[Federal Register Volume 62, Number 32 (Tuesday, February 18, 1997)]
[Notices]
[Pages 7256-7268]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-3836]
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DEPARTMENT OF JUSTICE
Office of Justice Programs
[OJP (OVC) No. 1113]
RIN 1121-ZA60
Victims of Crime Act Victim Assistance Grant Program
AGENCY: Office of Justice Programs, Office for Victims of Crime,
Justice.
ACTION: Proposed 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
Proposed 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: These guidelines are effective from October 1, 1996 (Federal
Fiscal Year 1997 VOCA grant program), until further revised by OVC. The
comments period on these guidelines closes on March 4, 1997.
FOR FURTHER INFORMATION CONTACT: Jackie McCann Cleland, Director, State
[[Page 7257]]
Compensation and Assistance Division, 633 Indiana Avenue, NW.,
Washington, DC 20531; telephone number (202) 307-5983. (This is not a
toll-free number.)
SUPPLEMENTARY INFORMATION: The comment period for the following
Proposed Guidelines for the Victim of Crime Act (VOCA) Victim
Assistance Grant Program will end 14 days after the date of this
publication. The Office for Victims of Crime (OVC) is expediting the
comment period for two reasons. First, a longer comment period will
impose a burden on many states, who having received their largest-ever
VOCA grant awards, are now reluctant to begin distributing the funds to
victim assistance agencies without formal direction, in the form of
Program Guidelines, from OVC. Second, OVC began the process of
soliciting suggestions for modifying the current Final Guidelines
several months ago. In the interest of reaching a more diverse audience
and making the review and comment process more convenient for victim
service advocates and providers, in late November of 1996, OVC mailed
copies of the Proposed Guidelines to all of the state VOCA victim
assistance and victim compensation program administrators, as well as
to the representatives of approximately 20 national crime victim
advocacy organizations. In early December, the Proposed Guidelines were
posted on the Internet for review and comment by all interested
parties. OVC already has received over thirty recommendations,
questions, and comments from VOCA administrators and other victim
advocates via telephone, mail, fax, and e-mail.
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 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 and legal
opinions rendered since the inception of the grant program in 1986, and
are in accordance with VOCA. These Proposed Program Guidelines are all
inclusive. Thus, they supersede any Guidelines previously issued by
OVC.
The Office of Justice Programs, Office for Victims of Crime, in
conjunction with the Office of Policy Development, DOJ, and the Office
of Information and Regulatory Affairs, the Office for Management and
Budget (OMB), has determined that these Guidelines do not represent a
``significant regulatory action'' for the purposes of Executive Order
12866 and, accordingly, these Program Guidelines were not reviewed by
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 program reporting requirements described in the Program
Requirements section have been approved by OMB as required under the
Paperwork Reduction Act, 44 U.S.C. 3504(h). (OMB Approval Number 1121-
0014)
Summary of the Revisions to the 1997 Program Guidelines
As the result of the comments from the field, recent legislative
amendments to VOCA, and modifications of applicable federal
regulations, substantive changes were made to five sections of the
Guidelines, including: The Availability of Funds, the Application
Process, the Program Requirements, the Program Reporting Requirements,
and the Financial Requirements. These changes are summarized in the
paragraphs below, and incorporated into the complete text of the
Proposed Program Guidelines for Victim Assistance Grants. The Program
Guidelines also include several technical corrections that are not
listed in this summary because they do not affect policy or
implementation of the Guidelines.
A. Comments From the Field
Over time, OVC received comments from VOCA state administrators,
victim service providers, representatives of national victim
organizations, and other victim advocates regarding the current Program
Guidelines, issued in October 1995. In total, over 15 different
recommendations, questions, and comments were received. These comments
were helpful in formulating the revisions constituting the subject
Proposed Victim Assistance Guidelines.
1. Definition of Elder Abuse. Under Section IV. Program
Requirements, Part A. Grantee Eligibility Requirements--the definition
of ``elder abuse'' has been modified, so that it now focuses on
describing the offense, rather than on characterizing the victim.
Hence, the definition, ``abuse of vulnerable adults,'' has been changed
to ``the mistreatment of older persons through physical, sexual, or
psychological violence; neglect; or economic exploitation and fraud.''
2. Identifying Underserved Victims of Crime. Under Section IV.
Program Requirements, Part A. Grantee Eligibility Requirements, the
language of the Proposed Guidelines has been modified to encourage
states to identify gaps in available services, not just by the types of
crimes committed, but also by specific demographic profiles such as
those victims living in rural or remote areas, or in inner cities, or
by the specific characteristics of the victim population needing
services, such as disabled or elderly victims.
3. New Programs. There was confusion about OVC's intention
regarding the funding of new crime victim programs. Hence, language has
been added to the Proposed Guidelines clarifying that new programs that
have not yet demonstrated a record of providing services may be
eligible to receive VOCA funding if they can demonstrate financial
support from non-federal sources.
4. Unfunded Mandates. Recently, many state legislatures have passed
laws establishing important new rights for crime victims. OVC wishes to
clarify that VOCA funds may be used for the purpose of implementing
these laws. Therefore, restrictive language from the previous
Guidelines has been eliminated. Please note that VOCA crime victim
assistance funds still may not be used to supplant state and local
funds that would otherwise be available for crime victim services.
5. State Grantees as Subrecipients. Under Section IV. Program
Requirements, Part C. Eligible Subrecipient Organizations, the Program
Guidelines have been modified with regard to subgrants to state
grantees. Since the intention of the VOCA grant program is to support
and enhance the crime victim services provided by community agencies,
state grantees that meet the definition of an eligible subrecipient
organization may not award themselves more than 10 percent of their
annual VOCA award.
6. Emergency Legal Assistance. Under Section IV, Program
Requirements, Part D. Services, Activities, and Costs at the
Subrecipient Level, the Proposed Guidelines have been modified to allow
subgrantees discretion in providing
[[Page 7258]]
victims of domestic violence with legal assistance such as child
custody and visitation proceedings ``when such actions are directly
connected to family violence cases and pertain to the health and safety
of the victim.'' The allowable ``Contracts for Professional Services''
section also has been modified to include assistance with emergency
custody and visitation proceedings.
7. Advanced Technologies. In the Proposed Guidelines, OVC offers
the states clarification and further guidance on the use of VOCA funds
for advanced technologies such as computers and victim notification
systems.
8. Electronic Submission of Subgrant Award Reports. In the interest
of meeting OVC's mandate to collect and maintain accurate and timely
information on the disbursal of VOCA funds, state grantees will now be
required to transmit their Subgrant Award Report information to OVC via
the automated subgrant dial-in system. Beginning with the Federal
Fiscal Year (FFY) 1997 VOCA grant award, OVC will no longer accept
manual submission of the Subgrant Award Reports. By utilizing the
subgrant dial-in 1-800 number, grantees can access the system without
incurring a long distance telephone charge. States and territories
outside of the continental U.S. are exempt from the requirement to use
the subdial system, but these grantees must complete and submit the
Subgrant Award Report form, OJP 7390/2A, for each VOCA subrecipient.
B. Legislative Changes
1. The Antiterrorism and Effective Death Penalty Act of 1996 (Pub.
L. 104-132).
The Antiterrorism and Effective Death Penalty Act of 1996 (Pub. L.
104-132) (hereafter, ``The Antiterrorism Act''), was signed into law on
April 24, 1996. This legislation contained a number of victim related
provisions that amended VOCA, including four provisions concerning the
``Availability of (VOCA victim assistance) Grant Funds.''
a. The Antiterrorism Act increases the base amount for victim
assistance grants from $200,000 to $500,000. The territories of
Northern Mariana Islands, Guam, and American Samoa will continue to
receive a base amount of $200,000, with the Republic of Palau's share
governed by the Compact of Free Association between the U.S. and the
Republic of Palau.
b. OVC Reserve Fund. The Antiterrorism Act authorizes the OVC
Director to establish a reserve fund, up to $50 million. Reserve fund
monies may be used for supplemental grants to assist victims of
terrorist acts or mass violence occurring within or outside the U.S.
The OVC Director may award reserve funds to the following entities:
(1) States for providing compensation and assistance to their state
residents, who, while outside of the borders of the U.S., become
victims of a terrorist act or mass violence. The beneficiaries,
however, cannot be persons who are already eligible for compensation
under the Omnibus Diplomatic Security and Antiterrorism Act of 1986.
Individuals covered under the Omnibus Diplomatic Security Act include
those who are taken captive because of their relationship with the U.S.
government as a member of the U.S. Civil Service, as well as other U.S.
citizens, nationals, or resident aliens who are taken captive while
rendering service to the U.S. similar to that of civil servants.
Dependent family members of such persons also are covered under the
Act.
(2) Eligible state crime victim compensation and assistance
programs for providing compensation and emergency relief for the
benefit of victims of terrorist acts or mass violence occurring within
the U.S.
(3) U.S. Attorneys' Offices for use in coordination with state
victim compensation and assistance efforts in providing relief to
victims of terrorist acts or mass violence occurring within the U.S.
(4) Eligible state compensation and assistance programs to offset
fluctuation in the funds during years in which the Fund decreases and
additional monies are needed to stabilize funding for state programs.
c. Unobligated Grant Funds. Beginning with FFY 1997 VOCA grants,
funds not obligated by the end of the grant period, up to a maximum of
$500,000, will be returned to the Fund, and not to the General
Treasury, as was the practice in previous years. Returned funds in
excess of $500,000 in a given year shall be returned to the Treasury.
Once any portion of a state's grant is returned to the Fund, the funds
must be redistributed according to the formula established by VOCA and
the Proposed Program Guidelines. States are encouraged to monitor
closely the expenditure of VOCA funds throughout the grant period to
avoid returning grant monies to OVC and/or the Treasury.
d. Grant Period Extended. The Antiterrorism Act extended the VOCA
victim assistance grant period from the year of award plus one, to the
year of award plus two. (Subsequent legislation further extended the
grant period to the year of award, plus three.)
2. Omnibus Consolidated Appropriations Act of 1997. The Omnibus
Consolidated Appropriations Act of 1997 (Pub. L. 104-208) was passed by
Congress and signed into law by President Clinton in September 30,
1996. This Act further extended the grant period to the year of award
plus three. This change is effective for all FFY 1997 grants. The
Proposed Program Guidelines clarify that funds are available for
obligation beginning October 1 of the year of the award, through
September 30 of the FFY three years later. For example, grants awarded
in November, 1996 (FFY 1997) are available for obligation beginning
October 1, 1996 through September 30, 2000.
This modification is contained in the ``Availability of Funds''
section of the Proposed Program Guidelines.
C. Changes in Applicable Federal Regulations
1. Mandatory Enrollment in U.S. Treasury Department's Automated
Clearing House (ACH) Vendor Express Program. In accordance with the
Debt Collection Improvement Act of 1996, the U.S. Treasury Department
revised its regulations regarding federal payments. The Proposed
Program Guidelines have been modified to require that, effective July
26, 1996, all federal payments to state VOCA victim assistance and
compensation grantees must be made via electronic funds transfer.
States that are new award recipients or those that have previously
received funds in the form of a paper check from the U.S. Treasury,
must enroll in the Treasury Department's ACH Vendor Express program
(through OJP) before requesting any federal funds. This means that VOCA
grantees can no longer receive drawdowns against their awards via paper
check mailed from the Treasury. Grant recipients must enroll in ACH for
Treasury to electronically transfer drawdowns directly to their banking
institutions. States that are currently on the Letter of Credit
Electronic Certification System (LOCES) will be automatically enrolled
in the ACH program. Enrollment forms will be included in the award
packet. Enrollment in ACH need only be completed once. This
modification is included in the ``Application Process'' section of the
Proposed Program Guidelines.
2. Higher Audit Threshold. In response to suggestions made by many
recipients of federal grant awards, including VOCA grant recipients,
OMB Circular A-133 is being revised. Until the revisions are final,
state and local government agencies that receive $100,000 or more in
federal funds during their state fiscal year are required to submit an
organization-wide financial
[[Page 7259]]
and compliance audit report. Recipients of $25,000 to $100,000 in
federal funds are required to submit a program-or organization-wide
audit report as directed by the granting agency. Recipients receiving
less than $25,000 in federal funds are not required to submit a
program-or organization-wide financial and compliance audit report for
that year. Nonprofit organizations and institutions of higher education
that expend $300,000 or more in federal funds per year shall have an
organization-wide financial and compliance audit. Grantees must submit
audit reports within 13 months after their state fiscal year ends.
Previously, states that received $100,000 or more in federal
financial assistance in any fiscal year were required to have a single
audit for that year. States and subrecipients receiving at least
$25,000, but less than $100,000, in a fiscal year had the option of
performing a single audit or an audit of the federal program, and state
and local governments receiving less than $25,000 in any fiscal year
were exempt from audit requirements. This modification is contained in
the ``Financial Requirements'' section of the Proposed Program
Guidelines.
Guidelines for Crime Victim Assistance Grants
I. 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 makes annual VOCA crime victim assistance grants from the Fund
to states. The primary purpose of these grants is to support the
provision of services to victims of violent crime throughout the
Nation. For the purpose of these Program Guidelines, 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 requirements outlined in
VOCA and these Program Guidelines.
II. Allocation of VOCA Victim Assistance Funds
A. Distribution of the Crime Victims Fund
OVC administers the deposits made into the Fund for programs and
services, as specified in VOCA. The amount of funds available for
distribution each year is dependent upon the total deposits into the
Fund during the preceding Federal Fiscal Year (October 1 through
September 30).
The Federal Courts Administration Act of 1992 removed the cap on
the Fund, beginning with FFY 1993 deposits. This Act also eliminated
the need for periodic reauthorization of VOCA and the Fund. Thus, under
current legislation, the Fund will continue to receive deposits.
Pursuant to section 1402 (d) of VOCA, deposits into the Fund will
be distributed as follows:
1. The first $3,000,000 deposited in the Fund in each fiscal year
is available to the Administrative Office of the U.S. Courts for
administrative costs to carry out the functions of the judicial branch
under sections 3611 and 3612 of Title 18 U.S. Code.
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 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.
B. Availability of Funds
1. VOCA Victim Assistance Grant Formula. 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).
2. Reserve Fund. As the result of provisions in the Antiterrorism
Act amending VOCA, the OVC Director is authorized to retain funds in a
reserve fund, up to $50 million. The Director may utilize the reserve
funds in order to:
a. Award supplemental grants to assist victims of terrorist acts or
mass violence outside or within the U.S. The OVC Director may grant
reserve funds for such purposes to the following entities:
(1) States for providing compensation and assistance to their state
residents, who while outside of the U.S. become victims of a terrorist
act or mass violence. The beneficiaries, however, cannot be persons who
are already eligible for compensation under the Omnibus Diplomatic
Security and Antiterrorism Act of 1986.
Individuals covered under the Omnibus Diplomatic Security and
Antiterrorism Act include persons who are taken captive because of
their relationship with the U.S. Government as a member of the U.S.
Civil Service, as well as other U.S. citizens, nationals, or resident
aliens who are taken captive while rendering service to the U.S.
similar to that of civil servants. Dependent family members of such
persons also are covered under the Omnibus Diplomatic Security Act.
(2) Eligible state crime victim compensation and assistance
programs for providing emergency relief, including crisis assistance,
training, and technical assistance for the benefit of victims of
terrorist acts or mass violence occurring within the U.S.
(3) U.S. Attorney's Offices for use in coordination with state
victim compensation and assistance efforts in providing relief to
victims of terrorist acts or mass violence occurring within the U.S.
b. Offset Fluctuations in Fund. The Director of OVC may also use
the reserve fund to offset fluctuations in Fund deposits for state
compensation and assistance programs in years in which the Fund
decreases and additional monies are needed to stabilize programs.
3. Grant Period. Federal legislation passed in 1996 also makes
victim
[[Page 7260]]
assistance grant funds available for expenditure throughout the FFY of
award as well as in the next three fiscal years. The FFY begins on
October 1 and ends on September 30. For example, grants awarded in
December, 1996 (FFY 1997) are available for obligation beginning
October 1, 1996 through September 30, 2000.
4. Grant Deobligations. VOCA grant funds not obligated at the end
of the award period will be returned to the Crime Victims Fund. In a
given fiscal year, no more than $500,000 of the remaining unobligated
funds can be returned to the Fund. Amounts in excess of $500,000 shall
be returned to the Treasury. Once any portion of a state's grant is
returned to the Fund, the funds must be redistributed according to the
rules established by VOCA and the Proposed Program Guidelines, so
states are encouraged to monitor closely the expenditure of VOCA funds
throughout the grant period to ensure that no funds are returned.
C. Allocation of Funds to States
From the Fund deposits available for victim assistance grants, each
state grantee receives a base amount of $500,000, except for the
territories of Northern Mariana Islands, Guam, and American Samoa,
which are eligible to receive a base amount of $200,000. The Republic
of Palau's share is governed by the Compact of Free Association between
the U.S. and the Republic of 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. The designated
agency establishes policies and procedures, which must meet the minimum
requirements of VOCA and the Program Guidelines.
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. For example,
when professional training, counseling, and de-briefings are made
available to victim assistance providers, dispatchers, and law
enforcement officers in rural-remote areas, services to victims in
these areas improve dramatically. Victim services in rural-remote areas
can also be improved by using VOCA funds to support electronic
networking through computers, police radios, and cellular phones.
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
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
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.
III. 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.
Completed applications must be submitted on or before the stated
deadline, as determined by OVC.
In addition to the Application for Federal Assistance, state
grantees shall submit the following information:
1. Single Audit Act Information, specifically, the name and address
of the designated Cognizant federal Agency, the federal agency assigned
by OMB, and the dates of the state fiscal year.
2. Certifications Regarding Lobbying, Debarment, Suspension, and
Other Responsibility Matters; Drug-Free Workplace requirements; Civil
Rights Compliance, and any other certifications required by OJP and
OVC. In addition, states must complete a disclosure form specifying any
lobbying activities that are conducted.
3. An assurance that the program will comply with all applicable
nondiscrimination requirements.
4. An assurance that in the event a federal or state administrative
agency makes a finding of discrimination after a due process hearing,
on the grounds of race, color, religion, origin, sex, or disability
against the program, the program will forward a copy of the finding to
OJP, Office for Civil Rights (OCR).
5. The name of the Civil Rights contact person who has lead
responsibility for ensuring that all applicable civil rights
requirements are met and who shall act as liaison in civil rights
matters with OCR.
6. Enrollment in Automated Clearing House (ACH). States that are
new award recipients, or those that have previously received funds in
the form of a paper check from the U.S. Treasury, must enroll in the
Treasury Department's ACH Vendor Express program before requesting any
federal funds. States that are currently on the Letter of Credit
Electronic Certification System (LOCES) will be automatically enrolled
in the ACH program. Enrollment in ACH need only be completed once.
7. Administrative Cost Provision Notification. States must indicate
in their application materials whether they intend to use the
administrative cost provision. More is explained about this issue in
the following section.
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
[[Page 7261]]
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
1404(b)(3), codified at 42 U.S.C. 10603 (b)(3). This option is
available to the state grantee and does not apply to VOCA
subrecipients. State grantees are not required to match the portion of
the grant that is used for administrative purposes. The state
administrative agency may charge any federally approved indirect cost
rate to this grant. However, any direct costs requested must be paid
from the 5 percent administrative funds. An indirect cost rate and cost
allocation plan must be on file or submitted and approved by the U.S.
Department of Justice prior to budgeting funds for such costs.
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, grantees will be required to certify that VOCA administrative
funds will not be used to supplant state funds or to cover indirect
costs.
State grantees will not be in violation of the nonsupplantation
clause if there is a decrease in the state's previous financial
commitment towards the administration of the VOCA grant programs in the
following situations: (1) A serious loss of revenue at the state level,
resulting in across-the-board budget restrictions. (2) A decrease in
the number of ``state-supported'' staff positions used to meet the
state's ``maintenance of effort'' in administering the VOCA grant
programs.
States are required to notify OVC if there is a decrease in the
amount of its previous financial commitment to the cost of
administering the VOCA program.
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 administration of
victims' programs;
c. Monitor VOCA Victim Assistance 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;
f. Purchase memberships in crime victims organizations and victim-
related materials such as curricula, literature, and protocols; and
g. Pay for program audit costs.
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;
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) The amount of the total grant that will be used as
administrative funds;
(2) An itemization of the state grantee's projected expenditures
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.
A state may modify projections set forth in their application by
providing OVC with a revised description of their planned use of
administrative funds in writing, subsequent to submitting their annual
application. However, the revised description must be reviewed prior to
the obligation of any federal funds. Failure to notify OVC of
modifications will prevent the state from meeting its obligation to
reconcile its State-wide Report with its Final Financial Status Report.
Administrative grant funds can only support that portion of a staff
person's time devoted to the VOCA assistance program. If the staff
person has other functions, the proportion of their time spent on the
VOCA assistance program must be documented using regular time and
attendance records. The documentation must provide a clear audit trail
for the expenditure of grant funds.
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
trainings of victim services staff. The maximum amount permitted for
this purpose is $5,000 or one percent of the state's grant, whichever
is greater. State grantees that choose to sponsor statewide or regional
trainings are not precluded from awarding VOCA funds to subrecipients
for other types of staff development.
Statewide or regional training supported with training funds should
target a diverse audience of victim service providers and allied
professionals, and should provide opportunities to consider issues
related to types of crime, gaps in services, coordination of services,
and legislative mandates.
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.
[[Page 7262]]
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 percent, cash or in-kind, and the source of the match
must be described.
IV. 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. Must Be an Eligible Organization. Only eligible organizations
will receive VOCA funds and these funds will be used only for 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. Nonsupplantation. VOCA crime victim assistance grant funds will
be used to 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 Areas. 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 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. ``Previously Underserved'' Priority Areas. 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, victims of federal
crimes; survivors of homicide victims; or victims of assault, robbery,
gang violence, hate and bias crimes, intoxicated drivers, bank robbery,
and elder abuse.
For the purposes of this program, a victim of federal crime is a
victim of an offense that violates a federal criminal statute or
regulation. Federal crimes also include crimes that occur on an area
where the federal government has jurisdiction, such as Indian
reservations and military installations.
For the purposes of this program, elder abuse is defined as the
mistreatment of older persons through physical, sexual, psychological
or physical violence; neglect; or economic exploitation and fraud.
To meet the under served requirement, grantees must identify crime
victims by type of crime. States are encouraged, however, to identify
gaps in available services not just by types of crimes committed, but
also by specific demographic profiles, such as those victims living in
rural areas, remote areas, or inner cities, or by the specific
characteristics of the victim population needing services, such as
disabled, or elderly victims. 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 (a) services to these victims of violent crime are
receiving significant amounts of financial assistance from the state or
other funding sources; (b) a smaller amount of financial assistance, or
no assistance, is needed from the VOCA victim assistance grant program;
and (c) crime rates for these victims of violent crime have diminished.
5. Financial Record Keeping and Program Monitoring. Appropriate
accounting, auditing, and monitoring procedures will be used at the
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 OJP Financial
Guide, effective edition.
6. Compliance with Federal Laws. 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 with VOCA. Compliance by the state grantee and
subrecipients with the applicable provisions of VOCA and the Proposed
Program Guidelines.
8. Required Reports Submitted to OVC. Programmatic and financial
reports shall be submitted. (See Program Requirements and Financial
Requirements for reporting requirements and timelines.)
9. 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, age, 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.
10. Obligation to Report Discrimination Finding. 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,
state grantees are required to forward a copy of the finding to the
Office for Civil Rights (OCR) for OJP.
11. Obligation to Report Other Allegations/Findings. In the event
of a formal allegation or a finding of fraud, waste, and/or abuse of
VOCA funds, state grantees are required to immediately notify OVC of
said finding. State grantees are also obliged to apprise OVC of the
status of any on-going investigations.
OVC encourages state grantees to coordinate their activities with
their state's VOCA compensation program and the U.S. Attorneys' Offices
and FBI Field Offices within their state. Only with an emphasis on
coordination, will a continuum of services be ensured for
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all crime victims. Coordination strategies could include inviting
Compensation Program Directors and Federal Victim-Witness Coordinators
to serve on subgrant review committees; providing Compensation Program
Directors and Coordinators with a list of VOCA-funded organizations;
attending meetings organized by Compensation Program Directors and
Coordinators regarding the provision of victim assistance services;
providing training activities for subrecipients to learn about the
compensation program; developing joint guidance, where applicable, on
third-party payments to VOCA assistance organizations; and providing
training for compensation program staff on the trauma of victimization.
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 meet the following
requirements:
1. Public or Nonprofit Organization. To be eligible to receive VOCA
funds, organizations must be operated by public or nonprofit
organization, or a combination of such organizations, and provide
services to crime victims.
2. Record of Effective Services. Demonstrate a record of providing
effective 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
other sources.
3. New Programs. Those programs that have not yet demonstrated a
record of providing services may be eligible to receive VOCA funding,
if they can demonstrate financial support from non-federal sources.
4. 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
OJP Financial Guide, effective edition.
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 new or existing VOCA subrecipients that are Native
American tribes/organizations located on reservations is 5%, cash or
in-kind, of the total VOCA project (VOCA grant plus match.) For the
purposes of this grant, a Native American tribe/organization is defined
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 U.S. 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 U.S. except Puerto Rico are not
required to match the VOCA funds. See 48 U.S.C. 1469a(d).
5. Volunteers. Subrecipient organizations must 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.
6. Promote Community Efforts to Aid Crime Victims. 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.
7. Help Victims Apply for 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.
8. Comply with Federal Rules Regulating Grants. Subrecipients must
comply with the applicable provisions of VOCA, the Program Guidelines,
and the requirements of the OJP Financial Guide, effective edition,
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 allowable
VOCA 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.
9. Maintain Civil Rights Information. 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 subrecipient 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.
10. Comply with State Criteria. Subrecipients must 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 grantee.
11. Services to Federal Victims. Subrecipients must provide
services to victims of federal crimes on the same basis as victims of
state/local crimes.
12. No Charge to Victims for VOCA-Funded Services. Subrecipients
must 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 administrators to carefully
weigh the following considerations regarding federal funds generating
income for subrecipient organizations.
a. 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 for
services.
b. State grantees must ensure that they and their subrecipients
have the capability to track program income in accordance with federal
financial
[[Page 7264]]
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 the state.
12. Client-Counselor and Research Information Confidentiality.
Maintain confidentiality of client-counselor information, as required
by state and federal law.
13. 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 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.
C. Eligible Subrecipient Organizations
VOCA specifies that an organization must provide services to crime
victims and be operated by a public agency or nonprofit organization,
or a combination of such agencies or organizations in order to be
eligible to receive VOCA funding. Eligible organizations include victim
services organizations whose sole mission is to provide services to
crime victims. These organizations include, but are not limited to,
sexual assault and rape treatment centers, domestic violence programs
and shelters, child advocacy centers and child abuse treatment
facilities, centers for missing children, state/local public child and
adult protective services or mental health services, and other
community-based victim coalitions and support organizations including
those who serve survivors of homicide victims.
In addition to victim services organizations, whose sole purpose is
to serve crime victims, there are many other public and nonprofit
organizations that have components which offer services to crime
victims. These organizations are eligible to receive VOCA funds, if the
funds are used to expand or enhance the delivery of crime victims'
services. These organizations include, but are not limited to, the
following:
1. Criminal Justice Agencies. Such agencies as law enforcement
organizations, prosecutor offices, courts, corrections departments,
probation and paroling authorities are eligible to receive VOCA funds
to help pay for victims' services. For example, a police department may
use VOCA funds to provide crime victim services that exceed a law
enforcement official's normal duties, such as victim crisis response
units. Regular law enforcement duties such as crime scene intervention,
questioning of victims and witnesses, investigation of the crime, and
follow-up activities may not be paid for with VOCA funds.
2. Religiously-Affiliated Organizations. Such organizations
receiving VOCA funds must ensure that services are offered to all crime
victims without regard to religious affiliation and that the receipt of
services is not contingent upon participation in a religious activity
or event.
3. State Crime Victim Compensation Agencies. Compensation programs
may receive VOCA assistance funds if they offer direct services to
crime victims that extend beyond distribution of the usual information
about compensation and referral to other sources of public and private
assistance. Such services would include assisting victims complete
their compensation application forms and gather the necessary
documentation.
4. Hospitals and Emergency Medical Facilities. Such organizations
must offer crisis 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.
5. Others: State and local public agencies such as mental health
service organizations, state grantees, legal services agencies, and
public housing authorities that have components specifically trained to
serve crime victims. Since the intention of the VOCA grant program is
to support and enhance the crime victim services provided by community
agencies, state grantees that meet the definition of an eligible
subrecipient organization may not subaward themselves more than 10
percent of their annual VOCA award.
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. This includes U.S. Attorneys Offices and local
F.B.I. 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. For example, 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
1. Allowable Costs for Direct Services. The following is a listing
of services,
[[Page 7265]]
activities, and costs that are eligible for support with VOCA victim
assistance grant funds within a subrecipient's organization:
a. Immediate Health and Safety. Those services which respond to the
immediate 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; and other emergency services that are
intended to restore the victim's sense of dignity and self esteem. This
includes services which offer an immediate measure of safety to crime
victims such as boarding-up broken windows and replacing or repairing
locks. Also allowable is emergency legal assistance such as filing
restraining orders and obtaining emergency custody/visitation rights
when such actions are directly connected to family violence cases and
pertain to the health and safety of the victim.
b. Mental Health Assistance. 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.
c. Assistance with Participation in Criminal Justice Proceedings.
In addition to the cost of emergency legal services noted above (in
section a. ``Immediate Health and Safety''), there are other costs
associated with helping victims participate in the criminal justice
system that also are allowable. These services may include advocacy on
behalf of crime victims; accompaniment to criminal justice offices and
court; transportation to court; child care to enable a victim 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. VOCA funds
cannot be used to pay for non-emergency legal representation such as
for divorces.
d. Forensic Examinations. For sexual assault victims, forensic
exams are allowable costs 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.
e. Costs Necessary and Essential to Providing Direct Services. This
includes 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 service providers.
f. Special Services. Services to 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.
g. Personnel Costs. Costs that are directly related to providing
direct services, such as staff salaries and fringe benefits, including
malpractice insurance; the cost of advertising to recruit VOCA-funded
personnel; and the cost of training paid and volunteer staff.
h. Restorative Justice. Opportunities for crime victims 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 safety and
security of the victim; (2) the benefit or therapeutic value to the
victim; (3) the procedures for ensuring that participation of the
victim and offender are voluntary and that everyone understands the
nature of the meeting, (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, and (7) 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.
2. Other Allowable Costs and Services. The services, activities,
and costs listed below are not generally considered direct crime victim
services, but are often a necessary and essential activity to ensure
that quality direct services are provided. 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:
a. 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 both VOCA-funded and non-VOCA-
funded service providers who work within a VOCA recipient organization,
but VOCA funds cannot be used for management and administrative
training for executive directors, board members, and other individuals
that do not provide direct services.
b. Training Materials. 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. Staff from other
organizations can attend in-service training activities that are held
for the subrecipient's staff.
c. Training Related Travel. 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. For
example, VOCA grantees may benefit by attending national conferences
that offer skills building training workshops for victim assistance
providers.
d. Equipment and Furniture. VOCA funds may be used to purchase
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
[[Page 7266]]
addition, 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.
The costs of furniture or equipment that makes victims services
more accessible to persons with disabilities, such as a TTY for the
hearing impaired, are allowable.
e. Purchasing or Leasing Vehicles. Subrecipients may use VOCA funds
to purchase or lease vehicles if they can demonstrate to the state VOCA
administrator that such an expenditure is essential to delivering
services to crime victims. The VOCA administrator must give prior
approval for all such purchases.
f. Advanced Technologies. At times, computers may increase a
subrecipient's ability to reach and serve crime victims. For example,
automated victim notification systems have dramatically improved the
efficiency of victim notification and enhanced victim security.
In making such expenditures, 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; and how these
additional costs will be supported. Property insurance is an allowable
expense as long as VOCA funds support a prorated share of the cost of
the insurance payments.
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 OJP Financial Guide, effective edition.)
g. Contracts for Professional Services. VOCA funds generally should
not be used to support contract services. At times, however, 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 restraining orders or establishing emergency
custody/visitation rights; forensic examinations on a sexual assault
victim to the extent that other funding sources are unavailable or
insufficient; emergency psychological or psychiatric services; or sign
interpretation for the hearing impaired.
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.
h. Operating Costs. Examples of allowable operating costs include
supplies; equipment use fees, when supported by usage logs; printing,
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.
i. 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.
j. 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.
k. Public Presentations. VOCA funds may be used to support
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. Specifically, activities and
costs related to such programs including presentation materials,
brochures, and newspaper notices can be supported by VOCA funds.
3. Non-Allowable Costs and Activities. The following services,
activities, and costs, although not exhaustive, cannot be supported
with VOCA victim assistance grant funds at the subgrantee level:
a. Lobbying and Administrative Advocacy. VOCA funds cannot support
victim legislation or administrative reform, whether conducted directly
or indirectly.
b. 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.
c. Needs Assessments, Surveys, Evaluations, Studies. VOCA funds may
not be used to pay for efforts conducted by individuals, organizations,
task forces, or special commissions to study and/or research particular
crime victim issues.
d. Prosecution Activities. VOCA funds cannot be used to pay for
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 and expert
testimony at a trial. In addition, 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.
e. Fundraising activities.
f. Indirect Organizational Costs. For example, the costs of
liability insurance on buildings and vehicles; capital improvements;
security guards and body guards; property losses and expenses; real
estate purchases; mortgage payments; and construction may not be
supported with VOCA funds.
g. Property Loss. 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 is not
allowed.
h. Most Medical Costs. VOCA funds cannot pay for nursing home care,
home health-care costs, in-patient treatment costs, hospital care, and
other types of
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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.
i. Relocation Expenses. VOCA funds cannot support 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.
j. Administrative Staff Expenses. 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.
k. Development of Protocols, Interagency Agreements, and Other
Working Agreements. These activities benefit crime victims, but they
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.
l. Costs of Sending Individual Crime Victims to Conferences.
m. Activities Exclusively Related to Crime Prevention.
V. 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.
A. Subgrant Award Reports
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 subrecipient are to be included on the
subrecipient's Subgrant Award Report.
1. Reporting Deadline. 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.
2. Electronic Submission. State grantees shall transmit their
Subgrant Award Report information to OVC via the automated subgrant
dial-in system. By utilizing the subgrant dial-in 1-800 number,
grantees can access the system without incurring a long distance
telephone charge. States and territories outside of the continental
U.S. are exempt from the requirement to use the subdial system, but
these grantees must complete and submit the Subgrant Award Report form,
OJP 7390/2A, for each VOCA subrecipient.
3. Changes to Subgrant Award Report. 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.
B. Performance Report
1. Reporting Deadline. Each state grantee is required to submit
specific end-of-grant data on the OVC-provided Performance Report, form
No. OJP 7390/4, by December 31 of each year.
2. Administrative Cost Provision. 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. 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 grantee's previous commitment to
administering VOCA.
VI. Financial Requirements
As a condition of receiving a grant, state grantees and
subrecipients shall adhere to the financial and administrative
provisions set forth in the OJP Financial Guide and applicable OMB
Circulars and Common Rules. The following section describes the audit
requirements for state grantees and subrecipients, the completion and
submission of Financial Status Reports, and actions that result in
termination of advance funding.
A. Audit Responsibilities for Grantees and Subgrantees
OMB Circular A-133 is being revised. Until the revisions are final,
state and local government agencies that receive $100,000 or more in
federal funds during their state fiscal year are required to submit an
organization-wide financial and compliance audit report. Recipients of
$25,000 to $100,000 in federal funds are required to submit a program-
or organization-wide audit report as directed by the granting agency.
Recipients receiving less than $25,000 in federal funds are not
required to submit a program- or organization-wide financial and
compliance audit report for that year. Nonprofit organizations and
institutions of higher education that expend $300,000 or more in
federal funds per year shall have an organization-wide financial and
compliance audit. Grantees must submit audit reports within 13 months
after their state fiscal year ends.
B. Audit Costs
Under OMB Circular A-133 audit costs are generally allowable
charges under federal grants. Audit costs incurred at the grantee/
(state) level are determined to be an administrative expense, and may
be paid with the allowable five percent for administration.
C. Financial Status Report for State Grantees
Financial Status Reports (269A) are required from all state
agencies. 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 during the reporting period. Financial Status Reports shall be
submitted to the Office of the Comptroller, by the state, within 45
days after the end of each calendar quarter. Calendar quarters end
March 31, June 30, September 30, and December 31. A Final Financial
Status Report is due 120 days after the end of the VOCA grant.
D. Termination of Advance Funding to State Grantees
If the state grantee receiving cash advances by direct Treasury
deposit demonstrates an unwillingness or
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inability to establish procedures that will minimize the time elapsing
between cash advances and disbursements, 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 to the state
by the ACH Vendor Express method to reimburse the grantee for actual
cash disbursements. It is essential that the grantee organization
maintain a minimum of cash on hand and that drawdowns of cash are made
only when necessary for disbursements.
VII. 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, use of administrative funds, and all subawards.
B. Office for Victims of Crime
OVC conducts on-site monitoring in which each state grantee is
visited a minimum of once every three years. While on site, OVC
personnel will 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 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.
VIII. 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 OJP Financial
Guide (effective edition), the Proposed Program Guidelines, or any
implementing regulation or requirement, OVC may suspend or terminate
funding to the state and/or take other appropriate action. At such
time, states 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 for Justice Programs.
[FR Doc. 97-3836 Filed 2-14-97; 8:45 am]
BILLING CODE 4410-18-P
