistance meetings, but should also apply to training on victim issues

sponsored by organizations other than OVC. The Program Guidelines have

been modified to reflect this allowance.

B. Program Requirements

1. Program Income

Many respondents again expressed concern about OVC's stipulation

that services be provided to crime victims at no charge and that any

deviation from this provision would require prior approval of the

Office for Justice Programs, Office of the Comptroller (OC) and OVC.

Other respondents requested that OVC clarify the intent of this

provision.

OVC is mindful that some subrecipient organizations use program

income, in part to offer additional services to crime victims, thus

expanding available services beyond the VOCA funded position.

Therefore, these Program Guidelines will allow State grantees to

authorize subrecipients to generate income from VOCA-funded staff time

under the following conditions: (1) with prior approval of financial

and monitoring procedures by the State VOCA administrators; and (2)

with the stipulation that no crime victim is ever denied services

solely for lack of insurance or personal resources to cover the cost of

the services.

Prior to authorizing subrecipients to generate income, OVC strongly

encourages state administrators to carefully weigh the following

considerations:

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

to provide services to all crime victims regardless of their ability to

pay for services rendered or availability of insurance or other third-

party payment resources. Crime victims suffer tremendous emotional,

physical, and financial losses. It was never the intent of VOCA to

exacerbate the impact of the crime by asking the victim to pay-again.

Second, State grantees must ensure that they and their

subrecipients have the capability to track program income, no matter

how large or small, in accordance with Federal financial accounting

requirements. All VOCA-funded program and match income is restricted to

the same uses as the VOCA grant.

Third, program income can be problematic because very few

subrecipients have the financial mechanisms in place to track VOCA-

funded income and ensure that it is used only to make additional

services available to crime victims. For example, VOCA often funds only

a portion of a counselor's time. Accounting for VOCA program income

generated by a counselor in this case is complicated, involving careful

record keeping by the counselor, the subrecipient program, and the

State.

2. Services, Activities, and Costs at the Subrecipient Level

Several respondents noted that within their communities there is a

tremendous need for outreach to identify victims of crime. The Program

Guidelines have been modified to specify that

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subrecipients may use VOCA funds for presentations in schools,

community centers, or other public forums when a primary purpose is to

identify crime victims and provide or refer them to needed services.

Related costs such as presentation materials, brochures, and newspaper

notices can also be supported with VOCA funds.

C. Financial Requirements

Several subrecipients complained that audit costs for subgrantees

receiving more than $25,000, but less than $100,000, are often

excessive, ranging from $5,000 to $18,000 annually. As a result,

limited VOCA funds are supporting audit costs rather than delivering

direct services to crime victims. Pursuant to OMB Circular-A-128, the

Office of the Comptroller of the Office of Justice Programs, the Office

of Management and Budget, and other federal agencies, are exploring the

possibility of raising substantially the threshold that triggers the

audit requirement for organizations and institutions receiving federal

grants.

Until a change is made, the Program Guidelines have been modified

to remind grantees and subgrantees that agencies receiving at least

$25,000, but less than $100,000, in a fiscal year have the option of

performing a single audit or the less cumbersome Federal program audit.

Rather than conducting an audit every year, grantees also have the

option of allowing non profits to have an audit every other year for

the previous two year period. State or local subrecipients' audits

shall be made annually, unless the state or local government has a

constitutional or statutory requirement for less frequent audits.

Background

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

Treasury and authorized the Fund to receive deposits of fines and

penalties levied against 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 government's chief advocate 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 purpose of these grants is to support the

provision of direct services to victims of violent crime throughout the

Nation. For the purpose of these Program Guidelines, direct services

are defined as those efforts that (1) respond to the emotional and

physical needs of crime victims; (2) assist primary and secondary

victims of crime to stabilize their lives after a victimization; (3)

assist victims to understand and participate in the criminal justice

system; and (4) provide victims of crime with a measure of safety such

as boarding-up broken windows and replacing or repairing locks.

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

a crime victim is a person who has suffered physical, sexual, or

emotional harm as a result of the commission of a crime.

VOCA gives latitude to State grantees 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 monies deposited 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 (October 1 through September 30).

The Violent Crime Control and Law Enforcement Act of 1994 (Public

Law 103-322, Title XXIII, Subtitle B) amended VOCA and made three major

changes that affect the VOCA victim assistance grant program. First,

the Director of OVC has the authority to retain up to $20,000,000 to be

held in reserve and used in a year in which the Fund falls below the

amount available in the previous year [Section 1402(d)(4)]. Second, the

legislation changed the formula for allocating Fund deposits [Section

1402(d)]. Third, State administrators of VOCA victim assistance grant

funds may retain up to 5% of each year's grant for administrative

purposes [Section 1404(b)(3).] Please refer to the section entitled

VOCA Victim Assistance Application Process, B. Administrative Cost

Provision for State Grantees for information on this provision.

B. Formula for Distributing Crime Victims Fund Deposits

Pursuant to Section 1402(d), deposits into the Fund will be

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 18 U.S.C. Section 3611. See Section 1402(d)(1) of VOCA, codified

at 42 U.S.C. 10601(d)(1).

2. Of the next $10,000,000 deposited in the Fund in a particular

fiscal year,

a. 85% shall be available to the Secretary of Health and Human

Services for grants under Section 4(d) of the Child Abuse Prevention

and Treatment Act codified at 42 U.S.C. 5101, for improving the

investigation and prosecution of child abuse cases;

b. 15% shall be available to the Director of the Office for Victims

of Crime for grants under Section 4(d) of the Child Abuse Prevention

and Treatment Act for assisting Native American Indian tribes in

developing, establishing, and operating programs to improve the

investigation and prosecution of child abuse cases.

3. Of the remaining amount deposited in the Fund in a particular

fiscal year,

a. 48.5% shall be available for victim compensation grants,

b. 48.5% shall be available for victim assistance grants; and

c. 3% shall be available for demonstration projects and 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.

C. 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. State grantees 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

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must be returned to the General Fund of the U.S. Treasury. Therefore,

State grantees are encouraged to monitor closely the expenditure of

VOCA funds at the subrecipient level and to reallocate unexpended funds

prior to the end of the grant period.

D. Allocation of Funds to States

From the Fund deposits available for victim assistance grants, each

State grantee 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.

E. 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, which must meet the

minimum requirements of VOCA and the Program Guidelines. The State

grantee can choose to be more restrictive.

VOCA 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.

State grantees 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.

State grantees are encouraged to expand into new service areas as

needs and demographics of crime change within the State. Many State

grantees use VOCA funds to stabilize victim services by continuously

funding selected organizations. Some State grantees end funding to

organizations after several years in order to fund new organizations.

Other State grantees limit the number of years an organization may

receive VOCA funds. These practices are within the State grantee's

discretion and are supported by OVC, when they serve the best interests

of crime victims within the State.

State grantees may award VOCA funds to organizations that are

physically located in an adjacent State, when it is an 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

State grantees enter into an interstate agreement with the adjacent

State to address monitoring of the VOCA subrecipient, auditing Federal

funds, managing noncompliance issues, and reporting requirements.

States must notify OVC of each VOCA award made to an organization in

another State.

VOCA Victim Assistance Application Process

A. State Grantee Application Process

Each year, OVC issues a Program Instruction and Application Kit to

each designated State agency. The Application Kit contains the

necessary forms and information required to apply 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, State grantees are not

required to provide specific information regarding the subrecipients

that will receive VOCA victim assistance funds.

In addition to the Application for Federal Assistance, State

grantees shall specify their arrangements for complying with the

provisions of OMB 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. Administrative Cost Provision for State Grantees

Each State grantee may retain up to, but not more than, 5% of each

year's grant for administering the VOCA victim assistance grant at the

State grantee level with the remaining portion being used exclusively

for direct services to crime victims or to train direct service

providers in accordance with these Program Guidelines, as authorized in

Section 1402(d)(3), codified at 42 U.S.C. 10601(d)(3). This option is

available to the State grantee and does not apply to VOCA

subrecipients.

This administrative cost provision is to be used by the State

grantee to expand, enhance, and/or improve the State's previous level

of effort in administering the VOCA victim assistance grant program at

the State level and to support activities and costs that impact the

delivery and quality of services to crime victims throughout the State.

Thus, State grantees will be required to certify that VOCA

administrative funds will not be used to supplant State funds.

State grantees are not required to match the portion of the grant

that is used for administrative purposes.

1. The following are examples of activities that are directly

related to managing the VOCA grant and can be supported with

administrative funds:

a. Pay salaries and benefits for staff and consultant fees to

administer and manage the financial and programmatic aspects of VOCA;

b. Attend OVC-sponsored and other relevant technical assistance

meetings that address issues and concerns to State administrators;

c. Monitor subrecipients, Victim Assistance in Indian Country

subrecipients, and potential subrecipients, provide technical

assistance, and/or evaluation and assessment of program activities;

d. Purchase equipment for the State grantee such as computers,

software, fax machines, copying machines;

e. Train VOCA direct service providers; and

f. Purchase memberships in crime victims organizations and victim-

related materials such as curricula, literature, and protocols.

2. The following activities impact the delivery and quality of

services to crime victims throughout the State and, thus, can be

supported by administrative funds:

a. Develop strategic plans on a State and/or regional basis,

conduct surveys and needs assessments, promote innovative approaches to

serving crime victims such as through the use of technology;

b. Improve coordination efforts on behalf of crime victims with

other OJP Offices and Bureaus and with Federal, State, and local

agencies and organizations;

c. Provide training on crime victim issues to State, public, and

nonprofit organizations that serve or assist crime victims such as law

enforcement officials, prosecutors, judges, corrections personnel,

social service workers, child and youth service providers, and mental

health and medical professionals;

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d. Purchase, print, and/or develop publications such as training

manuals for service providers, victim services directories, and

brochures;

e. Coordinate and develop protocols, policies, and procedures that

promote systemic change in the ways crime victims are treated and

served; and

f. Train managers of victim service agencies.

State grantees are required to notify OVC of the decision to use

administrative funds prior to charging or incurring any costs against

this provision. State grantees may notify OVC when the decision is made

to exercise this option or at the time the Application for Federal

Assistance is submitted.

Each State grantee that chooses to use administrative funds is

required to submit a statement to OVC describing:

1. What amount of the total grant will be used;

2. How the State grantee intends to use the funds and the types of

activities that will be supported; and

3. How these activities will improve the administration of the VOCA

program and/or improve services to crime victims.

State grantees may choose to award administrative funds to a

``conduit'' organization that assists in selecting qualified

subrecipients and/or reduces the State grantee's administrative burden

in implementing the grant program. However, the use of a ``conduit''

organization does not relieve the State grantee from ultimate

programmatic and financial responsibilities.

C. Use of Funds for Training

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. The maximum amount permitted for

this purpose is $5,000 or 1% of the State's grant, whichever is

greater. State grantees that choose to sponsor State-wide or regional

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

for other types of staff development.

State grantees must submit a training proposal to OVC for each

event to be sponsored under this option. OVC will review each proposal

to identify other sources of assistance and support that may be

available such as trainers or resources from the OVC Resource Center.

Each training activity must occur within the grant period, and all

training costs must be obligated prior to the end of the grant period.

VOCA grant funds cannot be used to supplant the cost of existing State

administrative staff or related State training efforts.

Specific criteria for applying for training funds will be given in

each year's Application Kit. This criteria may include addressing the

goals, the needs of the service providers, how funds will be used, and

how any program income that is generated will be used.

The VOCA funds used for training by the State grantee must be

matched at 20%, cash or in-kind, and the source of the match must be

described.

Program Requirements

A. State Grantee Eligibility Requirements

When applying for the VOCA victim assistance grant, State grantees

are required to give assurances that the following conditions or

requirements will be met:

1. Only eligible organizations will receive VOCA funds and these

funds will be used only for direct services to victims of crime, except

those funds that the State grantee uses for training victim service

providers and/or administrative purposes, as authorized by Section

1404(b) codified at 42 U.S.C. 10603(b). See section E. Services,

Activities, and Costs at the Subrecipient Level for examples of direct

services to crime victims.

2. VOCA crime victim assistance grant funds will enhance or expand

services and 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), codified at 42 U.S.C. 10603(a)(2)(C). This supplantation

clause applies to State and local public agencies only.

3. Priority shall be given to victims of sexual assault, spousal

abuse, and child abuse. Thus a minimum of 10% of each FFY's grant (30%

total) will be allocated to each of these categories of crime victims.

This State grantee requirement does not apply to VOCA subrecipients.

Each State grantee must meet this requirement, unless it can

demonstrate to OVC that: (1) a ``priority'' category 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'' category have diminished.

4. An additional 10% of each VOCA grant will be allocated to

victims of violent crime (other than ``priority'' category victims) who

were ``previously under served.'' These under served victims of either

adult or juvenile offenders may include, but are not limited to,

survivors of homicide victims, or victims of assault, robbery,

intoxicated drivers, bank robbery, and elder abuse. For the purpose of

this program, elder abuse is defined as the abuse of vulnerable adults.

Vulnerable adults are those individuals who do not have the mental and/

or physical capacity to manage their daily needs, and who are subjected

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

To meet this under served requirement, State grantees must identify

crime victims by type of crime. Each State grantee has latitude for

determining the method for identifying ``previously under served''

crime victims, which may include public hearings, needs assessments,

task forces, and meetings with State-wide victim services agencies.

Each State grantee must meet this requirement, unless it can

justify to OVC that (1) services to these victims of violent crime 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 these victims of violent crime have diminished.

State grantees may fund services to victims with specific

demographic profiles and use those services to meet the ``previously

under served'' requirement. However, State grantees must identify the

type of violent crime to which these victims are subjected.

5. Appropriate accounting, auditing, and monitoring procedures will

be used at the State grantee and subrecipient levels so that records

are maintained to ensure fiscal control, proper management, and

efficient disbursement of the VOCA victim assistance funds, in

accordance with the Financial and Administrative Guide for Grants

(M7100.1D), effective edition.

6. Compliance with all Federal laws and regulations applicable to

Federal assistance programs and with the provisions of Title 28 of the

Code of Federal Regulations (CFR) applicable to grants.

7. Compliance by the State grantee and subrecipients with the

applicable provisions of VOCA and the Final Program Guidelines.

8. Programmatic and financial reports shall be submitted. (See

Program Requirements and Financial Requirements for reporting

requirements and timelines.)

9. No person shall, on the grounds of race, color, religion,

national origin, handicap, or sex, be excluded from participation in,

denied the benefits of,

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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. A copy of a finding will be forwarded to the Office of Civil

Rights (OCR) for OJP 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.

11. Immediate notification will be given to OVC in the event of a

finding of fraud, waste, and/or abuse of VOCA funds. Additionally, OVC

will be apprised of the status of any on-going investigations.

OVC encourages State grantees to coordinate their VOCA assistance

and compensation activities. Coordination may 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; and developing joint guidance,

where applicable, on third-party payments to VOCA assistance

organizations.

OVC also encourages State grantees 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 may include providing

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

training activities, and inviting Coordinators to serve on review

panels that select the organizations to receive VOCA funds.

B. Subrecipient Organization Eligibility Requirements

VOCA establishes eligibility criteria that must be met by all

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

subrecipients only for providing services to victims of crime through

their staff. Each subrecipient organization shall:

1. Be operated by a public or nonprofit organization, or a

combination of such organizations, and provide direct services to crime

victims.

2. Demonstrate a record of providing effective direct services to

crime victims. This includes having the support and approval of its

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

cost-effective manner, and financial support from non-Federal sources.

3. Meet program match requirements. Match is to be committed for

each VOCA-funded project and derived from resources other than Federal

funds and/or resources, except as provided in Chapter 2, paragraph 14,

of the Financial and Administrative Guide for Grants (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. 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. Therefore, organizations are

encouraged not to commit excessive amounts of match.

Match requirements are a minimum of 20%, cash or in-kind, of the

total VOCA project (VOCA grant plus match) except as follows:

a. The match for VOCA subrecipients that are Native American

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

is 5%, 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.

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

territories and possessions of the United States except Puerto Rico are

not required to match the VOCA funds. See 48 U.S.C. 1469a(d).

4. Use volunteers unless the State grantee 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 coordinated public and private

efforts to aid crime victims. Coordination may include, but is not

limited to, serving on State, Federal, local, or Native American task

forces, commissions and/or working groups; and developing written

agreements, which contribute to better and more comprehensive services

to crime victims. Coordination efforts qualify an organization to

receive VOCA victim assistance funds, but are not activities that can

be supported with VOCA funds.

6. Assist crime victims in seeking 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 the 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.

This requirement is waived when providing a service, such as telephone

counseling, where soliciting the information may be inappropriate or

offensive to the crime victim.

9. Abide by any additional eligibility or service criteria as

established by the State grantee including submitting statistical and

programmatic information on the use and impact of VOCA funds, as

requested by the State grantee.

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

as victims of State crimes.

11. Provide services to crime victims, at no charge, through the

VOCA-funded project. Any deviation from this provision requires prior

approval by the State grantee. Prior to authorizing subrecipients to

generate income, OVC strongly encourages state administrators to

carefully weigh the following considerations regarding federal funds

generating income for subrecipient organizations.

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

to provide services to all crime victims regardless of their ability to

pay for services rendered or availability of insurance or

[[Page 55057]]

other third-party payment resources. Crime victims suffer tremendous

emotional, physical, and financial losses. It was never the intent of

VOCA to exacerbate the impact of the crime by asking the victim to pay

for services.

Second, State grantees must ensure that they and their

subrecipients have the capability to track program income in accordance

with Federal financial accounting requirements. All VOCA-funded program

and match income, no matter how large or small, is restricted to the

same uses as the VOCA grant.

Program income can be problematic because of the required tracking

systems needed to monitor VOCA-funded income and ensure that it is used

only to make additional services available to crime victims. For

example: VOCA often funds only a portion of a counselor's time.

Accounting for VOCA program income generated by this counselor is

complicated, involving careful record keeping by the counselor, the

subrecipient program, and by the State.

12. Maintain confidentiality of client-counselor information, as

required by State and Federal law.

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, sexual assault and treatment centers, domestic

violence programs, child abuse treatment facilities, centers for

missing children, prosecutor offices, courts, correctional departments,

probation and paroling authorities, hospitals, public housing

authorities, and other community-based organizations including those

who serve survivors of homicide victims.

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

should not be used for an activity mandated by State legislation.

However, VOCA funds can extend or enhance the legislatively mandated

activities. In situations where a service is mandated by law but funds

have not been appropriated, State grantees are cautioned to closely

review and justify to OVC the use of VOCA funds to support such

activities. With approval from OVC, State grantees may use VOCA funds

to support an unfunded legislative mandate for a limited time, if the

State grantee 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 funds. These organizations include, but are not

limited to, the following:

1. Criminal justice agencies such as law enforcement organizations,

prosecutor offices, courts, corrections departments, probation and

paroling authorities. 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-up activities. However, these organizations may

use VOCA funds for victims services that exceed the boundaries of their

mandate.

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

providing child and adult protective services or mental health

services.

3. Religiously-affiliated organizations. Religious organizations

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

all crime victims without regard to religious affiliation; (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 direct services to crime victims if there

is a component of the organization that provides services to crime

victims. Such organizations include State grantees, mental health

centers, hospitals, legal services agencies, and coalitions.

5. State crime victim compensation agencies. Compensation programs

may receive VOCA assistance funds if direct services such as

individual, family, and group counseling; court accompaniment; and

shelter are provided. These services extend far beyond information/

referral and providing information regarding compensation and other

sources of public and private assistance. Because State compensation

programs do not generally provide the type of direct services

envisioned by VOCA and the Program Guidelines, State grantees are

encouraged to discuss with OVC, prior to making a final funding

decision, any proposed award of VOCA victim assistance funds to a

compensation program.

6. Hospitals and emergency medical facilities. Such organizations

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

services. In addition, State grantees may only 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 VOCA victim assistance

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

following:

1. Federal agencies, including U.S. Attorneys Offices. 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 such as those designed to

provide treatment to individuals with drug, alcohol, and/or mental

health-related conditions.

E. Services, Activities, and Costs at the Subrecipient Level

The following is a listing of services, activities, and costs that

are eligible for support with VOCA victim assistance grant funds within

a subrecipient's organization:

1. 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 victim's

sense of dignity, and self esteem.

2. 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. ``Therapy'' refers to

intensive professional psychological/psychiatric treatment for

individuals, couples, and family members related to counseling to

provide emotional support in crises arising from the occurrence of

crime. This includes the evaluation of mental health needs, as well as

the actual delivery of psychotherapy.

[[Page 55058]]

3. Services that are directed to the needs of the victims who

participate in the criminal justice system. These services may include

advocacy on behalf of crime victims; accompaniment to criminal justice

offices and court; transportation to court; child care to enable

victims to attend court; notification of victims regarding trial dates,

case disposition information, and parole consideration procedures; and

restitution advocacy and assistance with victim impact statements.

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

victims such as boarding-up broken windows and replacing or repairing

locks.

5. 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.

State grantees should establish procedures to monitor the use of VOCA

victim assistance funds to pay for forensic examinations in sexual

assault cases.

6. 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, emergency

transportation costs that enable a victim to participate in the

criminal justice system, and local travel expenses for direct service

providers.

7. Services which assist crime victims with managing practical

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

victim with other service providers, creditors, or employers; assisting

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

in filing for compensation benefits; and helping to apply for public

assistance.

8. 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, including

malpractice insurance.

9. Opportunities where crime victims have the option to meet with

perpetrators, if such meetings are requested by the victim and have

therapeutic value to crime victims.

State grantees that plan to fund this type of service should

closely review the criteria for conducting these meetings. At a

minimum, the following should be considered: (1) The benefit or

therapeutic value to the victim, (2) the procedures for ensuring that

participation of the victim and offender are voluntary and that

everyone understands the nature of the meeting, (3) the provision of

appropriate support and accompaniment for the victim, (4) appropriate

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

(5) the credentials of the facilitators, and (6) the opportunity for a

crime victim to withdraw from the process at any time. State grantees

are encouraged to discuss proposals with OVC prior to awarding VOCA

funds for this type of activity. VOCA assistance funds cannot be used

for victim-offender meetings which serve to replace criminal justice

proceedings.

The services, activities, and costs listed below 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 service. Before

these costs can be supported with VOCA funds, the State grantee 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:

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

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

providers including paid staff and volunteers, 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.

VOCA funds can be used for training direct service providers who

are not supported with VOCA funds within the subrecipient's

organization.

VOCA funds can be used to 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 a subrecipient cannot use VOCA

funds for training individuals in other organizations, staff from other

organizations can attend in-service training activities that are held

for the subrecipient's staff.

VOCA funds can support costs such as travel, meals, lodging, and

registration fees to attend training within the State or a similar

geographic area. 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 is unavailable within the immediate geographical

area, State grantees may authorize using VOCA funds to support training

outside of the geographical area.

VOCA funds cannot be used for management and administrative

training for executive directors, board members, and other individuals

that do not provide direct services.

2. Equipment and furniture. VOCA funds may be used for furniture

and equipment that provides or enhances direct services to crime

victims, as demonstrated by the VOCA subrecipient.

VOCA funds cannot support the entire cost of an item that is not

used exclusively for victim-related activities. However, VOCA funds can

support a prorated share of such an item. In addition, subrecipients

cannot use VOCA funds to purchase equipment for another organization or

individual to perform a victim-related service.

State grantees that authorize equipment to be purchased with VOCA

funds must establish policies and procedures on the acquisition and

disbursement of the equipment, in the event the subrecipient no longer

receives a VOCA grant. At a minimum, property records must be

maintained with the following: A description of the property and a

serial number or other identifying number; identification of title

holder; the acquisition date; the cost and the percentage of VOCA funds

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

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

sale price. (See Financial and Administrative Guide for Grants,

M7100.1D).

3. Contracts for professional services. VOCA funds should not

generally be used to support contract services. However, at times, it

may be necessary for VOCA subrecipients to use a portion of the VOCA

grant to contract for specialized services. Examples of these services

include assistance in filing emergency temporary restraining orders;

forensic examinations on a sexual assault victim to the extent that

other funding sources are unavailable or insufficient; and emergency

psychological or psychiatric services.

Subrecipients are prohibited from using a majority of VOCA funds

for contracted services, which contain administrative, overhead, and

other indirect costs included in the hourly or daily rate.

VOCA funds cannot be used to pay for legal representation such as

for divorces and child custody or visitation rights litigation.

4. Operating costs. Examples of allowable operating costs include

supplies; equipment use fees, when supported by usage logs; printing,

[[Page 55059]]

photocopying, and postage; brochures which describe available services;

and books and other victim-related materials. 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; and the pro-

rated share of audit costs.

5. Supervision of direct service providers. State grantees may

provide VOCA funds for supervision of direct service providers when

they determine that such supervision is necessary and essential to

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

grantee may determine that using VOCA funds to support a coordinator of

volunteers or interns is a cost-effective way of serving more crime

victims.

6. Repair and/or replacement of essential items. VOCA funds may be

used for repair or replacement of items that contribute to maintaining

a healthy and/or safe environment for crime victims, 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 or 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.

7. Presentations that are made in schools, community centers, or

other public forums, and that are designed to identify crime victims

and provide or refer them to needed services. Activities and costs

related to such programs including presentation materials, brochures,

and newspaper notices can be supported by VOCA funds.

The following services, activities, and costs, although not

exhaustive, cannot be supported with VOCA victim assistance grant

funds:

1. Lobbying and administrative advocacy. VOCA funds cannot support

victim legislation or administrative reform, whether conducted directly

or indirectly.

2. 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.

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

efforts conducted by individuals, organizations, task forces, or

special commissions, which study and/or research a particular crime

victim issue.

4. Activities directed at prosecuting an offender and/or improving

the criminal justice system's effectiveness and efficiency such as

witness notification and management activities and expert testimony at

a trial. Additionally, victim protection costs and victim/witness

expenses such as travel to testify in court and subsequent lodging and

meal expenses are considered part of the criminal justice agency's

responsibility and cannot be supported with VOCA funds.

5. Fundraising activities.

6. 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; and construction costs.

7. Reimbursing crime victims for expenses incurred as a result of a

crime such as insurance deductibles, replacement of stolen property,

funeral expenses, lost wages, and medical bills.

8. Purchasing or leasing vehicles. Subrecipients may not use VOCA

funds to purchase or lease vehicles unless they can demonstrate to the

State VOCA administrator that such an expenditure is essential to

delivering services to crime victims. The State VOCA administrator must

give prior approval for all such purchases.

9. 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 resulting from a victimization, except for

forensic medical examinations for sexual assault victims.

10. Relocation expenses for crime victims such as moving expenses,

security deposits on housing, ongoing rent, and mortgage payments.

However, VOCA funds may be used to support staff time in locating

resources to assist victims with these expenses.

11. Salaries, fees, and reimbursable expenses associated with

administrators, board members, executive directors, consultants,

coordinators, and other individuals unless these expenses are incurred

while providing direct services to crime victims.

12. Development of protocols, interagency agreements, and other

working agreements that benefit crime victims. These activities are

considered examples of the types of activities that subrecipients

undertake as part of their role as a victim services organization,

which in turn qualifies them as an eligible VOCA subrecipient.

13. Costs of sending individual crime victims to conferences.

14. Development of training manuals and/or extensive training

materials.

15. Activities that are exclusively related to crime prevention.

Program Reporting Requirements

State grantees must adhere to all reporting requirements and

timelines 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. State grantees are required to submit to

OVC, within 90 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, State grantees 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 grantee must agree with the Final Financial Status Report

(Standard Form 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 such allowable expenses

including employee salaries, fringe benefits, supplies, and rent. This

requirement applies to all State grantee awards including grants,

contracts, or subgrants and to all subrecipient organizations.

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, to the VOCA subrecipient organizations. Services and activities

that are purchased by a VOCA

[[Page 55060]]

subrecipient are to be included on the subrecipient's Subgrant Award

Report.

2. Performance Report. Each State grantee 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.

For those State grantees who opt to use a portion of the VOCA

victim assistance grant for administrative costs, the Performance

Report will be used to describe how the funds were actually used and

the impact of the 5% administrative funds on the State grantee's

ability to expand, enhance, and improve services to crime victims.

A. 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 ensure 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), State grantees that receive $100,000 or more in Federal

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

that year. State grantees 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 agencies receiving at least $25,000, but

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

audit in accordance with OMB Circular A-128 or in accordance with the

applicable Federal laws and regulations. State and local subgrantees

shall have the audits performed annually unless they have a

constitutional or statutory requirement for less frequent audits. 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

Financial Status Reports 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 grantee, 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

[[Page 55061]]

grantee to finance its operations with its own working capital.

Payments to the State grantee will then be made by the direct Treasury

check method, which reimburses the State grantee for actual cash

disbursements.

E. Administrative Cost Provision Documentation

State grantees who choose to use a portion of their VOCA victim

assistance grant for administrative costs must maintain a clear audit

trail of all costs supported by administrative funds and be able to

document the value of the State grantee's previous commitment to

administering VOCA.

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, State grantees and

subrecipients must give authorized representatives the right to access

and examine all records, books, papers, case files, or documents

related to the grant, the use of administrative funds, and all

subawards.

B. Office for Victims of Crime

Beginning with the FY 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 grantee's VOCA application kit,

procedures, and guidelines for subawarding VOCA funds; and (4) all

other State grantee and subrecipient records and files.

In addition, 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 grantee 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 grantee 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 grantee has violated a program

and/or financial requirement are not precluded from bringing the

alleged violation(s) to the attention of OVC.

Aileen Adams,

Director, Office for Victims of Crime, Office of Justice Programs.

[FR Doc. 95-26570 Filed 10-26-95; 8:45 am]

BILLING CODE 4410-18-P